Document:

exv10w37

 

Exhibit 10.37

 

REGISTRATION RIGHTS AGREEMENT

Dated as of October 12, 2006

among

Finisar Corporation

and

The Initial Purchasers of Finisar Corporation’s

21/2% Convertible Senior Subordinated Notes due 2010

 

 

 

REGISTRATION RIGHTS AGREEMENT

     This Registration Rights Agreement (the “Agreement”) is made and entered into this
12th day of October, 2006, among Finisar Corporation, a Delaware corporation (the
“Company”), and the initial purchasers of the Company’s Notes (as such term is defined
below) named in Exhibit A hereto (each, an “Initial Purchaser,” and collectively,
the “Initial Purchasers”), pursuant to those separate Exchange Agreements, dated October 6,
2006, between the Company and each of the Initial Purchasers (collectively, the “Exchange
Agreement”). In order to induce the Initial Purchasers to enter into the Exchange Agreement
and in satisfaction of a condition to the Initial Purchasers’ obligations thereunder, the Company
has agreed to provide to the Initial Purchasers and their direct and indirect transferees and
assigns the registration rights set forth in this Agreement.

     In consideration of the foregoing, the parties hereto agree as follows:

     1. Definitions.

     As used in this Agreement, the following capitalized defined terms shall have the following
meanings:

     “1933 Act” shall mean the Securities Act of 1933, as amended from time to time, and
the rules and regulations of the SEC promulgated thereunder.

     “1934 Act” shall mean the Securities Exchange Act of l934, as amended from time to
time, and the rules and regulations of the SEC promulgated thereunder.

     “Closing Date” shall mean the date of the Closing as defined in Section 1.2 of the
Exchange Agreement.

     “Common Stock” shall mean common stock, $0.001 par value per share, of the Company.

     “Company” shall have the meaning set forth in the preamble to this Agreement and also
includes the Company’s successors.

     “Depositary” shall mean The Depository Trust Company, or any other depositary
appointed by the Company; provided, however, that any such depositary must have an address in The
Borough of Manhattan, The City of New York.

     “Effectiveness Period” shall have the meaning set forth in Section 2.1(a) hereof.

     “Effectiveness Target Date” shall mean the one hundred eightieth (180th) day after the
Closing Date.

     “Exchange Agreement” shall have the meaning set forth in the preamble to this
Agreement.

 

 

     “Filing Date” shall mean the sixtieth (60th) day after the Closing Date.

     “Holder” shall mean an Initial Purchaser, for so long as it owns any Registrable
Securities, and each of its successors, assigns and direct and indirect transferees who become
registered owners of Registrable Securities under the Indenture.

     “Indenture” shall mean the Indenture relating to the Securities, dated as of October
12, 2006, between the Company and U.S. Bank National Association, as trustee, as the same may be
amended, supplemented or otherwise modified from time to time in accordance with the terms thereof.

     “Initial Purchaser” or “Initial Purchasers” shall have the meaning set forth
in the preamble to this Agreement.

     “Liquidated Damages” shall have the meaning set forth in Section 2.4 hereof.

     “Majority Holders” shall mean the Holders of a majority of the aggregate principal
amount of Registrable Securities outstanding; provided, that whenever the consent or approval of
Holders of a specified percentage of Registrable Securities is required hereunder, Registrable
Securities held by the Company or any of its affiliates (as such term is defined in Rule 405 under
the 1933 Act) shall be disregarded in determining whether such consent or approval was given by the
Holders of such required percentage.

     “NASD” shall mean the National Association of Securities Dealers, Inc.

     “Notes” shall mean the 21/2% Convertible Senior Subordinated Notes due 2010 of the
Company to be purchased pursuant to the Exchange Agreement.

     “Person” shall mean an individual, partnership, corporation, limited liability
company, joint venture, trust or unincorporated organization, or a government or agency or
political subdivision thereof.

     “Prospectus” shall mean the prospectus included in any Registration Statement,
including any preliminary prospectus, and any such prospectus as amended or supplemented by any
prospectus supplement, with respect to the terms of the offering of any portion of the Registrable
Securities covered by such Registration Statement, and all other amendments and supplements to any
such prospectus, including post-effective amendments, and in each case including all material
incorporated or deemed to be incorporated by reference therein.

     “Registrable Securities” shall mean the Notes and the shares of Common Stock into
which the Notes are convertible, upon original issuance thereof, and at all times subsequent
thereto; provided, however, that any Securities shall cease to be Registrable Securities when (i) a
Registration Statement with respect to such Securities shall have been declared effective under the
1933 Act and such Securities shall have been sold pursuant to such Registration Statement, (ii)
such Securities shall have been sold to the public pursuant to Rule l44 (or any similar provision
then in force, other than Rule 144A) under the 1933 Act, or (iii) such Securities shall have ceased
to be outstanding.

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     “Registration Default” shall have the meaning set forth in Section 2.4 hereof.

     “Registration Expenses” shall mean any and all expenses incident to performance of or
compliance by the Company with this Agreement, including without limitation: (i) all SEC, stock
exchange or NASD registration and filing fees, (ii) all fees and expenses incurred in connection
with compliance with state or other securities or blue sky laws and compliance with the rules of
the NASD (including reasonable fees and disbursements of counsel for any underwriters or Holders in
connection with qualification of any Registrable Securities under state or other securities or blue
sky laws and any filing with and review by the NASD), (iii) all expenses of any Persons in
preparing or assisting in preparing, word processing, printing and distributing any Registration
Statement, any Prospectus, any amendments or supplements thereto, any underwriting agreements,
securities sales agreements, certificates representing the Securities and other documents relating
to the performance of and compliance with this Agreement, (iv) all fees and expenses incurred in
connection with the listing, if any, of any of the Registrable Securities on any securities
exchange or exchanges or on any quotation system, (v) all rating agency fees, (vi) all fees and
disbursements relating to the qualification of the Indenture under applicable securities laws,
(vii) the fees and disbursements of counsel for the Company and the fees and expenses of
independent public accountants for the Company or for any other Person, business or assets whose
financial statements are included in any Registration Statement or Prospectus, including the
expenses of any special audits or “cold comfort” letters required by or incident to such
performance and compliance, (viii) the fees and expenses of a “qualified independent underwriter”
as defined by Conduct Rule 2720 of the NASD (if required by the NASD rules) and the fees and
disbursements of its counsel, (ix) the fees and expenses of the Trustee, any registrar, any
depositary, any paying agent, any escrow agent or any custodian, in each case including their
respective counsel, and (x) any fees and disbursements of the underwriters customarily paid by
issuers or sellers of securities and the fees and expenses of any special experts retained by the
Company in connection with any Registration Statement, but excluding underwriting discounts and
commissions and any transfer taxes, if any, relating to the sale or disposition of Registrable
Securities by a Holder.

     “Registration Statement” shall mean any registration statement of the Company pursuant
to the provisions of Section 2 of this Agreement that covers all of the Registrable Securities on
an appropriate form under Rule 415 under the 1933 Act, or any similar rule that may be adopted by
the SEC, and all amendments and supplements to such registration statement, including
post-effective amendments, in each case including the Prospectus contained therein, all exhibits
thereto and all material incorporated or deemed to be incorporated by reference therein.

     “SEC” shall mean the Securities and Exchange Commission or any successor agency or
government body performing the functions currently performed by the United States Securities and
Exchange Commission.

     “Securities” shall mean the Notes and the shares of Common Stock into which the Notes
are convertible, upon original issuance thereof, and at all times subsequent thereto.

     “Selling Securityholder Questionnaire” means the Form of Selling Securityholder
Questionnaire attached as Exhibit B hereto.

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      “Shelf Registration” shall have the meaning set forth in Section 2.1 hereof.

      “TIA” shall mean the Trust Indenture Act of 1939, as amended from time to time, and
the rules and regulations of the SEC promulgated thereunder.

      “Trustee” shall mean the trustee with respect to the Securities under the Indenture.

      “Underwriters” shall have the meaning set forth in Section 4(a) hereof.

      For purposes of this Agreement, (i) all references in this Agreement to any Registration
Statement or Prospectus or any amendment or supplement to any of the foregoing shall be deemed to
include the copy filed with the SEC pursuant to its Electronic Data Gathering, Analysis and
Retrieval system; (ii) all references in this Agreement to financial statements and schedules and
other information which is “contained”, “included” or “stated” in any Registration Statement or
Prospectus (or other references of like import) shall be deemed to mean and include all such
financial statements and schedules and other information which is incorporated or deemed to be
incorporated by reference in such Registration Statement or Prospectus, as the case may be; and
(iii) all references in this Agreement to amendments or supplements to any Registration Statement
or Prospectus shall be deemed to mean and include the filing of any document under the 1934 Act
which is incorporated or deemed to be incorporated by reference in such Registration Statement or
Prospectus, as the case may be.

      2. Registration Under the 1933 Act.

      2.1 Shelf Registration.

     (a) The Company shall, no later than the Filing Date, file with the SEC a Registration
Statement for an offering to be made on a continuous basis pursuant to Rule 415 under the
1933 Act registering the resale by Holders thereof of the Registrable Securities (the
“Shelf Registration”). The Shelf Registration shall be on Form S-3 under the 1933
Act or another appropriate form permitting registration of such Registrable Securities for
resale by the Holders in the manner or manners reasonably designated by them (including,
without limitation, one or more underwritten offerings). The Company shall not permit any
securities other than Registrable Securities to be included in the Shelf Registration. The
Company shall use its best efforts to cause the Registration Statement to be declared
effective by the SEC as promptly as practicable, but no later than the Effectiveness Target
Date, and to keep such Registration Statement effective, supplemented and amended as
required, in order to permit the Prospectus forming a part thereof to be useable by the
Holders until the earliest of (i) the date that is two years after the last date of original
issuance of any of the Notes, (ii) the date when the Holders are able to sell all of their
Securities immediately without restriction pursuant to the volume limitation provisions of
Rule 144 under the 1933 Act or otherwise, or (iii) all of the Registrable Securities covered
by the Registration Statement have been sold pursuant to the Registration Statement (the
“Effectiveness Period”); provided, however, that the Effectiveness Period in
respect of the Registration Statement shall be extended to the extent required to permit
dealers to comply with the applicable prospectus delivery requirements of Rule 174 under the
1933 Act and as otherwise provided herein.

