Document:

exv4w3

 

Exhibit 4.3

     This Note is a Depositary Security within the meaning of the Indenture hereinafter
referred to and is registered in the name of a Depositary or nominee of a Depositary. This Note is
exchangeable for Notes registered in the name of a Person other than the Depositary or its nominee
only in the limited circumstances described in the Indenture, and no transfer of this Note (other
than a transfer of this Note as a whole by the Depositary to a nominee of the Depositary or by a
nominee of the Depositary to the Depositary or another nominee of the Depositary or by the
Depositary or any nominee of the Depositary to a successor Depositary or a nominee of such
successor Depositary) may be registered except in such limited circumstances.

     Unless this certificate is presented by an authorized representative of The Depositary Trust
Company (55 Water Street, New York, New York) to the issuer or its agent for registration of
transfer, exchange or payment, and any certificate issued is registered in the name of Cede & Co.
or such other name as requested by an authorized representative of The Depositary Trust Company and
any payment is made to Cede & Co., ANY TRANSFER, PLEDGE OR OTHER USE HEREOF FOR VALUE OR OTHERWISE
BY OR TO ANY PERSON IS WRONGFUL since the registered owner hereof, Cede & Co., has an interest
herein.

	 	 	 
	Certificate No.: 1

	 	CUSIP No.: 637432 HV0
	PRINCIPAL AMOUNT: $250,000,000

	 	ISIN No.: US637432HV03
	ORIGINAL ISSUE DATE: April 10, 2007
	 	 

EXTENDIBLE SENIOR UNSECURED FLOATING RATE NOTES INITIALLY DUE 2008

          NATIONAL RURAL UTILITIES COOPERATIVE FINANCE CORPORATION, a District of Columbia cooperative
association (herein called the “Company”, which term includes any successor Person under the
Indenture referred to on the reverse hereof), for value received, hereby promises to pay to CEDE &
Co., or registered assigns, the principal sum of $250,000,000 on May 1, 2008, or, if such day is
not a Business Day, the immediately following Business Day (the “initial maturity date”), unless
the maturity of all or any portion of the principal amount of the Notes is extended in accordance
with the procedures set forth below, but in no event will the maturity of the Notes be extended
beyond May 1, 2014 or, if such day is not a Business Day, the immediately following Business Day
(the “final maturity date”); and to pay interest thereon as set forth below, until the principal
hereof is paid or made available for payment.

          During a notice period for any election date (each as defined below), the maturity of all or
any portion of the principal amount of the Notes may be extended to the actual maturity date
occurring thirteen months after that election date. The election dates will be the third calendar
day of each month, commencing on May 3, 2007, provided that if such day is not a Business Day, the
election date will be extended to the next succeeding Business Day. The actual maturity date will
be the initial maturity date, the final maturity date and the 1st calendar day of each
month, commencing on May 1, 2008, provided that if such day is not a Business Day, the payment of
principal and interest may be made on the next succeeding Business Day as if it were

 

 

made on the date that the payment was due, and no interest on such principal will accrue for
the period from and after the actual maturity date.

          The maturity of all or any portion of the Notes having a principal amount of $2,000 or any
multiple of $1,000 in excess thereof may be extended. To make this election effective on any
election date, a holder of the Notes must deliver a notice of election during the notice period for
that election. The “notice period” for each election date will begin on the tenth Business Day
prior to the election date and end at 12:00 noon (New York City time) two Business Days immediately
preceding the election date; provided that if the election date is not a Business Day, the notice
period will be extended to 12:00 noon (New York City time) on the following Business Day. The
notice of election must be delivered through the normal clearing system channels described in more
detail below, no later than 12:00 noon, New York City time, on the last Business Day in the notice
period. Upon delivery to the Trustee of such notice of election to extend the maturity of the
Notes or any portion thereof during a notice period, the election will be revocable during each day
of such notice period, until 12:00 noon, New York City time, on the last Business Day in such
notice period, at which time such notice will become irrevocable.

