Document:

ex4-3.htm

Exhibit 4.3

 

[FORM OF FACE OF MANDATORY CONVERTIBLE PREFERRED STOCK, SERIES A

CERTIFICATE]

[INCLUDE FOR GLOBAL PREFERRED SHARES]

UNLESS THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY, A NEW YORK CORPORATION (“DTC”), TO THE CORPORATION OR THE TRANSFER AGENT NAMED ON THE FACE OF THIS CERTIFICATE, 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.  TRANSFERS OF THIS GLOBAL SECURITY SHALL BE LIMITED TO TRANSFERS IN WHOLE, BUT NOT IN PART, TO NOMINEES OF DTC OR TO A SUCCESSOR THEREOF OR SUCH SUCCESSOR’S NOMINEE.

THE CORPORATION SHALL FURNISH A FULL STATEMENT ABOUT CERTAIN RESTRICTIONS ON OWNERSHIP AND TRANSFERABILITY TO A STOCKHOLDER UPON REQUEST AND WITHOUT CHARGE.

 

 

  

  

  

 

Certificate Number [             ] [Initial] Number of Shares of Mandatory

Convertible Preferred Stock [             ]

CUSIP 22822V 200

ISIN US22822V007

CROWN CASTLE INTERNATIONAL CORP.

4.50% Mandatory Convertible Preferred Stock, Series A

(par value $0.01 per share)

(Liquidation Preference as specified below)

Crown Castle International Corp., a Delaware corporation (the “Corporation”), hereby certifies that [  ] (the “Holder”), is the registered owner of [  ] [the number shown on Schedule I hereto of] fully paid and non-assessable shares of the Corporation’s designated 4.50% Mandatory Convertible Preferred Stock, Series A, with a par value of $0.01 per share and a Liquidation Preference of $100.00 per share (the “Mandatory Convertible Preferred Stock”).  The shares of the Mandatory Convertible Preferred Stock are transferable on the books and records of the Registrar, in person or by a duly authorized attorney, upon surrender of this certificate duly endorsed and in proper form for transfer.  The designations, rights, privileges, restrictions, preferences and other terms and provisions of the Mandatory Convertible Preferred Stock represented hereby are and shall in all respects be subject to the provisions of the Certificate of Designations of 4.50% Mandatory Convertible Preferred Stock, Series A of Crown Castle International Corp. dated December 15, 2014 as the same may be amended from time to time (the “Certificate of Designations”).  Capitalized terms used herein but not defined shall have the meaning given them in the Certificate of Designations.  The Corporation will provide a copy of the Certificate of Designations to the Holder without charge upon written request to the Corporation at its principal place of business.

Reference is hereby made to the provisions of the Mandatory Convertible Preferred Stock set forth on the reverse hereof and in the Certificate of Designations, which provisions shall for all purposes have the same effect as if set forth at this place.

Upon receipt of this executed certificate, the Holder is bound by the Certificate of Designations and is entitled to the benefits thereunder.

Unless the Transfer Agent and Registrar have properly countersigned, these shares of the Mandatory Convertible Preferred Stock shall not be entitled to any benefit under the Certificate of Designations or be valid or obligatory for any purpose.

 

 

  

  

  

 

IN WITNESS WHEREOF, this certificate has been executed on behalf of the Corporation by two Officers of the Corporation this [  ] of [  ] [  ].

 

	 	
CROWN CASTLE INTERNATIONAL CORP.

	 
	 	 	 	 
	
 

	
By: 

	 	 
	 	 	Name:  	 	 
	 	 	Title:  	 	 
	 	 	 	 

 

 

	 	 	 	 
	
 

	
By: 

	 	 
	 	 	Name:  	 	 
	 	 	Title:  	 	 
	 

 

 

  

  

  

 

COUNTERSIGNATURE

These are shares of the Mandatory Convertible Preferred Stock referred to in the within-mentioned Certificate of Designations.