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     (b) Notwithstanding any other provisions hereof, the Company shall use its best efforts
to ensure that (i) any Registration Statement and any amendment thereto and any Prospectus
forming a part thereof and any supplements thereto complies in all material respects with
the 1933 Act, (ii) any Registration Statement and any amendment thereto does not, when it
becomes effective, contain an untrue statement of a material fact or omit to state a
material fact required to be stated therein or necessary to make the statements therein not
misleading and (iii) any Prospectus forming a part of any Registration Statement and any
amendment or supplement to such Prospectus, does not include an untrue statement of a
material fact or omit to state a material fact necessary in order to make the statements
therein, in the light of the circumstances under which they were made, not misleading.

     (c) The Company further agrees, if necessary, to supplement or amend the Registration
Statement, as required by Section 3(b) below, and to furnish to the Holders of Registrable
Securities copies of any such supplement or amendment promptly after its being used or filed
with the SEC.

     2.2 Expenses. The Company shall pay all Registration Expenses in connection with the
Shelf Registration and any Registration Statement. Each Holder shall pay all fees and
disbursements of its counsel, other than as set forth in the preceding sentence or in the
definition of Registration Expenses, and all underwriting discounts and commissions and transfer
taxes, if any, relating to the sale or disposition of such Holder’s Registrable Securities pursuant
to the Registration Statement.

     2.3 Effectiveness.

     (a) The Company shall be deemed not to have used its best efforts to cause the Registration
Statement to become, or to remain, effective during the requisite periods set forth herein if the
Company voluntarily takes any action that would, or omits to take any action such that the omission
would, result in any such Registration Statement not being declared effective or remaining
effective, or in the Holders of Registrable Securities covered thereby not being able to offer and
sell such Registrable Securities during that period as and to the extent contemplated hereby,
unless such action is required by applicable law.

     (b) The Registration Statement shall not be deemed to have become effective unless it has been
declared effective by the SEC or has automatically become effective in accordance with the rules
and regulations adopted by the SEC; provided, however, that if, after it has been declared
effective, the offering of Registrable Securities pursuant to the Registration Statement is
interfered with by any stop order, injunction or other order or requirement of the SEC or any other
governmental agency or court, such Registration Statement shall be deemed not to have been
effective during the period of such interference, until the offering of Registrable Securities
pursuant to such Registration Statement may legally resume.

     2.4 Liquidated Damages. In the event that (a) the Registration Statement has not been
filed with the SEC on the day following the Filing Date, (b) the Registration Statement is not
declared effective by the SEC on the day following the Effectiveness Target Date, (c) the
Registration Statement, previously declared effective, shall cease to be effective or usable at any

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time during the Effectiveness Period for any reason without being succeeded within five
business days by a post-effective amendment to such Registration Statement or a report filed with
the SEC pursuant to the 1934 Act that cures such failure or (d) the Company suspends the use of any
Prospectus related to the Registration Statement for a period exceeding thirty (30) days in any
consecutive three-month period or exceeding an aggregate of ninety (90) days in any consecutive
twelve-month period (each such event referred to in clauses (a) through (d) above, a
“Registration Default”), then additional interest shall be borne by the Notes in the form
of liquidated damages (“Liquidated Damages”) at a rate per year equal to: (i) one-quarter
of one percent (0.25%) of the outstanding principal amount of the Notes from and including the day
of such Registration Default to and including the 90th day following such Registration
Default and (ii) one half of one percent (0.50%) of the outstanding principal amount of Notes from
and after the ninety-first (91st) day following the occurrence of such Registration
Default; provided that the aggregate increase in such interest rate will in no event exceed one
half of one percent (0.50%) per annum.

     If a holder has converted some or all of its Notes into Common Stock, the Holder will not be
entitled to receive any Liquidated Damages with respect to such Common Stock or the principal
amount of the Notes that have been so converted. In addition, in no event will Liquidated Damages
be payable in connection with a Registration Default relating to a failure to register the Common
Stock deliverable upon conversion of the Notes. For the avoidance of doubt, if the Company fails
to register both the Notes and the Common Stock deliverable upon conversion of the Notes, then
Liquidated Damages will be payable solely in connection with the Registration Default relating to
the failure to register the Notes.

     Upon the cure of such Registration Default, the accrual of Liquidated Damages will cease and
the interest rate will revert to the original rate so long as no other Registration Default shall
have occurred and shall be continuing at such time and the Company is otherwise in compliance with
this Agreement; provided, however, that, if after any such reduction in interest rate, one or more
Registration Defaults shall again occur, the interest rate shall again be increased pursuant to the
foregoing provisions. A Registration Default under clause (a) above shall be cured on the date
that the Shelf Registration is filed with the SEC; a Registration Default under clause (b) above
shall be cured on the date that the Shelf Registration is declared effective by the SEC; a
Registration Default under clause (c) above shall be cured on the date the Shelf Registration is
declared effective or useable; and a Registration Default under clause (d) above shall be cured on
the date the Prospectus is declared useable by the Company.

     The Company shall notify the Trustee within three business days after each and every date on
which a Registration Default occurs. Liquidated Damages shall be paid by the Company semi-annually
in arrears to the Holders by depositing with the Trustee, in trust, for the benefit of the Holders
of Registrable Securities, on or before the applicable semiannual interest payment date,
immediately available funds in sums sufficient to pay the Liquidated Damages then due. The accrued
Liquidated Damages shall be payable on each interest payment date to the record Holder of
Securities entitled to receive the interest payment to be paid on such date as set forth in the
Indenture. Each obligation to pay Liquidated Damages shall be deemed to accrue from and including
the applicable Registration Default to, but excluding, the day on which the Registration Default
has been cured.

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      2.5 Specific Enforcement. Without limiting the remedies available to the Holders, the
Company acknowledges that any failure by the Company to comply with its obligations under this
Section 2 may result in material irreparable injury to the Holders for which there is no adequate
remedy at law, that it would not be possible to measure damages for such injuries precisely and
that, in the event of any such failure, any Holder may obtain such relief as may be required to
specifically enforce the Company’s obligations under this Section 2.

      3. Registration Procedures.

      In connection with the obligations of the Company with respect to the Shelf Registration and
the Registration Statement pursuant to Section 2 hereof, the Company shall:

     (a) prepare and file with the SEC a Registration Statement within the period specified
in Section 2, on the appropriate form under the 1933 Act, which form (i) shall be selected
by the Company, (ii) shall be available for the sale of the Registrable Securities by the
selling Holders thereof, and (iii) shall comply as to form in all material respects with the
requirements of the applicable form and include or incorporate by reference all financial
statements required by the SEC to be filed therewith or incorporated by reference therein,
and use its best efforts to cause such Registration Statement to become effective and remain
effective in accordance with Section 2 hereof;

     (b) prepare and file with the SEC such amendments and post-effective amendments to each
Registration Statement as may be necessary under applicable law to keep such Registration
Statement effective for the applicable period; cause each Prospectus to be supplemented by
any required prospectus supplement, and as so supplemented to be filed pursuant to Rule 424
(or any similar provision then in force) under the 1933 Act; and comply with the provisions
of the 1933 Act and the 1934 Act with respect to the disposition of all securities covered
by a Registration Statement during the applicable period in accordance with the intended
method or methods of distribution by the selling Holders thereof;

     (c) (i) notify each Holder of Registrable Securities, at least five business days prior
to filing, that a Registration Statement with respect to the Registrable Securities is being
filed and advising such Holders that the distribution of Registrable Securities will be made
in accordance with the method elected by the Majority Holders; (ii) furnish to each Holder
of Registrable Securities, to counsel for the Holders and to each underwriter of an
underwritten offering of Registrable Securities, if any, without charge, as many copies of
each Prospectus, including each preliminary Prospectus, and any amendment or supplement
thereto and such other documents as such Holder, counsel or underwriter may reasonably
request, including financial statements and schedules and, if such Holder, counsel or
underwriter so requests, all exhibits (including those incorporated by reference) in order
to facilitate the public sale or other disposition of the Registrable Securities; and (iii)
the Company hereby consents to the use of the Prospectus, including each preliminary
Prospectus, or any amendment or supplement thereto by each of the Holders and underwriters
of Registrable Securities in connection with the offering and sale of the Registrable
Securities covered by any Prospectus or any amendment or supplement thereto;

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     (d) use its best efforts to register or qualify the Registrable Securities under all
applicable state securities or “blue sky” laws of such jurisdictions as any Holder of
Registrable Securities covered by a Registration Statement and each underwriter of an
underwritten offering of Registrable Securities shall reasonably request, to cooperate with
the Holders and the underwriters of any Registrable Securities in connection with any
filings required to be made with the NASD, to keep each such registration or qualification
effective during the period such Registration Statement is required to be effective, and do
any and all other acts and things which may be reasonably necessary or advisable to enable
such Holder to consummate the disposition in each such jurisdiction of such Registrable
Securities owned by such Holder; provided, however, that the Company shall not be required
to (i) qualify as a foreign corporation or as a dealer in securities in any jurisdiction
where it would not otherwise be required to qualify but for this Section 3(d) or (ii) take
any action which would subject it to general service of process or taxation in any such
jurisdiction if it is not then so subject;