          If, with respect to any election date, a holder of the Notes does not make an election to
extend the maturity date of all or any portion of the principal amount of its Notes, the principal
amount of the Notes for which such holder has failed to make an election will become due and
payable on the initial maturity date, or any later actual maturity date to which the maturity date
of the Notes has previously been extended. The principal amount of the Notes for which such
election is not exercised will be represented by a note issued on such election date. The note so
issued will have the same terms and form part of the same series as the Notes, except that it will
not be extendible, will have a separate CUSIP number and its maturity date will be the date that is
the actual maturity date that corresponds to such election date or, if such maturity date is not a
Business Day, the next succeeding Business Day. The failure to elect to extend the maturity of all
or any portion of the Notes will be irrevocable and will be binding upon any subsequent holder of
such Notes.

          The Notes will be issued in registered global form and will remain on deposit with the
Depository Trust Company (“DTC”), as depositary for the Notes. Therefore, each holder of the Notes
must exercise the option to extend the maturity of such Notes through DTC. To ensure that DTC will
receive timely notice of any holder’s election to extend the maturity of all or a portion of the
Notes, the holder must instruct the direct or indirect participant through which it holds an
interest in the Notes to notify DTC of such election in accordance with the then applicable
operating procedures of DTC. DTC must be timely notified of such election so that it can deliver
notice thereof to the Trustee prior to the close of business on the last Business Day in the notice
period.

          DTC must receive any notice of election or any notice of revocation of a previous election
from its participants no later than 12:00 noon, New York City time, on the last Business Day of the
notice period for any election date. Different firms have different deadlines for accepting
instructions from their customers and holders of Notes should consult the direct or

 

 

indirect participant through which they hold an interest in the Notes to ascertain the
deadline for ensuring that timely notice will be delivered to DTC.

          The Notes will bear interest at three month US dollar LIBOR plus or minus the applicable
spread, as described below, provided, however, the interest for the final interest period ending on
the actual maturity date will be calculated according to one month US dollar LIBOR, if the final
interest period is a period of one month, two month US dollar LIBOR, if the final interest period
is a period of two months, or three month US dollar LIBOR, if the final interest period is a period
of three months. Interest will be paid quarterly in arrears on the 1st calendar day of each May,
August, November and February, beginning on August 1, 2007, and on the applicable actual maturity
date. If any date on which interest is scheduled to be paid falls on a day that is not a Business
Day (each, an “original interest payment date”), the making of such interest payment will be
postponed to the next succeeding Business Day (and interest will accrue to but excluding that next
succeeding Business Day) unless, (a) such next succeeding Business Day is in the next calendar
month or (b) such original interest payment date is also a maturity date, in which case the date on
which interest is to be paid will be the immediately preceding Business Day (and interest will
accrue to but excluding that immediately preceding Business Day). A date on which an interest
payment is made (following any adjustment made in accordance with the terms of the immediately
preceding sentence) is referred to as an “interest payment date.” The final interest payment date
for the Notes, or any portion of the Notes maturing prior to the final maturity date, will be the
applicable maturity date, and interest for the last interest period preceding the final maturity
date (as set forth below) will accrue from and including the interest payment date immediately
preceding such maturity date to but excluding the maturity date (as adjusted as described in the
third sentence of this paragraph if such maturity date is not a Business Day). Interest on the
Notes will be computed on the basis of a 360-day year and the actual number of days elapsed.

          Interest on the Notes will accrue from and including April 10, 2007 to but excluding the first
interest payment date and then from and including each interest payment date to which interest has
been paid or duly provided for to but excluding the next interest payment date or the applicable
maturity date, as the case may be (following any adjustment made in accordance with the terms of
the immediately preceding paragraph). Each of these periods is referred to as an “interest period.”

          The Company will pay interest on the Notes to the persons in whose names the Notes are
registered at the close of business on the Business Day immediately preceding the interest payment
date. However, the Company will pay interest on the maturity date to the same persons to whom the
principal will be payable.

          The Trustee has been initially appointed as calculation agent. The calculation agent will
calculate the interest rate on the Notes and reset the interest rate on each interest payment date
(or the issue date, in the case of the first interest period), each of which is referred to as an
“interest reset date,” for the interest period commencing on such date to but excluding the next
interest payment date (or the maturity date, in the case of the final interest period). The
interest rate for each interest period will be equal to LIBOR, plus or minus the spread, as
determined below:

 

 

	 	 	 
	For Interest Reset Dates Occurring	 	Spread
	From and including April 10, 2007 to and including April 30, 2008