 

Dated: [  ], [  ]

Computershare Inc., as Registrar and Transfer Agent

 

 

	 	 	 	 	 
	By: 	
 

	 	 	
 

	 
	 	
Name:

	
 

	 	 	
 

	 
	 	
Title: 

	
 

	 	 	
 

	 

 

 

  

  

  

[FORM OF REVERSE OF CERTIFICATE FOR MANDATORY

CONVERTIBLE PREFERRED STOCK]

The shares represented by this certificate are subject to restrictions on beneficial ownership (determined under the principles of Section 856(a)(5) of the Internal Revenue Code of 1986, as amended (“Code”)), Beneficial Ownership and Constructive Ownership and Transfer for the purpose, among others, of the Corporation’s maintenance of its status as a Real Estate Investment Trust under the Code.  Subject to certain further restrictions and except as expressly provided in the Corporation’s Amended and Restated Certificate of Incorporation (“Charter”), (i) no Person may Beneficially Own or Constructively Own shares of the Corporation’s Common Stock in excess of the Common Stock Ownership Limit, unless such Person is an Excepted Holder (in which case the Excepted Holder Limit shall be applicable); (ii) no Person may Beneficially Own or Constructively Own shares of Capital Stock of the Corporation in excess of the Aggregate Stock Ownership Limit, unless such Person is an Excepted Holder (in which case the Excepted Holder Limit shall be applicable); (iii) no Person may Beneficially Own shares of Capital Stock that would result in the Corporation being “closely held” under Section 856(h) of the Code; (iv) no Person may Beneficially Own or Constructively Own shares of Capital Stock that would otherwise cause the Corporation to fail to qualify as a REIT (including, but not limited to, Beneficial Ownership or Constructive Ownership that would result in the Corporation actually owning or Constructively Owning an interest in a tenant that is described in Section 856(d)(2)(B) of the Code if the income derived by the Corporation from such tenant would cause the Corporation to fail to satisfy any of the gross income requirements of Section 856(c) of the Code); (v) no Person may Beneficially Own or Constructively Own shares of Capital Stock that could result in the Corporation failing to qualify as a “domestically controlled qualified investment entity” under Section 897(h)(4)(B) of the Code; and (vi) no Person may Transfer shares of Capital Stock if such Transfer would result in the Capital Stock of the Corporation being beneficially owned by fewer than 100 Persons (determined under the principles of Section 856(a)(5) of the Code).  Any Person who Beneficially Owns or Constructively Owns or attempts or intends to Beneficially Own or Constructively Own shares of Capital Stock which cause or will cause a Person to Beneficially Own or Constructively Own shares of Capital Stock in excess or in violation of the above limitations must immediately notify the Corporation.  If any of the restrictions on transfer or ownership provided in (i), (ii), (iii), (iv) or (v) above are violated, the shares of Capital Stock in excess or in violation of the above limitations will be automatically transferred to a Trustee of a Trust for the benefit of one or more Charitable Beneficiaries.  In addition, the Corporation may redeem shares if the Board of Directors determines that ownership or a Transfer may violate the restrictions described above.  Furthermore, if the ownership restriction provided in (vi) above would be violated, or upon the occurrence of certain events, attempted Transfers in violation of the restrictions described above may be void ab initio.  All capitalized terms in this legend have the meanings given to them in the Charter, as the same may be amended and/or restated from time to time, a copy of which, including the restrictions on transfer and ownership, will be furnished to each holder of shares of Capital Stock of the Corporation on request and without charge.  Requests for such a copy may be directed to the Secretary of the Corporation at its principal office.

Cumulative dividends on each share of the Mandatory Convertible Preferred Stock shall be payable at the applicable rate provided in the Certificate of Designations.

 

The shares of the Mandatory Convertible Preferred Stock shall be convertible in the manner and accordance with the terms set forth in the Certificate of Designations.

The Corporation shall furnish without charge to each Holder who so requests the powers, designations, preferences and relative, participating, optional or other special rights of each class or series of stock of the Corporation and the qualifications, limitations or restrictions of such preferences and/or rights.