     (e) notify each Holder of Registrable Securities and counsel for such Holder promptly
and, if requested by such Holder or counsel, confirm such advice in writing promptly (i)
when a Registration Statement has become effective and when any post-effective amendments
and supplements thereto become effective, (ii) of any request by the SEC or any state
securities authority for post-effective amendments or supplements to a Registration
Statement or Prospectus or for additional information after a Registration Statement has
become effective, (iii) of the issuance by the SEC or any state securities authority of any
stop order suspending the effectiveness of a Registration Statement or the initiation of any
proceedings for that purpose, (iv) if between the effective date of a Registration Statement
and the closing of any sale of Registrable Securities covered thereby, the representations
and warranties of the Company contained in any underwriting agreement, securities sales
agreement or other similar agreement, if any, relating to such offering cease to be true and
correct in all material respects, (v) of the happening of any event or the discovery of any
facts during the period a Registration Statement is effective which makes any statement made
in such Registration Statement or the related Prospectus untrue in any material respect or
which constitutes an omission to state a material fact in such Registration Statement or
Prospectus or which requires the making of any changes in such Registration Statement or
Prospectus in order to make the statements therein not misleading, (vi) of the receipt by
the Company of any notification with respect to the suspension of the qualification of the
Registrable Securities for sale in any jurisdiction or the initiation or threatening of any
proceeding for such purpose and (vii) of any determination by the Company that a
post-effective amendment to a Registration Statement would be appropriate;

     (f) furnish counsel for the Holders of Registrable Securities and counsel for any
underwriters of Registrable Securities copies of any comment letters received from the SEC
or any other request by the SEC or any state securities authority for amendments or
supplements to a Registration Statement and Prospectus or for additional information;

     (g) make every reasonable effort to obtain the withdrawal of any order suspending the
effectiveness of a Registration Statement as soon as practicable and provide immediate
notice to each Holder of the withdrawal of any such order;

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     (h) furnish to each Holder of Registrable Securities, and each underwriter, if any,
without charge, at least one conformed copy of each Registration Statement and any
post-effective amendment thereto, including financial statements and schedules (without
documents incorporated or deemed to be incorporated therein by reference or exhibits
thereto, unless requested);

     (i) cooperate with the selling Holders of Registrable Securities to facilitate the
timely preparation and delivery of certificates representing Registrable Securities to be
sold and not bearing any restrictive legends; and cause such Registrable Securities to be in
such denominations (consistent with the provisions of the Indenture) and in a form eligible
for deposit with the Depositary and registered in such names as the selling Holders or the
underwriters, if any, may reasonably request in writing at least three business days prior
to the closing of any sale of Registrable Securities;

     (j) upon the occurrence of any event or the discovery of any facts, each as
contemplated by Sections 3(e)(v) and 3(e)(vi) hereof, as promptly as practicable after the
occurrence of such an event, use its best efforts to prepare a supplement or post-effective
amendment to a Registration Statement or the related Prospectus or any document incorporated
or deemed to be incorporated therein by reference or file any other required document so
that, as thereafter delivered to the purchasers of the Registrable Securities, such
Prospectus will not contain at the time of such delivery any untrue statement of a material
fact or omit to state a material fact necessary in order to make the statements therein, in
the light of the circumstances under which they were made, not misleading. The Company
agrees to notify each Holder to suspend use of the Prospectus as promptly as practicable
after the occurrence of such an event, and each Holder hereby agrees to suspend use of the
Prospectus until the Company has amended or supplemented the Prospectus to correct such
misstatement or omission. At such time as such public disclosure is otherwise made or the
Company determines that such disclosure is not necessary, in each case to correct any
misstatement of a material fact or to include any omitted material fact, the Company agrees
promptly to notify each Holder of such determination and to furnish each Holder such number
of copies of the Prospectus, as amended or supplemented, as such Holder may reasonably
request;

     (k) obtain CUSIP numbers for all Registrable Securities not later than the effective
date of a Registration Statement, and provide the Trustee with printed certificates for the
Registrable Securities in a form eligible for deposit with the Depositary;

     (l) (i) cause the Indenture to be qualified under the TIA in connection with the
registration of the Registrable Securities, (ii) cooperate with the Trustee and the Holders
to effect such changes, if any, to the Indenture as may be required for the Indenture to be
so qualified in accordance with the terms of the TIA and (iii) execute, and use its best
efforts to cause the Trustee to execute, all documents as may be required to effect such
changes, if any, and all other forms and documents required to be filed with the SEC to
enable the Indenture to be so qualified in a timely manner;

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      (m) enter into agreements (including underwriting agreements) and take all other
customary and appropriate actions in order to expedite or facilitate the disposition of such
Registrable Securities and in such connection, whether or not an underwriting agreement is
entered into and whether or not the registration is an underwritten registration;

     (i) make such representations and warranties to the Holders of such Registrable
Securities and the underwriters, if any, in form, substance and scope as are
customarily made by issuers to underwriters in similar underwritten offerings as may
be reasonably requested by such Holders and underwriters;

     (ii) in connection with any underwritten offering, seek to obtain opinions of
counsel to the Company and updates thereof (which counsel and opinions (in form,
scope and substance) shall be reasonably satisfactory to the managing underwriters,
if any, and the Holders of a majority in principal amount of the Registrable
Securities being sold) addressed to each selling Holder (where reasonably possible)
and the underwriters, if any, covering the matters customarily covered in opinions
requested in sales of securities or underwritten offerings and such other matters as
may be reasonably requested by such Holders and underwriters;

     (iii) in connection with any underwritten offering, seek to obtain “comfort
letters” and updates thereof with respect to such Registration Statement and the
Prospectus included therein, all amendments and supplements thereto and all
documents incorporated or deemed to be incorporated by referenced therein from the
Company’s independent certified public accountants and (where reasonably possible)
from the independent certified public accountants for any other Person or any
business or assets whose financial statements are included or incorporated by
reference in the Registration Statement or Prospectus, each addressed to the
underwriters, if any, and (where reasonably possible) to have such letter addressed
to the selling Holders of Registrable Securities, such letters to be in customary
form and covering matters of the type customarily covered in “comfort letters” to
underwriters in connection with similar underwritten offerings;

     (iv) enter into securities sales agreements with the Holders and agents of the
Holders providing for, among other things, the appointment of such agents for the
selling Holders for the purpose of soliciting purchases of Registrable Securities,
which agreements shall be in form, substance and scope customary for similar
offerings;

     (v) if an underwriting agreement is entered into in the case of any
underwritten offering, cause the same to set forth indemnification and contribution
provisions and procedures substantially equivalent to the indemnification and
contribution provisions and procedures set forth in Section 4 hereof with respect to
the underwriters and all other parties to be indemnified

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pursuant to Section 4 hereof or, at the request of any underwriters, in the
form customarily provided to such underwriters in similar types of transactions; and

     (vi) deliver such other documents and certificates as may be reasonably
requested and as are customarily delivered in similar offerings to the Holders of a
majority in principal amount of the Registrable Securities being sold and the
managing underwriters, if any.

The above shall be done at (i) the effectiveness of such Registration Statement (and, if
appropriate, each post-effective amendment thereto) and (ii) each closing under any
underwriting or similar agreement as and to the extent required thereunder;

     (n) make available for inspection by representatives of the Holders of the Registrable
Securities and any underwriters participating in any disposition pursuant to a Registration
Statement and any counsel or accountant retained by such Holders or underwriters, all
financial and other records, documents and properties of the Company reasonably requested by
any such Persons, and cause the respective officers, directors, employees, and any other
agents of the Company to supply all information reasonably requested by any such
representative, underwriter, special counsel or accountant in connection with a Registration
Statement, and make such representatives of the Company available for discussion of such
documents as shall be reasonably requested by the Initial Purchasers;

     (o) a reasonable time prior to filing any Registration Statement, any Prospectus
forming a part thereof, any amendment to such Registration Statement or amendment or
supplement to such Prospectus, provide copies of such document upon request to the Holders
of Registrable Securities, to the Initial Purchasers, to the underwriter or underwriters of
an underwritten offering of Registrable Securities, if any, and to counsel for any such
Holders, the Initial Purchasers or underwriters, and make such changes in any such document
prior to the filing thereof as the Holders of Registrable Securities, the Initial
Purchasers, the counsel to the Holders or the underwriter or underwriters or any of their
respective counsel may reasonably request; cause the representatives of the Company to be
available for discussion of such documents as shall be reasonably requested by the Holders
of Registrable Securities, the Initial Purchasers or any underwriter; and shall not at any
time make any filing of any such document of which such Holders, the Initial Purchasers,
their counsel or any underwriter shall not have previously been advised and furnished a copy
or to which the Majority Holders, the Initial Purchasers, their counsel or any underwriter
shall reasonably object within a reasonable time period;

     (p) use its best efforts to cause all Registrable Securities to be listed on any
securities exchange on which similar debt or equity securities issued by the Company are
then listed, if any;

     (q) use its best efforts to cause the Registrable Securities to be rated with the
appropriate rating agencies, if so requested by the Majority Holders or by the underwriter

11

 

or underwriters of an underwritten offering of Registrable Securities, if any, unless
the Registrable Securities are already so rated;

     (r) otherwise comply with all applicable rules and regulations of the SEC and make
available to its security holders, as soon as reasonably practicable, an earnings statement
covering at least twelve (12) months which shall satisfy the provisions of Section 11(a) of
the 1933 Act and Rule 158 thereunder; and

     (s) cooperate and assist in any filings required to be made with the NASD and in the
performance of any due diligence investigation by any underwriter and its counsel (including
any “qualified independent underwriter” that is required to be retained in accordance with
the rules and regulations of the NASD).