	 	Plus 0.00%
	From and including May 1, 2008 to and including April 30, 2009

	 	Plus 0.01%
	From and including May 1, 2009 to and including April 30, 2010

	 	Plus 0.02%
	From and including May 1, 2010 to and including April 30, 2011

	 	Plus 0.03%
	From and including May 1, 2011 to and including April 30, 2012

	 	Plus 0.04%
	From and including May 1, 2012 to and including April 30, 2013

	 	Plus 0.05%
	From and including May 1, 2013 to and including April 30, 2014

	 	Plus 0.05%

          The interest rate in effect for the period from April 10, 2007 to but excluding May 1,
2007 (the “initial interest reset date”) will be three month US dollar LIBOR, as determined on
April 9, 2007 (the “initial interest rate”). The second London Banking Day preceding an interest
reset date will be the “interest determination date’’ for that interest reset date. The interest
rate in effect on each day that is not an interest reset date will be the interest rate determined
as of the interest determination date pertaining to the immediately preceding interest reset date.
The interest rate in effect on any day that is an interest reset date will be the interest rate
determined as of the interest determination date pertaining to that interest reset date, except
that the interest rate in effect for the period from and including April 10, 2007, to but excluding
the next succeeding interest reset date will be the initial interest rate.

          The calculation agent will, upon the request of the holder of any Notes, provide the interest
rate then in effect. All calculations of the calculation agent, in the absence of manifest error,
shall be conclusive for all purposes and binding on the Company and holders of the Notes.

          Reference is hereby made to the further provisions of this Note set forth on the reverse
hereof which further provisions shall for all purposes have the same effect as if set forth at this
place.

          Unless the certificate of authentication hereon has been executed by the Trustee referred to
on the reverse hereof, directly or through an Authenticating Agent, by manual signature of an
authorized signatory, this Note shall not be entitled to any benefit under the Indenture or be
valid or obligatory for any purpose.

 

 

     IN WITNESS WHEREOF, the Company has caused this instrument to be duly executed under its
corporate seal.

	 	 	 	 	 
	 	NATIONAL RURAL UTILITIES

COOPERATIVE FINANCE

CORPORATION,

	 
	 	By:  	 	 
	 	 	Sheldon C. Petersen	 
	 	 	Governor and Chief Executive Officer	 
	 	By:  	 	 
	 	 	Steven L. Lilly 	 
	 	 	Senior Vice President,
Financial
Services & Chief Financial
Officer 
Assistant Secretary-Treasurer	 
	 

	 	 	 	 	 
	(Seal)

Attest:

 	 	 
	By:  	 	 	 
	 	 	 	 
	Trustee’s Certificate of Authentication

This is one of the Notes

of the series designated therein,

described in the within-mentioned Indenture

Dated:

By: U.S. BANK NATIONAL ASSOCIATION,

        Trustee

 	 	 
	By:  	 	 	 
	 	Authorized Officer 	 	 
	 	 	 	 

 

 

	 	 	 	 	 

REVERSE OF NOTE

          This Note is one of a duly authorized issue of securities of the Company (herein called the
“Notes”), issued and to be issued in one or more series under an Indenture dated as of December 15,
1987, as supplemented by a First Supplemental Indenture dated as of October 1, 1990 (the Indenture
as so supplemented being herein called the “Indenture”), between the Company and U.S. Bank National
Association, as successor trustee (herein called the “Trustee”, which term includes any successor
trustee under the Indenture), to which Indenture and all indentures supplemental thereto reference
is hereby made for a statement of the respective rights, limitations of rights, duties and
immunities thereunder of the Company, the Trustee and the Holders of the Notes and of the terms
upon which the Notes are, and are to be, authenticated and delivered. This Note is one of the
series designated Extendible Senior Unsecured Floating Rate Notes Initially Due 2008.

          Each Note of this series shall be dated the date of its authentication by the Trustee. Each
Note of this series shall also bear an Original Issue Date, as specified on the face hereof, and
such Original Issue Date shall remain the same for all Notes subsequently issued upon transfer,
exchange or substitution of such original Note (or such subsequently issued Notes) regardless of
their dates of authentication.

          The Notes may not be redeemed by the Company prior to maturity.

          For purposes of this Note the following terms shall have the following meanings:

          “Business Day” means any day other than a Saturday or Sunday that is neither a legal holiday
nor a day on which banking institutions are authorized or required by law or regulation to close in
New York City which is also a London Banking Day.