 

 

  

  

  

  

NOTICE OF CONVERSION

(To be Executed by the Holder

in order to Convert the Mandatory Convertible Preferred Stock)

The undersigned hereby irrevocably elects to convert (the “Conversion”) 4.50% Mandatory Convertible Preferred Stock, Series A (the “Mandatory Convertible Preferred Stock”), of Crown Castle International Corp. (hereinafter called the “Corporation”), represented by stock certificate No(s). [  ] (the “Mandatory Convertible Preferred Stock Certificates”), into common stock, par value $0.01 per share, of the Corporation (the “Common Stock”) according to the conditions of the Certificate of Designations of the Mandatory Convertible Preferred Stock (the “Certificate of Designations”), as of the date written below.  If Common Stock is to be issued in the name of a Person other than the undersigned, the undersigned shall pay all transfer taxes payable with respect thereto, if any.  Each Mandatory Convertible Preferred Stock Certificate (or evidence of loss, theft or destruction thereof) is attached hereto.

Capitalized terms used but not defined herein shall have the meanings ascribed thereto in or pursuant to the Certificate of Designations.

 

Date of Conversion:

Applicable Conversion Rate:

Shares of the Mandatory Convertible Preferred Stock to be Converted:

Shares of Common Stock to be Issued:*

Signature: Name:

Address:**

Fax No.:

*     The Corporation is not required to issue Common Stock until the original Mandatory Convertible Preferred Stock Certificate(s) (or evidence of loss, theft or destruction thereof) to be converted are received by the Corporation or the Conversion and Dividend Disbursing Agent. 

**     Address where Common Stock and any other payments or certificates shall be sent by the Corporation.

 

 

  

  

  

 

ASSIGNMENT

 

FOR VALUE RECEIVED, the undersigned assigns and transfers the shares of the Mandatory Convertible Preferred Stock evidenced hereby to:

 

	  
	
  

 

(Insert assignee’s social security or taxpayer identification number, if any)

 

 

	  
	
 

 

(Insert address and zip code of assignee)

 

and irrevocably appoints:

 

	  
	
 

  

as agent to transfer the shares of the Mandatory Convertible Preferred Stock evidenced hereby on the books of the Transfer Agent.  The agent may substitute another to act for him or her.

 

Date:

	
 

Signature:    

	  

(Sign exactly as your name appears on the other side of this Certificate)

	
 

Signature Guarantee:   

	  

(Signature must be guaranteed by an “eligible guarantor institution” that is a bank, stockbroker, savings and loan association or credit union meeting the requirements of the Transfer Agent, which requirements include membership or participation in the Securities Transfer Agents Medallion Program (“STAMP”) or such other “signature guarantee program” as may be determined by the Transfer Agent in addition to, or in substitution for, STAMP, all in accordance with the Securities Exchange Act of 1934, as amended.)

 

  

  

  

 

 

Schedule I1

 

Crown Castle International Corp.

Global Preferred Share

4.50% Mandatory Convertible Preferred Stock, Series A

Certificate Number:

The number of shares of the Mandatory Convertible Preferred Stock initially represented by this Global Preferred Share shall be [  ].  Thereafter the Transfer Agent and Registrar shall note changes in the number of shares of the Mandatory Convertible Preferred Stock evidenced by this Global Preferred Share in the table set forth below:

 

	
Amount of Decrease

in Number of Shares

Represented by this Global

Preferred Share

	  	
Amount of Increase in

Number of Shares

Represented by this

Global Preferred

Share

	  	
Number of Shares

Represented by this

Global Preferred

Share following

Decrease or Increase

	  	
Signature of

Authorized Officer of

Transfer Agent and

Registrar

	  	  	  	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  

 

 

 

 

 

 

 

 

 

 

 

1     Attach Schedule I only to Global Preferred Shares.ex4-4.htm

Exhibit 4.4

 

 

 