       Each Holder of Registrable Securities agrees that if such Holder wishes to sell Registrable
Securities pursuant to the Registration Statement and the related Prospectus, it will deliver a
Selling Securityholder Questionnaire to the Company at least three Business Days prior to any
intended distribution of the Registrable Securities pursuant to the Registration Statement. Upon
receipt of such completed Selling Securityholder Questionnaire, together with such other
information as the Company may reasonably request from a Holder of Notes following the
effectiveness of the Registration Statement, the Company, as promptly as reasonably practicable,
but in any event within five business days of such receipt, file such amendments to the
Registration Statement or supplements to the related Prospectus as are necessary to permit such
Holder to deliver such Prospectus to Purchasers of Registrable Securities, subject to the right of
the Company to suspend the use of the Prospectus as discussed herein. Any Holder that does not
complete and deliver a Selling Securityholder Questionnaire or provide such other information will
not be named as a selling Holder in the Prospectus and therefore will not be permitted to sell any
registrable securities pursuant to the Registration Statement.

       Each Holder agrees that, upon receipt of any notice from the Company of the happening of any
event or the discovery of any facts, each of the kind described in Sections 3(e)(ii), 3(e)(iii) or
3(e)(v) through 3(e)(vii) hereof, such Holder will forthwith discontinue disposition of Registrable
Securities pursuant to a Registration Statement until receipt by such Holder of (i) the copies of
the supplemented or amended Prospectus contemplated by Section 3(j) hereof or (ii) written notice
from the Company that the Shelf Registration is once again effective or that no supplement or
amendment is required. If so directed by the Company, such Holder will deliver to the Company (at
the Company’s expense) all copies in such Holder’s possession, other than permanent file copies
then in such Holder’s possession, of the Prospectus covering such Registrable Securities current at
the time of receipt of such notice. Nothing in this paragraph shall prevent the accrual of
Liquidated Damages on any Securities.

       In the event that the Company fails to file any Registration Statement and maintain the
effectiveness of any such Registration Statement as provided herein, the Company shall not file any
Registration Statement with respect to any securities (within the meaning of Section 2(1) of the
1933 Act) of the Company other than Registrable Securities.

       If any of the Registrable Securities covered by any Registration Statement are to be sold in
an underwritten offering, the underwriter or underwriters and manager or managers that will

12

 

manage such offering will be selected by the Majority Holders of such Registrable Securities
included in such offering and shall be reasonably acceptable to the Company. No Holder of
Registrable Securities may participate in any underwritten registration hereunder unless such
Holder (a) agrees to sell such Holder’s Registrable Securities on the basis provided in any
underwriting arrangements approved by the Persons entitled hereunder to approve such arrangements
and (b) completes and executes all questionnaires, powers of attorney, indemnities, underwriting
agreements and other documents required under the terms of such underwriting arrangements.

       4. Indemnification and Contribution.

       (a) The Company agrees to indemnify and hold harmless the Initial Purchasers, each Holder,
each Person who participates as an underwriter (each, an “Underwriter”) and each Person, if
any, who controls any Initial Purchaser, Holder or Underwriter within the meaning of either Section
15 of the 1933 Act or Section 20 of the 1934 Act as follows:

     (i) against any and all loss, liability, claim, damage and expense whatsoever, as
incurred, arising out of any untrue statement or alleged untrue statement of a material fact
contained in any Registration Statement (or any amendment or supplement thereto) pursuant to
which Registrable Securities were registered under the 1933 Act, including all documents
incorporated therein by reference, or any omission or alleged omission therefrom of a
material fact required to be stated therein or necessary to make the statements therein not
misleading, or arising out of any untrue statement or alleged untrue statement of a material
fact contained in any Prospectus (or any amendment or supplement thereto) or any omission or
alleged omission therefrom of a material fact necessary in order to make the statements
therein, in the light of the circumstances under which they were made, not misleading;

     (ii) against any and all loss, liability, claim, damage and expense whatsoever, as
incurred, to the extent of the aggregate amount paid in settlement of any litigation, or any
investigation or proceeding by any governmental agency or body, commenced or threatened, or
of any claim whatsoever based upon any such untrue statement or omission, or any such
alleged untrue statement or omission; provided that (subject to Section 4(d) below) any
such settlement is effected with the written consent of the Company; and

     (iii) against any and all expense whatsoever, as incurred (including the reasonable
fees and disbursements of counsel chosen by any indemnified party), reasonably incurred in
investigating, preparing or defending against any litigation, or any investigation or
proceeding by any governmental agency or body, commenced or threatened, or any claim
whatsoever based upon any such untrue statement or omission, or any such alleged untrue
statement or omission, to the extent that any such expense is not paid under subparagraph
(i) or (ii) above;

provided, however, that this indemnity agreement shall not apply to any loss,
liability, claim, damage or expense to the extent arising out of any untrue statement or omission
or alleged untrue statement or omission made in reliance upon and in conformity with written
information

13

 

furnished to the Company by the Initial Purchasers, any Holder or Underwriter expressly for use in
a Registration Statement (or any amendment thereto) or any Prospectus (or any amendment or
supplement thereto).

     (b) Each Holder, severally but not jointly, agrees to indemnify and hold harmless the Company,
the Initial Purchasers, each Underwriter and the other selling Holders, and each of their
respective directors and officers, and each Person, if any, who controls the Company, the Initial
Purchasers, any Underwriter or any other selling Holder within the meaning of Section 15 of the
1933 Act or Section 20 of the 1934 Act, against any and all loss, liability, claim, damage and
expense described in the indemnity contained in Section 4(a) hereof, as incurred, but only with
respect to untrue statements or omissions, or alleged untrue statements or omissions, made in the
Registration Statement (or any amendment thereto) or any Prospectus included therein (or any
amendment or supplement thereto) in reliance upon and in conformity with written information with
respect to such Holder furnished to the Company by such Holder expressly for use in the
Registration Statement (or any amendment thereto) or such Prospectus (or any amendment or
supplement thereto); provided, however, that no such Holder shall be liable for any claims
hereunder in excess of the amount of net proceeds received by such Holder from the sale of
Registrable Securities pursuant to such Registration Statement.

     (c) Each indemnified party shall give notice as promptly as reasonably practicable to each
indemnifying party of any action or proceeding commenced against it in respect of which indemnity
may be sought hereunder, but failure so to notify an indemnifying party shall not relieve such
indemnifying party from any liability hereunder to the extent it is not materially prejudiced as a
result thereof and in any event shall not relieve it from any liability which it may have otherwise
than on account of this indemnity agreement. An indemnifying party may participate at its own
expense in the defense of any such action; provided, however, that counsel to the indemnifying
party shall not (except with the consent of the indemnified party) also be counsel to the
indemnified party. In no event shall the indemnifying party or parties be liable for the fees and
expenses of more than one counsel (in addition to any local counsel) separate from their own
counsel for all indemnified parties in connection with any one action or separate but similar or
related actions in the same jurisdiction arising out of the same general allegations or
circumstances. No indemnifying party shall, without the prior written consent of the indemnified
parties, settle or compromise or consent to the entry of any judgment with respect to any
litigation, or any investigation or proceeding by any governmental agency or body, commenced or
threatened, or any claim whatsoever in respect of which indemnification or contribution could be
sought under this Section 4 (whether or not the indemnified parties are actual or potential parties
thereto), unless such settlement, compromise or consent (i) includes an unconditional release of
each indemnified party from all liability arising out of such litigation, investigation, proceeding
or claim and (ii) does not include a statement as to or an admission of fault, culpability or a
failure to act by or on behalf of any indemnified party.

     (d) If at any time an indemnified party shall have requested an indemnifying party to
reimburse the indemnified party for fees and expenses of counsel, such indemnifying party agrees
that it shall be liable for any settlement of the nature contemplated by Section 4(a)(ii) effected
without its written consent if (i) such settlement is entered into more than forty-five (45) days
after receipt by such indemnifying party of the aforesaid request, (ii) such indemnifying party
shall have received notice of the terms of such settlement at least thirty (30) days prior to

14

 

such settlement being entered into and (iii) such indemnifying party shall not have reimbursed
such indemnified party in accordance with such request prior to the date of such settlement.

     (e) If the indemnification provided for in this Section 4 is for any reason unavailable to or
insufficient to hold harmless an indemnified party in respect of any losses, liabilities, claims,
damages or expenses referred to therein, then each indemnifying party shall contribute to the
aggregate amount of such losses, liabilities, claims, damages and expenses incurred by such
indemnified party, as incurred, in such proportion as is appropriate to reflect the relative fault
of the indemnifying party or parties on the one hand and of the indemnified party or parties on the
other hand in connection with the statements or omissions that resulted in such losses,
liabilities, claims, damages or expenses, as well as any other relevant equitable considerations.

     The relative fault of such indemnifying party or parties on the one hand and the indemnified
party or parties on the other hand shall be determined by reference to, among other things, whether
any such untrue or alleged untrue statement of a material fact or omission or alleged omission to
state a material fact relates to information supplied by such indemnifying party or parties or such
indemnified party or parties, and the parties’ relative intent, knowledge, access to information
and opportunity to correct or prevent such statement or omission.

     (f) The Company, the Holders and the Initial Purchasers agree that it would not be just or
equitable if contribution pursuant to this Section 4 were determined by pro rata allocation (even
if the Initial Purchasers were treated as one entity for such purpose) or by any other method of
allocation that does not take account of the equitable considerations referred to in paragraph (e)
above. The aggregate amount of losses, liabilities, claims, damages and expenses incurred by an
indemnified party and referred to above in this Section 4 shall be deemed to include any legal or
other expenses reasonably incurred by such indemnified party in investigating, preparing or
defending against any litigation, or any investigation or proceeding by any governmental agency or
body, commenced or threatened, or any claim whatsoever based upon any such untrue or alleged untrue
statement or omission or alleged omission.