          “Designated LIBOR Page” means the display on Reuters 3000 Xtra (or any successor service) on
Reuters Page LIBOR01, or any other page as may replace the page on the service, for the purpose of
displaying the London interbank rates of major banks of U.S. dollar deposits.

          “LIBOR” will be determined by the calculation agent in accordance with the following
provisions:

(a) the calculation agent will determine the offered rate for deposits in United
States dollars for the three-month period commencing on the applicable interest
reset date that appears on the Designated LIBOR Page as of 11:00 A.M., London Time,
on the applicable interest determination date. If fewer than two offered rates
appear or no rate appears, LIBOR on the interest determination date will be
determined in accordance with the provisions described in paragraph (b) set forth
below.

(b) With respect to an interest determination date on which fewer than two offered
rates appear or no rate appears on the Designated LIBOR Page as specified in (a)
above, LIBOR will be determined according to the procedures described below.

 

 

     The calculation agent will request the principal London offices of each of four
major reference banks (which may include affiliates of the underwriters) in the
London interbank market, as selected by the calculation agent, to provide the
calculation agent with its offered quotation for deposits in United States dollars
for the three-month period commencing on the first day of the relevant interest
period, to prime banks in the London interbank market at approximately 11:00 A.M.,
London time, on the interest determination date and in a principal amount that is
representative for a single transaction in United States dollars in the market at
the time.

     If at least two quotations are so provided, then LIBOR on the interest
determination date will be the arithmetic mean of the quotations.

     If fewer than two quotations are so provided, the LIBOR on the interest
determination date will be arithmetic mean of the rates quoted at approximately
11:00 A.M., London time, in the applicable principal financial center, on the
interest determination date by three major banks (which may include affiliates of
the underwriters) in the principal financial center selected by the calculation
agent for loans in United States dollars to leading European banks for the
three-month period and in a principal amount that is representative for a single
transaction in United States dollars in the market at the time.

     If the banks so selected by the calculation agent are not quoting as provided
above, LIBOR determined as of the interest determination date will be LIBOR in
effect for the Notes on that interest determination date.

          “London Banking Day” means any day on which dealings in deposits in U.S. dollars are
transacted in the London interbank market.

          The Company at its option, subject to the terms and conditions provided in the Indenture, (a)
will be discharged from any and all obligations in respect of the Notes (except for certain
obligations including obligations to register the transfer or exchange of Notes, replace stolen,
lost or mutilated Notes, maintain paying agencies and hold moneys for payment in trust) or (b) need
not comply with certain restrictive covenants of the Indenture after the Company deposits with the
Trustee (or, in certain circumstances, 91 days after the Company deposits with the Trustee),
pursuant to an escrow trust agreement, money or U.S. Government Obligations, or a combination of
money and U.S. Government Obligations, which through the payment of interest thereon and principal
thereof in accordance with their terms will provide money in an amount sufficient to pay all the
principal of, and interest on, the Notes on the dates such payments are due in the currency,
currencies or currency unit or units, in which such Notes are payable and in accordance with the
terms of the Notes.

          If an Event of Default with respect to Notes of this series shall occur and be continuing, the
principal of the Notes of this series may be declared due and payable in the manner and with the
effect provided in the Indenture.

 

 

          The Indenture permits, with certain exceptions as therein provided, the amendment thereof and
the modification of the rights and obligations of the Company and the rights of the Holders of the
Notes of each series to be affected under the Indenture at any time by the Company and the Trustee
with the consent of the Holders of not less than a majority in principal amount of the Outstanding
Securities of all series affected thereby (acting as one class). The Indenture also contains
provisions permitting the Holders of not less than a majority in principal amount of the
Outstanding Securities of all series affected thereby (acting as one class), on behalf of the
Holders of all Notes of each such series, to waive compliance by the Company with certain
provisions of the Indenture. The Indenture also provides that, regarding the Notes of any series,
the Holders of not less than a majority in principal amount of the Outstanding Securities of such
series may waive certain past defaults and their consequences on behalf of the Holders of all Notes
of such series. Any such consent or waiver by the Holder of this Note shall be conclusive and
binding upon such Holder and upon all future Holders of this Note and of any Note issued upon the
registration of transfer hereof or in exchange herefor or in lieu hereof, whether or not notation
of such consent or waiver is made upon this Note.