CROWN CASTLE INTERNATIONAL CORP.,

ISSUER

$1,650,000,000 AGGREGATE PRINCIPAL AMOUNT

OF

5.25% SENIOR NOTES DUE 2023

 

______________________________

FIRST

SUPPLEMENTAL

INDENTURE

DATED AS OF DECEMBER 15, 2014

TO THE INDENTURE

DATED AS OF OCTOBER 15, 2012

THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A.,

TRUSTEE

 

 

 

 

 

 

 

 

  

  

  

 

TABLE OF CONTENTS

Page

 

	
ARTICLE 1

 

DEFINITIONS

	
Section 1.01  Definitions

	
1

	  	  
	
ARTICLE 2

 

ASSUMPTION

	
Section 2.01  Assumption of Obligations

	
2

	
Section 2.02  Effect of Supplemental Indenture

	
2

	  	  
	
ARTICLE 3

 

MISCELLANEOUS

	
Section 3.01  Trust Indenture Act Controls

	
2

	
Section 3.02  Governing Law

	
2

	
Section 3.03  Ratification of Indenture; No Adverse Interpretation of Other Agreements

	
2

	
Section 3.04  Severability

	
2

	
Section 3.05  Counterpart Originals

	
2

	
Section 3.06  Table of Contents, Headings, etc

	
2

	
Section 3.07  Effectiveness

	
2

	
Section 3.08  Trustee’s Disclaimer

	
3

 

 

  

  

  

 

 

FIRST SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”) dated as of December 15, 2014 to the Indenture dated as of October 15, 2012 (the “Indenture”) among Crown Castle REIT Inc., a Delaware corporation (the “Company” or the “Surviving Company”), Crown Castle International Corp., a Delaware corporation (the “Predecessor Company”), and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”).

 

WHEREAS, the Predecessor Company has executed and delivered to the Trustee the Indenture providing for the issuance of the 5.25% Senior Notes due 2023 (the “Notes”);

WHEREAS, the Predecessor Company and the Company entered into an Agreement and Plan of Merger dated as of September 19, 2014 (the “Merger Agreement”), providing for the merger of the Predecessor Company with and into the Company (the “Merger”), with the Company as the entity surviving the Merger;

WHEREAS, Section 5.01 of the Indenture provides that the Predecessor Company shall not consolidate or merge with or into another corporation, Person or entity, unless the entity or the Person formed by or surviving any such consolidation or merger (if other than the Predecessor Company) assumes all the obligations of the Predecessor Company under the Notes and the Indenture pursuant to a supplemental indenture;

WHEREAS, the Merger complies with the other provisions of Section 5.01 of the Indenture;

WHEREAS, Section 9.01(a) of the Indenture permits the Predecessor Company and the Trustee to amend or supplement the Indenture or the Notes without the consent of any Holder of the Notes to provide for the assumption of the Predecessor Company’s obligations to Holders of Notes in the case of a merger or consolidation;

WHEREAS, effective as of 11:58 p.m. on December 15, 2014 (the “Effective Time”), the Predecessor Company will merge with the Company pursuant to the terms of the Merger Agreement, and the Company will be the entity surviving the Merger and will be renamed “Crown Castle International Corp.” at the Effective Time; and

WHEREAS, the Company and the Predecessor Company have requested that the Trustee execute and deliver this Supplemental Indenture, and all requirements necessary to make this Supplemental Indenture a valid, binding and enforceable instrument in accordance with its terms have been done and performed, and the execution and delivery of this Supplemental Indenture has been duly authorized in all respects.

NOW, THEREFORE, in consideration of the covenants and agreements set forth herein and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto hereby agree as follows:

ARTICLE 1

DEFINITIONS

Section 1.01  Definitions.  All defined terms used herein and not defined herein shall have the meaning ascribed to such terms in the Indenture.  Additional terms are defined in the body of this Supplemental Indenture.  In the event that any term or provision contained herein shall conflict with any term or provision contained in the Indenture, the terms and provisions of this Supplemental Indenture shall govern.