     Notwithstanding the provisions of this Section 4, no Initial Purchaser or Holder shall be
required to contribute any amount in excess of the amount by which the total price at which
Registrable Securities sold by it pursuant to a Registration Statement were offered exceeds the
amount of any damages that such Initial Purchaser, Holder or Underwriter has otherwise been
required to pay by reason of any such untrue or alleged untrue statement or omission or alleged
omission.

     No Person guilty of fraudulent misrepresentation (within the meaning of Section 11(f) of the
1933 Act) shall be entitled to contribution from any Person who was not guilty of such fraudulent
misrepresentation.

     For purposes of this Section 4, each Person, if any, who controls an Initial Purchaser, Holder
or Underwriter within the meaning of Section 15 of the 1933 Act or Section 20 of the 1934 Act shall
have the same rights to contribution as such Initial Purchaser, Holder or Underwriter, as the case
may be, and each director of the Company, each officer of the Company who signed the Registration
Statement and each Person, if any, who controls the Company within the meaning of Section 15 of the
1933 Act or Section 20 of the 1934 Act shall have the

15

 

same rights to contribution as the Company. The respective obligations of the Initial
Purchasers, Holders, and Underwriters to contribute pursuant to this Section 4 are several in
proportion to the principal amount of Securities sold by them pursuant to a Registration Statement
and not joint.

     The indemnity and contribution provisions contained in this Section 4 shall remain operative
and in full force and effect regardless of (i) any termination of this Agreement, (ii) any
investigation made by or on behalf of any Initial Purchaser, Holder or Underwriter or any Person
controlling any Initial Purchaser, Holder or Underwriter, or by or on behalf of the Company, its
officers, or directors or any Person controlling the Company, and (iii) any sale of Registrable
Securities pursuant to a Registration Statement.

     5. Miscellaneous.

     5.1 Rule 144 and Rule 144A. For so long as the Company is subject to the reporting
requirements of Section 13 or 15 of the 1934 Act, the Company covenants that it will file all
reports required to be filed by it under the 1933 Act and Section 13(a) or 15(d) of the 1934 Act
and the rules and regulations adopted by the SEC thereunder, that if it ceases to be so required to
file such reports, it will upon the request of any Holder or beneficial owner of Registrable
Securities (a) make publicly available such information (including, without limitation, the
information specified in Rule 144A(d)(4) under the 1933 Act) as is necessary to permit sales
pursuant to Rule 144 under the 1933 Act, (b) deliver or cause to be delivered, promptly following a
request by any Holder or beneficial owner of Registrable Securities or any prospective purchaser or
transferee designated by such Holder or beneficial owner, such information (including, without
limitation, the information specified in Rule 144A(d)(4) under the 1933 Act) as is necessary to
permit sales pursuant to Rule 144A under the 1933 Act and it will take such further action as any
Holder or beneficial owner of Registrable Securities may reasonably request, and (c) take such
further action that is reasonable in the circumstances, in each case, to the extent required from
time to time to enable such Holder to sell its Registrable Securities without registration under
the 1933 Act within the limitation of the exemptions provided by (i) Rule 144 under the 1933 Act,
as such Rule may be amended from time to time, (ii) Rule 144A under the 1933 Act, as such Rule may
be amended from time to time, or (iii) any similar rules or regulations hereafter adopted by the
SEC. Upon the request of any Holder or beneficial owner of Registrable Securities, the Company
will deliver to such Holder a written statement as to whether it has complied with such
requirements.

     5.2 No Inconsistent Agreements. The Company has not entered into nor will the Company
on or after the date of this Agreement enter into any agreement which is inconsistent with the
rights granted to the Holders of Registrable Securities in this Agreement or otherwise conflicts
with the provisions hereof. The rights granted to the Holders hereunder do not and will not in any
way conflict with and are not and will not be inconsistent with the rights granted to the holders
of any of the Company’s other issued and outstanding securities under any other agreements entered
into by the Company or any of its subsidiaries.

     5.3 Amendments and Waivers. The provisions of this Agreement, including the
provisions of this sentence, may not be amended, modified or supplemented, and waivers or consents
to departures from the provisions hereof may not be given, unless the Company has obtained the
written consent of Holders of at least a majority in aggregate principal amount of

16

 

the outstanding Registrable Securities affected by such amendment, modification, supplement,
waiver or departure.

     5.4 Notices. All notices and other communications provided for or permitted hereunder
shall be made in writing by hand delivery, registered first-class mail, telecopier or any courier
guaranteeing overnight delivery (a) if to a Holder (other than the Initial Purchasers), at the most
current address set forth on the records of the registrar under the Indenture, (b) if to an Initial
Purchaser, at the most current address given by such Initial Purchaser to the Company by means of a
notice given in accordance with the provisions of this Section 5.4, which address initially is the
address set forth in the Exchange Agreement with respect to such Initial Purchaser, (c) if to the
Company, initially at the Company’s address set forth in the Exchange Agreement, and thereafter at
such other address of which notice is given in accordance with the provisions of this Section 5.4,
and (d) if to any Underwriter, at the most current address given by such Underwriter to the Company
by means of a notice given in accordance with the provisions of this Section 5.4, which address
initially is the address set forth in the applicable underwriting agreement.

     All such notices and communications shall be deemed to have been duly given: at the time
delivered by hand, if personally delivered; two business days after being deposited in the mail,
postage prepaid, if mailed; when receipt is acknowledged, if telecopied; and on the next business
day if timely delivered to an air courier guaranteeing overnight delivery.

     Copies of all such notices, demands or other communications shall be concurrently delivered by
the Person giving the same to the Trustee, at the address specified in the Indenture.

     5.5 Successors and Assigns. This Agreement shall inure to the benefit of and be
binding upon the successors, assigns and transferees of each of the parties, including, without
limitation and without the need for an express assignment, subsequent Holders; provided, that
nothing herein shall be deemed to permit any assignment, transfer or other disposition of
Registrable Securities in violation of the terms hereof or of the Exchange Agreement or the
Indenture. If any transferee of any Holder shall acquire Registrable Securities, in any manner,
whether by operation of law or otherwise, such Registrable Securities shall be held subject to all
of the terms of this Agreement, and by taking and holding such Registrable Securities, such Person
shall be conclusively deemed to have agreed to be bound by and to perform all of the terms and
provisions of this Agreement, including the restrictions on resale set forth in this Agreement and,
if applicable, the Exchange Agreement, and such person shall be entitled to receive the benefits
hereof.

     5.6 Third Party Beneficiaries. Each Holder of Registrable Securities shall be a third
party beneficiary to the agreements made hereunder between the Company, on the one hand, and the
Initial Purchasers, on the other hand, and shall have the right to enforce such agreements directly
to the extent it deems such enforcement necessary or advisable to protect its rights hereunder.

     5.7 Restriction on Resales. If (i) the Company or any of its subsidiaries or
affiliates (as defined in Rule 144 under the 1933 Act) shall redeem, purchase or otherwise acquire
any Registrable Security which is a “restricted security” within the meaning of Rule 144 under the

17

 

1933 Act, the Company will deliver or cause to be delivered such Registrable Security to the
Trustee for cancellation and neither the Company nor any of its subsidiaries or affiliates will
hold or resell such Registrable Security or issue any new Security to replace the same.

     5.8 Headings. The headings in this Agreement are for convenience of reference only
and shall not limit or otherwise affect the meaning hereof.

     5.9 Severability. In the event that any one or more of the provisions contained
herein, or the application thereof in any circumstance, is held invalid, illegal or unenforceable,
the validity, legality and enforceability of any such provision in every other respect and of the
remaining provisions contained herein shall not be affected or impaired thereby.

     5.10 GOVERNING LAW. THIS AGREEMENT SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE
WITH THE LAWS OF THE STATE OF NEW YORK WITHOUT REGARD TO ITS PRINCIPLES OF CONFLICT OF LAWS
THEREOF.

     5.11 Counterparts. This Agreement may be executed in any number of counterparts and
by the parties hereto in separate counterparts, each of which when so executed shall be deemed to
be an original and all of which taken together shall constitute one and the same agreement.

[Remainder of Page Intentionally Left Blank]

18

 

     IN WITNESS WHEREOF, the parties have executed this Agreement as of the date first written
above.

	 	 	 	 	 
	 	FINISAR CORPORATION

 	 
	 	By:  	/s/ Jerry S. Rawls
 	 
	 	 	Name:  	Jerry S. Rawls 	 
	 	 	Title:  	President and CEO 	 
	 

[Signature Page to Registration Rights Agreement]

 

 

     IN WITNESS WHEREOF, the parties have executed this Agreement as of the date first written
above.

	 	 	 	 	 
	 	PURCHASER

Aristeia International Limited

 	 
	 	By:  	/s/ Anthony Frascella
 	 
	 	 	Name:  	Anthony Frascella 	 
	 	 	Title:  	Managing Member of the Manager 	 
	 

[Signature Page to Registration Rights Agreement]

 

 

     IN WITNESS WHEREOF, the parties have executed this Agreement as of the date first written
above.

	 	 	 	 	 
	 	PURCHASER

Aristeia Partners LP

 	 
	 	By:  	/s/ Anthony Frascella
 	 
	 	 	Name:  	Anthony Frascella 	 
	 	 	Title:  	Managing Member of the Manager 	 
	 

[Signature Page to Registration Rights Agreement]

 

 

     IN WITNESS WHEREOF, the parties have executed this Agreement as of the date first written
above.