          As set forth in, and subject to, the provisions of the Indenture, no Holder of any Note of
this series will have any right to institute any proceeding with respect to the Indenture or for
any remedy thereunder, unless such Holder shall have previously given to the Trustee written notice
of a continuing Event of Default with respect to this series, the Holders of not less than 25% in
principal amount of the Outstanding Securities of this series shall have made written request, and
offered reasonable indemnity, to the Trustee to institute such proceeding as trustee, the Trustee
shall not have received from the Holders of a majority in principal amount of the Outstanding
Securities of this series a direction inconsistent with such request and the Trustee shall have
failed to institute such proceeding within 60 days; provided, however, that such limitations do not
apply to a suit instituted by the Holder hereof for the enforcement of payment of the principal of
(and premium, if any) or interest on this Note on or after the respective due dates expressed herein.

          No reference herein to the Indenture and no provision of this Note or the Indenture shall
alter or impair the obligation of the Company, which is absolute and unconditional, to pay the
principal of (and premium, if any) and interest on this Note at the times, places and rate, and in
the coin or currency, herein prescribed.

          As provided in the Indenture and subject to certain limitations therein set forth, the
transfer of this Note is registrable in the Security Register, upon surrender of this Note for
registration of transfer at the office or agency as may be designated by the Company in the Borough
of Manhattan, The City of New York, duly endorsed by, or accompanied by a written instrument of
transfer in form satisfactory to the Company and the Security Registrar duly executed by the Holder
hereof or his attorney duly authorized in writing, and thereupon one or more new Notes of this
series and of the tenor and terms, of authorized denominations and for the same aggregate principal
amount, will be issued to the designated transferee or transferees.

 

 

          The Notes of this series are issuable only in registered form, without coupons, in minimum
denominations of $2,000 and any integral multiple of $1,000 in excess thereof. As provided in the
Indenture and subject to certain limitations therein set forth, Notes of this series are
exchangeable for a like aggregate principal amount of Notes of this series and of like tenor and
terms of a different authorized denomination, as requested by the Holder surrendering the same.

          No service charge shall be made for any such registration of transfer or exchange, but the
Company may require payment of a sum sufficient to cover any tax or other governmental charge
payable in connection therewith.

          Prior to due presentment of this Note for registration of transfer, the Company, the Trustee
and any agent of the Company or the Trustee may treat the Person in whose name this Note is
registered as the owner hereof for all purposes, whether or not this Note is overdue, and neither
the Company, the Trustee nor any such agent shall be affected by notice to the contrary.

          The Indenture and the Notes shall be governed by, and construed in accordance with, the laws
of the State of New York.

          All terms used in this Note which are defined in the Indenture shall have the meanings
assigned to them in the Indenture.

 

 

ABBREVIATIONS

          The following abbreviations, when used in the inscription of the face of this instrument,
shall be construed as though they were written out in full according to applicable laws or
regulations:

TEN COM  — as tenants in common

TEN ENT  — as tenants by the entireties

JT TEN — as joint tenants with right of survivorship and not as tenants in common

UNIF GIFT MIN Act — Uniform Gifts to Minors Act                     

                                                                                      (State)

          Additional abbreviations may also be used though not in the above list.

 

 

     FOR VALUE RECEIVED, the undersigned hereby sell(s), assigns and transfer(s) unto

Please insert social security

or other identifying number

of assignee

                                        

                                        

 

PLEASE PRINT OR TYPE NAME AND ADDRESS INCLUDING POSTAL ZIP CODE OF ASSIGNEE

 

 
the within Note and all rights thereunder, hereby irrevocably constituting and appointing
                                                                                 Attorney to transfer said Note on the books of the Company, with full power
of substitution in the premises.

	 	 	 	 	 
	 	 	 
	Dated:                     	  	 	 
	 	 	Signature 	 
	 
	 	 	(The signature to this assignment must correspond
with the name as written upon the face of the within
instrument in every particular, without alteration or
enlargement or any change whatever.)exv10w21

 

EXHIBIT 10.21

Amendment No. 1 to Amended and Restated Security Agreement

     This Amendment No. 1 to Amended and Restated Security Agreement (this “Amendment”) is
entered into as of the Closing Date (as defined in the Credit Agreement defined below), by and
between HearUSA, Inc. (formerly HEARx, LTD.), a Delaware corporation (the “Debtor”), and
SIEMENS HEARING INSTRUMENTS, INC., a Delaware corporation (the “Secured Party”).