 

 

  

  

  

 

ARTICLE 2

ASSUMPTION

Section 2.01  Assumption of Obligations.  Effective as of the Effective Time, the Company, as the entity surviving the Merger, shall assume by this Supplemental Indenture all the obligations of the Predecessor Company under the Notes and the Indenture.

Section 2.02  Effect of Supplemental Indenture.  Effective as of the Effective Time, the Company shall succeed to, and be substituted for (so that from and after the Effective Time, the provisions of the Indenture referring to the “Company” shall refer instead to the Surviving Company and not to the Predecessor Company), and may exercise every right and power of the Predecessor Company under the Indenture with the same effect as if the Surviving Company had been named as the Company therein.

ARTICLE 3

MISCELLANEOUS

Section 3.01  Trust Indenture Act Controls.  If any provision of this Supplemental Indenture limits, qualifies or conflicts with the duties imposed by TIA § 318(c), the imposed duties shall control.

Section 3.02  Governing Law.  THE INTERNAL LAW OF THE STATE OF NEW YORK SHALL GOVERN AND BE USED TO CONSTRUE THIS SUPPLEMENTAL INDENTURE WITHOUT GIVING EFFECT TO APPLICABLE PRINCIPLES OF CONFLICTS OF LAW TO THE EXTENT THAT THE APPLICATION OF THE LAWS OF ANOTHER JURISDICTION WOULD BE REQUIRED THEREBY.

Section 3.03  Ratification of Indenture; No Adverse Interpretation of Other Agreements.  The Indenture, as supplemented by this Supplemental Indenture, is in all respects ratified and confirmed.  This Supplemental Indenture may not be used to interpret any other indenture, loan or debt agreement of the Company, the Predecessor Company or their respective Subsidiaries or of any other Person.  Any such indenture, loan or debt agreement may not be used to interpret this Supplemental Indenture.

Section 3.04  Severability.  In case any provision in this Supplemental Indenture shall be invalid, illegal or unenforceable, the validity, legality and enforceability of the remaining provisions shall not in any way be affected or impaired thereby.

Section 3.05  Counterpart Originals.  The parties may sign any number of copies of this Supplemental Indenture.  Each signed copy shall be an original, but all of them together represent the same agreement.

Section 3.06  Table of Contents, Headings, etc.  The Table of Contents and Headings of the Articles and Sections of this Supplemental Indenture have been inserted for convenience of reference only, are not to be considered a part of this Supplemental Indenture and shall in no way modify or restrict any of the terms or provisions hereof.

 

Section 3.07  Effectiveness.  The provisions of Article 2 of this Supplemental Indenture shall become operative and effective upon the Effective Time.

 

 

  

2

  

 

Section 3.08  Trustee’s Disclaimer.  The Trustee shall not be responsible for and makes no representation as to the validity or adequacy of this Supplemental Indenture and shall not be responsible for any statement in the recitals of this Supplemental Indenture.

 

  

3

  

 

IN WITNESS WHEREOF, the parties have caused this First Supplemental Indenture to be duly executed as of December 15, 2014.

 

	 	

CROWN CASTLE REIT INC.

	 
	 	 	 	 
	
 

	
By: 

	/s/ Jay A. Brown	 
	 	Name:  	Jay A. Brown	 
	 	Title:	
Senior Vice President, Chief Financial

Officer and Treasurer

	 
	 	 	 	 

 

 

	 	

CROWN CASTLE INTERNATIONAL CORP.

	 
	 	 	 	 
	
 

	
By: 

	/s/ Jay A. Brown	 
	 	Name:  	Jay A. Brown	 
	 	Title:	
Senior Vice President, Chief Financial

Officer and Treasurer

	 
	 	 	 	 

 

 

	 	

THE BANK OF NEW YORK MELLON TRUST 

COMPANY, N.A., as Trustee

	 
	 	 	 	 
	
 

	
By: 

	/s/ Michael Countryman	 
	 	Name:  	Michael Countryman	 
	 	Title:	
Vice President

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