	 	 	 	 	 
	 	PURCHASER

Calamos Advisors LLC

 	 
	 	By:  	/s/ David H. Butler
 	 
	 	 	Name:  	David H. Butler 	 
	 	 	Title:  	SVP/Head Trader 	 
	 

[Signature Page to Registration Rights Agreement]

 

 

     IN WITNESS WHEREOF, the parties have executed this Agreement as of the date first written
above.

	 	 	 	 	 
	 	PURCHASER

CNH CA Master Account, L.P.

 	 
	 	By:  	/s/ Bradley Asness
 	 
	 	 	Name:  	Bradley Asness 	 
	 	 	Title:  	General Counsel 	 
	 

[Signature Page to Registration Rights Agreement]

 

 

     IN WITNESS WHEREOF, the parties have executed this Agreement as of the date first written
above.

	 	 	 	 	 
	 	PURCHASER

Fore Convertible Master Fund Ltd.

 	 
	 	By:  	/s/ Hareesh Paranjape
 	 
	 	 	Name:  	Hareesh Paranjape 	 
	 	 	Title:  	Assistant Secretary 	 
	 

[Signature Page to Registration Rights Agreement]

 

 

     IN WITNESS WHEREOF, the parties have executed this Agreement as of the date first written
above.

	 	 	 	 	 
	 	PURCHASER

Fore ERISA Fund Ltd.

 	 
	 	By:  	/s/ Hareesh Paranjape
 	 
	 	 	Name:  	Hareesh Paranjape 	 
	 	 	Title:  	Assistant Secretary 	 
	 

[Signature Page to Registration Rights Agreement]

 

 

     IN WITNESS WHEREOF, the parties have executed this Agreement as of the date first written
above.

	 	 	 	 	 
	 	PURCHASER

Fore Multi Strategy Master Fund Ltd.

 	 
	 	By:  	/s/ Hareesh Paranjape
 	 
	 	 	Name:  	Hareesh Paranjape 	 
	 	 	Title:  	Assistant Secretary 	 
	 

[Signature Page to Registration Rights Agreement]

 

 

     IN WITNESS WHEREOF, the parties have executed this Agreement as of the date first written
above.

	 	 	 	 	 
	 	PURCHASER

FGO Master Fund Ltd.

 	 
	 	By:  	/s/ Hareesh Paranjape
 	 
	 	 	Name:  	Hareesh Paranjape 	 
	 	 	Title:  	Assistant Secretary 	 
	 

[Signature Page to Registration Rights Agreement]

 

 

     IN WITNESS WHEREOF, the parties have executed this Agreement as of the date first written
above.

	 	 	 	 	 
	 	PURCHASER

Man Mac 1 Ltd.

 	 
	 	By:  	/s/ Hareesh Paranjape
 	 
	 	 	Name:  	Hareesh Paranjape 	 
	 	 	Title:  	Chief Portfolio Manager

Fore Research & Management, LP

Acting on behalf of Man Mac 1 Ltd. 	 
	 

[Signature Page to Registration Rights Agreement]

 

 

     IN WITNESS WHEREOF, the parties have executed this Agreement as of the date first written
above.

	 	 	 	 	 
	 	PURCHASER

Symphony Asset Management

 	 
	 	By:  	/s/ Eric White
 	 
	 	 	Name:  	Eric White 	 
	 	 	Title:  	Trade Operations Specialist 	 
	 

[Signature Page to Registration Rights Agreement]

 

 

     IN WITNESS WHEREOF, the parties have executed this Agreement as of the date first written
above.

	 	 	 	 	 
	 	PURCHASER

Wolverine Asset Management

 	 
	 	By:  	/s/ David Miller
 	 
	 	 	Name:  	David Miller 	 
	 	 	Title:  	 	 
	 

[Signature Page to Registration Rights Agreement]

 

 

EXHIBIT A

LIST OF INITIAL PURCHASERS

Name of Initial Purchaser

Aristeia International Limited

Aristeia Partners LP

Arpeggio Fund

Calamos Market Neutral Fund — Calamos Investment Trust

CNH CA Master Account, L.P.

CSV Limited

Encore Fund LP

Fore Convertible Master Fund Ltd.

Fore ERISA Fund Ltd.

Fore Multi Strategy Master Fund Ltd.

FGO Master Fund Ltd.

Fortissimo Fund

IMF Converts

Man Mac 1 Limited

Rhapsody Fund

Wolverine Asset Management

 

 

EXHIBIT B

SELLING SECURITYHOLDER QUESTIONNAIRE

     The undersigned beneficial owner (the “Selling Securityholder”) of the 21/2% Convertible Senior
Subordinated Notes due 2010 (the “Notes”) of Finisar Corporation (the “Company”) or the shares of
the Company’s Common Stock, par value $0.001 per share, issuable upon conversion of the Notes (the
“Common Stock” and, together with the Notes, the “Registrable Securities”) hereby gives notice to
the Company of its intention to sell or otherwise dispose of Registrable Securities beneficially
owned by it and listed below in Item 3 (unless otherwise specified under Item 3) pursuant to the
Shelf Registration Statement. The undersigned, by signing and returning this Selling
Securityholder Questionnaire, understands that it will be bound by the terms and conditions of this
Selling Securityholder Questionnaire and the Registration Rights Agreement.

     Pursuant to the Registration Rights Agreement, the undersigned has agreed to indemnify and
hold harmless the Company’s directors, the Company’s officers and each person, if any, who controls
the Company within the meaning of either Section 15 of the Securities Act or Section 20 of the
Securities Exchange Act of 1934, as amended (the “Exchange Act”), from and against certain losses
arising in connection with statements concerning the undersigned made in the Shelf Registration
Statement or the related prospectus in reliance upon the information provided in this Selling
Securityholder Questionnaire. The undersigned hereby acknowledges its obligations under the
Registration Rights Agreement to indemnify and hold harmless certain persons set forth therein.

     The undersigned hereby provides the following information to the Company and represents and
warrants that such information is accurate and complete:

	(1)	(a)	 	Full Legal Name of Selling Securityholder:
	 
	 	 	 	 

	 
	 	(b)	 	Full Legal Name of Registered Holder (if not the same as (a) above) through which
Registrable Securities listed in (3) below are held:
	 
	 	 	 	 

	 
	 	(c)	 	Full Legal Name of DTC Participant (if applicable and if not the same as (b) above)
through which Registrable Securities listed in (3) below are held:
	 
	 	 	 	 

	(2)	 	Address for Notices to Selling Securityholder:
	 
	 	 	 

	 
	 	 	 

 

 

	 	 	 	 	 	 	 	 	 
	 	 	Telephone (including area code):	 	 
	 

	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 
	 	 	Fax (including area code):	 	 	 	 
	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 
	 

	 	Contact Person:	 	 	 	 	 	 
	 	 	 	 	 

	(3)	 	Beneficial Ownership of Registrable Securities:
	 
	 	 	 

	 	(a)	 	Type and Principal Amount/Number of Registrable Securities beneficially owned:
	 
	 	 	 	 

	 
	 	(b)	 	CUSIP No(s). of such Registrable Securities beneficially owned:
	 
	 	 	 	 

	(4)	 	Beneficial Ownership of Other Securities of the Company Owned by the Selling Securityholder:
	 
	 	 	Except as set forth below in this Item (4), the undersigned is not the beneficial or registered owner of any securities of the
Company other than the Registrable Securities listed above in Item (3).

	 	(a)	 	Type and Amount of Other Securities beneficially owned by the Selling Securityholder:
	 
	 	 	 	 

	 
	 	(b)	 	CUSIP No(s). of such Other Securities beneficially owned:
	 
	 	 	 	 

	(5)	 	Relationship with the Company:
	 
	 	 	Except as set forth below, neither the undersigned nor any of its affiliates, officers, directors or principal equity holders
(5% or more) has held any position or office or has had any other material relationship with the Company (or its predecessors
or affiliates) during the past three years.
	 
	 	 	State any exceptions here:
	 	 	 

	 
	(6)	 	Is the Selling Securityholder a registered broker-dealer?

	 	Yes	 	o
	 
	 	No	 	o

	 	 	If “Yes”, please answer subsection (a) and subsection (b):

	 	(a)	 	Did the Selling Securityholder acquire the Registrable Securities as compensation for underwriting/broker-dealer activities
to the Company?

2

 

	 	Yes	 	o
	 
	 	No	 	o

	 	(b)	 	If you answered “No” to question 6(a), please explain your reason for acquiring the Registrable Securities:
	 
	 	 

	 
	 	 

	(7)	 	Is the Selling Securityholder an affiliate of a registered broker-dealer?

	 	Yes	 	o
	 
	 	No	 	o

	 	If “Yes”, please identify the registered broker-dealer(s), describe the nature of the affiliation(s) and answer subsection (a)
and subsection (b):
	 
	 	 	 	 

	 	(a)	 	Did the Selling Securityholder purchase the Registrable Securities in the ordinary course of business (if no, please
explain)?

	 	Yes	 	o
	 
	 	No	 	o                     Explain:                    
                    
                    
                    

	 	(b)	 	Did the Selling Securityholder have an agreement or understanding, directly or indirectly, with any person to distribute
the Registrable Securities at the same time the Registrable Securities were originally purchased (if yes, please explain)?

	 	Yes	 	o                     Explain:                    
                    
                    
                    
	 
	 	No	 	o

	(8)	 	Is the Selling Securityholder a non-public entity?