Preliminary Statements

     A. The Debtor and the Secured Party are parties to a certain Amended and Restated Security
Agreement, dated as of February 10, 2006 (the “Security Agreement”). All capitalized terms
used herein without definition shall have the same meanings herein as such terms have in the
Security Agreement.

     B. The Debtor and the Secured Party have entered into a Second Amended and Restated Credit
Agreement dated as of December 30, 2006 (as amended, supplemented or restated from time to time,
“Credit Agreement”).

     C. It is a condition to the effectiveness of the Credit Agreement that the Debtor and the
Secured Party enter into this Amendment.

     NOW, THEREFORE, in consideration of the benefits to the Debtor, the receipt and sufficiency of
which are hereby acknowledged, the Debtor and the Secured Party hereby agree as follows:

     SECTION 1. AMENDMENTS.

     1.01 The definition of “Credit Agreement,” as such term is used in the Security Agreement is
amended to read as follows:

     “Credit Agreement” means the Second Amended and Restated Credit Agreement dated
as of December 30, 2006, between the Debtor and the Secured Party, as amended, supplemented
or restated from time to time.

     1.02. Schedules I, II, III and IV to the Security Agreement shall be amended and restated in
their entirety to read as Schedules I, II, III and IV, respectively, attached hereto.

     SECTION 2. REPRESENTATIONS.

     In order to induce the Secured Party to execute and deliver this Amendment, the Debtor hereby
represents to the Secured Party that:

     (a) This Amendment has been duly executed and delivered by the Debtor and constitutes a
legal, valid and binding obligation of the Debtor enforceable in accordance

 

 

with its terms, except to the extent that such enforcement may be limited by applicable
bankruptcy, insolvency, reorganization, moratorium or similar laws affecting creditors’
rights generally and by general principles of equity (whether enforcement is sought by
proceedings in equity or at law); and

     (b) as of the date hereof the representations and warranties set forth in the Security
Agreement are and shall be and remain true and correct and the Debtor is in compliance with
the terms and conditions of the Security Agreement.

     SECTION 4. MISCELLANEOUS.

          4.01. Except as specifically amended herein, the Security Agreement shall continue in full
force and effect in accordance with its original terms. Reference to this specific Amendment need
not be made in the Security Agreement, the Credit Agreement, the Notes, or any other instrument or
document executed in connection therewith, or in any certificate, letter or communication issued or
made pursuant to or with respect to the Security Agreement, any reference in any of such items to
the Security Agreement being sufficient to refer to the Security Agreement as amended hereby.

          4.02. This Agreement may be executed in any number of counterparts and by the different
parties hereto on separate counterparts, each of which when so executed and delivered shall be an
original, but both of which shall together constitute one and the same instrument.

          4.03. This Amendment shall be governed by, and construed and interpreted in accordance with,
the law of the State of New York without regard to conflict of law principles (other than Sections
5-1401 and 5-1402 of the New York General Obligations Law).

[SIGNATURE PAGE FOLLOWS]

2

 

     IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed and delivered
by their respective duly authorized officers as of the date first above written.

	 	 	 	 	 
	 

	 	HearUSA, INC.
	 	 
	 
	 	 	 	 
	 

	 	By: /s/ Stephen J. Hansbrough	 	 
	 

	 	Name: Stephen J. Hansbrough	 	 
	 

	 	Title: President and CEO	 	 
	 
	 	 	 	 
	 

	 	SIEMENS HEARING INSTRUMENTS, INC.	 	 
	 
	 	 	 	 
	 

	 	By: /s/ William J. Lankenau	 	 
	 

	 	Name: William J. Lankenau	 	 
	 

	 	Title: President and CEO	 	 

Signature Page to Amendment No. 1 to

Amended and Restated Security Agreement

 

 

SCHEDULE I

CHATTEL PAPER AND INSTRUMENTS

[TO BE UPDATED]

	 	 	 	 	 
	Notes Payable	 	 
	Name	 	Principal Balance
	HearUSA, Inc.
	 	 	 	 