	 	Yes	 	o
	 
	 	No	 	o

	 	 	If “Yes”, please answer subsection (a):

	 	(a)	 	Identify the natural person or persons that have voting or investment control over the Registrable Securities that the
non-public entity owns:
	 
	 	 

	 
	 	 

3

 

	(9)	 	Plan of Distribution:
	 
	 	 	Except as set forth below, the undersigned Selling Securityholder (including its donees and pledgees) intends to distribute the
Registrable Securities listed above in Item (3) pursuant to the Shelf Registration Statement only as follows (if at all): Such
Registrable Securities may be sold from time to time directly by the undersigned Selling Securityholder or, alternatively, in
accordance with the Registration Rights Agreement, through underwriters, broker-dealers or agents. If the Registrable
Securities are sold through underwriters or broker-dealers, the Selling Securityholders will be responsible for underwriting
discounts or commissions or agent commissions. Such Registrable Securities may be sold in one or more transactions at fixed
prices, at prevailing market prices at the time of sale, at varying prices determined at the time of sale, or at negotiated
prices. Such sales may be effected in transactions (which may involve cross or block transactions) (i) on any national
securities exchange or quotation service on which the Registrable Securities may be listed or quoted at the time of sale, (ii)
in the over-the-counter market, (iii) in transactions otherwise than on such exchanges or services or in the over-the-counter
market, or (iv) through the writing of options. In connection with sales of the Registrable Securities or otherwise, the
undersigned Selling Securityholder may enter into hedging transactions with broker-dealers, which may in turn engage in short
sales of the Registrable Securities in the course of hedging positions they assume. The undersigned Selling Securityholder may
also sell Registrable Securities short and deliver Registrable Securities to close out short positions, or loan or pledge
Registrable Securities to broker-dealers that in turn may sell such securities.
	 
	 	 	State any exceptions here:                                                                            
                                                                           

Note: In no event will such method(s) of distribution take the form of an underwritten offering of the Registrable Securities without the
prior agreement of the Company.

The undersigned Selling Securityholder acknowledges that it understands its obligations
to comply with the provisions of the Securities Exchange Act of 1934, as amended, and the rules
thereunder relating to stock manipulation, particularly Regulation M thereunder (or any successor
rules or regulations), in connection with any offering of Registrable Securities pursuant to the
Shelf Registration Agreement. The undersigned agrees that neither it nor any person acting on its
behalf will engage in any transaction in violation of such provisions.

Pursuant to the Registration Rights Agreement, the Company has agreed under certain
circumstances to indemnify the Selling Securityholder against certain liabilities.

In the event the undersigned transfers all or any portion of the Registrable Securities listed
in Item (3) above after the date on which such information is provided to the Company other than
pursuant to the Shelf Registration Statement, the undersigned agrees to notify the transferee(s) at
the time of the transfer of its rights and obligations under this Selling Securityholder
Questionnaire and the Registration Rights Agreement.

In accordance with the undersigned’s obligation under the Registration Rights Agreement to
provide such information as may be required by law or by the staff of the Commission for inclusion
in the Shelf Registration Statement, the undersigned agrees to promptly notify the Company of any
inaccuracies or changes in the information provided herein that may occur

4

 

subsequent to the date hereof at anytime while the Shelf Registration Statement remains
effective. All notices hereunder and pursuant to the Registration Rights Agreement shall be made
in writing, by hand-delivery, first-class mail, or air courier guaranteeing overnight delivery to
the address set forth below.

     By signing below, the undersigned consents to the disclosure of the information contained
herein in its answers to Items (1) through (9) above and the inclusion of such information in the
Shelf Registration Statement and the related prospectus. The undersigned understands that such
information will be relied upon by the Company in connection with the preparation or amendment of
the Shelf Registration Statement and the related prospectus.

     Once this Selling Securityholder Questionnaire is executed by the undersigned and received by
the Company, the terms of this Selling Securityholder Questionnaire, and the representations,
warranties and agreements contained herein, shall be binding on, shall inure to the benefit of and
shall be enforceable by the respective successors, heirs, personal representatives, and assigns of
the Company and the undersigned with respect to the Registrable Securities beneficially owned by
the undersigned and listed in Item (3) above. This Selling Securityholder Questionnaire shall be
governed in all respects by the laws of the State of New York.

     IN WITNESS WHEREOF, the undersigned, by authority duly given, has caused this Selling
Securityholder Questionnaire to be executed and delivered either in person or by its duly
authorized agent.

Dated:                                                            

	 	 	 	 	 
	 
	 	 	 	 
	 	 	 
	 	 	Beneficial Owner
	 
	 	 	 	 
	 

	 	By:	 	 
	 

	 	 	 	 
	 

	 	Name:	 	 
	 

	 	 	 	 
	 

	 	Title:	 	 
	 

	 	 	 	 

PLEASE RETURN THE COMPLETED AND EXECUTED SELLING SECURITYHOLDER QUESTIONNAIRE TO THE COMPANY AT:

DLA Piper US LLP

2000 University Avenue

East Palo Alto, CA 94303

Tel: (650) 833-2000

Fax: (650) 833-2001

Attn: Benjamin G. Griebe

5exv4w1

 

EXHIBIT 4.1

SIXTH AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT

     THIS SIXTH AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT (the “Amendment”), dated
effective as of September 29, 2006 is among EAGLE MATERIALS INC. (who was formerly Centex
Construction Products, Inc. and herein the “Borrower”), each lender party hereto
(individually a “Lender” and collectively the “Lenders”), JPMORGAN CHASE BANK, N.A.
(formerly known as JPMorgan Chase Bank and successor by merger to Bank One, N.A.), individually as
a Lender and as administrative agent for itself and the other lenders (in its capacity as
administrative agent, the “Administrative Agent”), BANK OF AMERICA, N.A. and BRANCH BANKING
AND TRUST COMPANY, as “co-syndication agents” and WELLS FARGO BANK, N.A. and UNION BANK OF
CALIFORNIA, N.A., as “co-documentation agents”.

RECITALS:

     Borrower, certain lenders and the Administrative Agent have entered into that certain Amended
and Restated Credit Agreement dated as of December 16, 2004 (as amended by that certain First
Amendment to Amended and Restated Credit Agreement dated as of January 4, 2005, that certain Second
Amendment to Amended and Restated Credit Agreement dated as of September 30, 2005, that certain
Third Amendment to Amended and Restated Credit Agreement dated as of December 15, 2005, that
certain Fourth Amendment to Amended and Restated Credit Agreement dated as of March 20, 2006 and
that certain Fifth Amendment to Amended and Restated Credit Agreement dated as of June 30, 2006,
herein the “Agreement”). Since the execution and delivery of the Agreement, Illinois
Cement Company LLC and AG South Carolina LLC have been joined as Guarantors under the Subsidiary
Guaranty pursuant to Joinder Agreements, one dated May 26, 2005 for Illinois Cement Company LLC and
one dated November 14, 2005 for AG South Carolina LLC.

     Borrower, the Administrative Agent and the Lenders now desire to amend the Agreement as herein
set forth.

     NOW, THEREFORE, in consideration of the premises herein contained and other good and valuable
consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto
agree as follows effective as of the date hereof:

ARTICLE 1.

Definitions

     Section 1.1. Definitions. Capitalized terms used in this Amendment, to the extent not
otherwise defined herein, shall have the same meanings as in the Agreement, as amended hereby.

ARTICLE 2.

Amendments

     Section 2.1. Amendment to Section 6.04(a). Clause (a) of Section 6.04 of the Agreement
is amended in its entirety to read as follows:

     (a) acquisitions by the Borrower or a Subsidiary of Equity Interests in, and
capital contribution made by the Borrower or a Subsidiary to, one or more Persons
who are not Subsidiaries in a transaction not constituting an Acquisition and
loans and advances by the Borrower or any Subsidiary to one or more Persons that
are not Subsidiaries so long as in each case: (i) no Default then exists or would
result therefrom and (ii) the sum of the following does not exceed $50,000,000 at
any time: (A) the

SIXTH AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT, Page 1

 

 

aggregate total of all Purchase Prices paid for all such
acquisitions consummated under the permissions of this clause (a) since the Effective Date (including, if
applicable, the then proposed acquisition); plus (B) aggregate amount of capital
contributions made under the permissions of this clause (a) since the Effective
Date (including, if applicable, the then proposed capital contribution); plus (C)
the then aggregate outstanding principal amount of all loans and advances made
under the permissions of this clause (a) (including, if applicable, the then
proposed loans and advances);

ARTICLE 3.

Miscellaneous

     Section 3.1. Ratifications. The terms and provisions set forth in this Amendment
modify and supersede all inconsistent terms and provisions set forth in the Agreement and except as
expressly modified and superseded by this Amendment, the terms and provisions of the Agreement and
the other Loan Documents are ratified and confirmed and shall continue in full force and effect.
Borrower, the Administrative Agent and the Lenders party hereto agree that the Agreement as amended
hereby and the other Loan Documents continue to be legal, valid, binding and enforceable in
accordance with their respective terms.

     Section 3.2. Representations and Warranties. Borrower represents and warrants to the
Administrative Agent and the Lenders as follows: (a) after giving effect to this Amendment, no
Default exists; and (b) after giving effect to this Amendment, the representations and warranties
set forth in the Loan Documents are true and correct in all material respects on and as of the
effective date hereof with the same effect as though made on and as of such date except with
respect to any representations and warranties limited by their terms to a specific date.

     Section 3.3. Survival of Representations and Warranties. All representations and
warranties made in this Amendment survive the execution and delivery of this Amendment, and no
investigation by the Administrative Agent or any Lender or any closing shall affect the
representations and warranties or the right of the Administrative Agent or any Lender to rely upon
them.

     Section 3.4. Reference to Agreement. Each of the Loan Documents, including the
Agreement and any and all other agreements, documents, or instruments now or hereafter executed and
delivered pursuant to the terms hereof or pursuant to the terms of the Agreement as amended hereby,
are amended so that any reference in such Loan Documents to the Agreement means a reference to the
Agreement as amended hereby.

     Section 3.5. Expenses of Lender. As provided in the Agreement, Borrower agrees to pay
on demand all costs and expenses incurred by the Administrative Agent in connection with the
preparation, negotiation, and execution of this Amendment, including without limitation, the costs
and fees of Administrative Agent’s legal counsel.

     Section 3.6. Severability. Any provision of this Amendment held by a court of
competent jurisdiction to be invalid or unenforceable shall not impair or invalidate the remainder
of this Amendment and the effect thereof shall be confined to the provision so held to be invalid
or unenforceable.

     Section 3.7. Applicable Law. This Amendment is be governed by and construed in
accordance with the laws of the State of Texas and the applicable laws of the United States of
America.

     Section 3.8. Successors and Assigns. This Amendment is binding upon and inures to the
benefit of the Administrative Agent, each Lender and Borrower and their respective successors and
assigns, except

SIXTH AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT, Page 2

 

 

Borrower may not assign or transfer any of its rights or obligations hereunder without the
prior written consent of the Lenders. Any assignment in violation of this Section shall be void.

     Section 3.9. Counterparts. This Amendment may be executed in one or more
counterparts and on telecopy counterparts, each of which when so executed shall be deemed to be an
original, but all of which when taken together shall constitute one and the same agreement.

     Section 3.10. Effect of Waiver. No consent or waiver, express or implied, by the
Administrative Agent or any Lender to or for any breach of or deviation from any covenant,
condition or duty by Borrower or any Guarantor shall be deemed a consent or waiver to or of any
other breach of the same or any other covenant, condition or duty.

     Section 3.11. Headings. The headings, captions, and arrangements used in this
Amendment are for convenience only and shall not affect the interpretation of this Amendment.

     Section 3.12. ENTIRE AGREEMENT. THIS AMENDMENT EMBODIES THE FINAL, ENTIRE AGREEMENT
AMONG THE PARTIES HERETO AND SUPERSEDES ANY AND ALL PRIOR COMMITMENTS, AGREEMENTS, REPRESENTATIONS
AND UNDERSTANDINGS, WHETHER WRITTEN OR ORAL, RELATING TO THIS AMENDMENT, AND MAY NOT BE
CONTRADICTED OR VARIED BY EVIDENCE OF PRIOR, CONTEMPORANEOUS OR SUBSEQUENT ORAL AGREEMENTS OR
DISCUSSIONS OF THE PARTIES HERETO. THERE ARE NO ORAL AGREEMENTS AMONG THE PARTIES HERETO.

     Section 3.13. Required Lenders. The amendment to the Agreement contemplated by this
Amendment may be granted with the agreement of the Required Lenders which means Lenders having
Revolving Credit Exposures and unused Commitments representing at least 51% of the sum of the total
Revolving Credit Exposures and unused Commitments at such time (such percentage applicable to a
Lender, herein such Lender’s “Required Lender Percentage”). For purposes of determining
the effectiveness of this Amendment, each Lender’s Required Lender Percentage is set forth on
Schedule 1 hereto.

     Executed as of the date first written above.

	 	 	 	 	 
	 	EAGLE MATERIALS INC.
(formerly Centex Construction
Products, Inc.)

 	 
	 	By:  	/s/ ARTHUR R. ZUNKER, JR.
 	 
	 	 	Arthur R. Zunker, Jr., 	 
	 	 	Senior Vice President — Finance and Treasurer 	 
	 
	 	JPMORGAN CHASE BANK, N.A.

(formerly known as JPMorgan Chase Bank and
successor by merger to Bank One, N.A.)
individually and as Administrative Agent,
 	 
	 	By:  	/s/ DAVID L. HOWARD
 	 
	 	 	David L. Howard, Vice President 	 
	 	 	 	 

SIXTH AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT, Page 3

 

 

	 	 	 	 	 
	 	BRANCH BANKING AND TRUST COMPANY, individually and as a co-syndication agent

 	 
	 	By:  	/s/ ERIC SEARLS
 	 
	 	 	Name:  	Eric Searls 	 
	 	 	Title:  	Assistant Vice President 	 
	 
	 	BANK OF AMERICA, N.A., individually and as a co-syndication agent

 	 
	 	By:  	/s/ MICHAEL F. MURRAY
 	 
	 	 	Name:  	Michael F. Murray 	 
	 	 	Title:  	Vice President 	 
	 
	 	UNION BANK OF CALIFORNIA, N.A., individually and as a co-documentation agent

 	 
	 	By:  	/s/ ALBERT W. KELLEY
 	 
	 	 	Name:  	Albert W. Kelley 	 
	 	 	Title:  	Vice President 	 
	 
	 	WELLS FARGO BANK, N.A., individually and as a co-documentation agent

 	 
	 	By:  	/s/ LANCE REYNOLDS
 	 
	 	 	Name:  	Lance Reynolds 	 
	 	 	Title:  	Vice President 	 
	 
	 	PNC BANK, N.A.

 	 
	 	By:  	/s/ W. J. BOWNE
 	 
	 	 	Name:  	W. J. Bowne 	 
	 	 	Title:  	Managing Director 	 
	 
	 	BANK OF TEXAS, N.A.

 	 
	 	By:  	 	 
	 	 	Name:  	 	 
	 	 	Title:  	 	 
	 
	 	THE NORTHERN TRUST COMPANY

 	 
	 	By:  	/s/ CORY SCHUSTER
 	 
	 	 	Name:  	Cory Schuster 	 
	 	 	Title:  	Second Vice President 	 
	 

SIXTH AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT, Page 4

 

 

	 	 	 	 	 
	 	COMERICA BANK 

 	 
	 	By:  	 	 
	 	 	Name:  	 	 
	 	 	Title:  	 	 
	 

SIXTH AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT, Page 5

 

 

Guarantor Consent

     Each of the undersigned Guarantors: (i) consents and agrees to this Amendment; and (ii)
agrees that the Subsidiary Guaranty shall remain in full force and effect and shall continue to be
the legal, valid and binding obligation of such Guarantor enforceable against it in accordance with
its terms.

	 	 	 	 	 
	 	GUARANTORS:

AG SOUTH CAROLINA LLC

AMERICAN GYPSUM COMPANY

AMERICAN GYPSUM MARKETING COMPANY

CCP CEMENT COMPANY

CCP CONCRETE/AGGREGATES LLC

CCP GYPSUM COMPANY

CCP LAND COMPANY

CENTEX CEMENT CORPORATION

HOLLIS & EASTERN RAILROAD COMPANY LLC

ILLINOIS CEMENT COMPANY LLC

MATHEWS READYMIX LLC

M&W DRYWALL SUPPLY COMPANY

MOUNTAIN CEMENT COMPANY

NEVADA CEMENT COMPANY

REPUBLIC PAPERBOARD COMPANY LLC

TEXAS CEMENT COMPANY

WESTERN AGGREGATES LLC (formerly Western Aggregates, Inc.)

WESTERN CEMENT COMPANY OF CALIFORNIA 

 	 
	 	By:  	/s/ ARTHUR R. ZUNKER, JR.
 	 
	 	 	Arthur R. Zunker, Jr., Senior Vice President — 	 
	 	 	Finance and Treasurer of each Guarantor 	 
	 
	 	CENTEX MATERIALS LLC

TLCC GP LLC

 	 
	 	By:  	/s/ ARTHUR R. ZUNKER, JR.
 	 
	 	 	Arthur R. Zunker, Jr., Manager of the Guarantors listed 	 
	 
	 	TLCC LP LLC

 	 
	 	By:  	/s/ JOHN R. BREMNER
 	 
	 	 	John R. Bremner, Manager and Authorized Officer 	 
	 

SIXTH AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT, Page 6

 

 

Schedule 1

to

Sixth Amendment to Amended and Restated Credit Agreement

REQUIRED LENDER PERCENTAGE

	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	Lenders Agreeing to	 
	 	 	 	 	 	 	 	 	 	 	Consent Letter (insert % from prior	 
	 	 	 	 	 	 	 	 	 	 	column if Lender signs Consent	 
	Lender	 	Commitment	 	 	Required Lender %	 	 	Letter then total % in this column)	 
	JPMorgan Chase Bank, N.A.
	 	$	50,000,000	 	 	 	14.285714286	%	 	 	14.285714286	%
	Bank of America, N.A.
	 	$	50,000,000	 	 	 	14.285714286	%	 	 	14.285714286	%
	Union Bank of California, N.A.
	 	$	50,000,000	 	 	 	14.285714286	%	 	 	14.285714286	%
	Wells Fargo Bank, N.A.
	 	$	50,000,000	 	 	 	14.285714286	%	 	 	14.285714286	%
	Branch Banking and Trust Company
	 	$	45,000,000	 	 	 	12.857142857	%	 	 	12.857142857	%
	PNC Bank, N.A.
	 	$	35,000,000	 	 	 	10.000000000	%	 	 	10.000000000	%
	Comerica Bank
	 	$	30,000,000	 	 	 	8.571428571	%	 	 	00.00	%
	Bank of Texas, N.A.
	 	$	20,000,000	 	 	 	5.714285714	%	 	 	00.00	%
	The Northern Trust Company
	 	$	20,000,000	 	 	 	5.714285714	%	 	 	5.714285714	%
	 
	 	 	 	 	 	 	 	 	 
	Total
	 	$	350,000,000	 	 	 	100	%	 	 	85.71	%
	 
	 	 	 	 	 	 	 	 	 

Schedule 1 — Solo Page

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