	AHS/Charles Stone
	 	$	57,180.74	 
	AHS/Jerri McMahon
	 	 	19,060.20	 
	Professional Hearing Care
	 	 	1,088,888.00	 
	Professional Hearing Aid Services
	 	 	182,811.00	 
	Lonsway Hearing Centers
	 	 	328,125.00	 
	Meadowbrook Hearing Aid Center
	 	 	112,500.00	 
	$5.5 million Notes
	 	 	5,060,000.00	 
	$7.5 million Notes
	 	 	7,500,000.00	 

 

 

SCHEDULE II

COMMERCIAL TORT CLAIMS

None

 

 

SCHEDULE III

DEBTOR AND COLLATERAL DETAILS

[TO BE UPDATED]

1. Inventory & Equipment Locations:

	 	 	 	 	 	 	 	 	 
	LOCATION	 	PROPERTY	 	TOWN	 	 	 	ZIP
	NAME /#	 	ADDRESS	 	NAME	 	STATE	 	CODE
	CORPORATE OFFICE
	 	1250 Northpoint Parkway	 	West Palm Beach	 	FL	 	33407
	CALL CENTER
	 	1100 Northpoint Parkway	 	West Palm Beach	 	FL	 	33407
	Corporate Warehouse
	 	901  Northpoint Parkway	 	West Palm Beach	 	FL	 	33407
	19001
	 	3251 Hollywood Blvd., Ste. 424	 	Hollywood	 	FL	 	33021
	19003
	 	911 Village Blvd.	 	West Palm Beach	 	FL	 	33409
	19004
	 	15544 NW 77th Ct.	 	Miami Lakes	 	FL	 	33016
	19005
	 	12385 Pembroke Road #102	 	Pembroke Pines	 	FL	 	33025
	19007
	 	1001 East Commercial Blvd	 	Oakland Park	 	FL	 	33334
	19008
	 	354 North Congress Avenue	 	Boynton Beach	 	FL	 	33426
	19010
	 	7540 W. Commercial Blvd.	 	Lauderhill	 	FL	 	33319
	19012
	 	2966 Aventura Blvd.	 	City of Aventura	 	FL	 	33180
	19015
	 	8903 Glades Road	 	Boca Raton	 	FL	 	33434
	19016
	 	3864 W. Hillsboro Blvd.	 	Deerfield Beach	 	FL	 	33442
	19018
	 	7431-53/55 W. Atlantic Avenue	 	Delray Beach	 	FL	 	33446
	19022
	 	11141 U.S. Highway 19 North, Suite 300	 	Clearwater	 	FL	 	34624
	19024
	 	201 N. U.S. Hwy. #1	 	Jupiter	 	FL	 	33477
	19038
	 	8947 SW 107th Avenue	 	Miami	 	FL	 	33176
	19051
	 	3119-3121 Coral Way	 	Miami	 	FL	 	33145
	19061
	 	2291-2293 S.E. Federal Hwy	 	Stuart	 	FL	 	34994
	19063
	 	9070 S. Federal Highway	 	Port St. Lucie	 	FL	 	34952
	19065
	 	7701 Lake Worth Road	 	Lake Worth	 	FL	 	33467
	19080
	 	13178 Cortez Blvd	 	Brooksville	 	FL	 	34613
	19082
	 	947 Tyrone Boulevard North	 	St. Petersburg	 	FL	 	33710
	19083
	 	30220 - 222 US Highway 19 N	 	Clearwater	 	FL	 	33761
	19084
	 	6428 Massachusetts Ave.	 	New Port Richie	 	FL	 	34653
	19085
	 	4896 S. Tamiami Trail	 	Sarasota	 	FL	 	34231
	19087
	 	8841 College Pkwy.	 	Ft. Myers	 	FL	 	33919
	19088
	 	2000 Tamiami Trail #109	 	Port Charlotte	 	FL	 	33948
	19091
	 	729 Cortaro Drive	 	Ruskin	 	FL	 	33573
	19092
	 	3669 West Waters Avenue	 	Tampa	 	FL	 	33614-2783
	19093
	 	807 East Bloomingdale Ave.	 	Brandon	 	FL	 	33511
	19094
	 	6936 Medical View Lane	 	Zephyrhills	 	FL	 	33542-6602
	19095
	 	5602 Cortez Road West	 	Bradenton	 	FL	 	34210

 

 

	 	 	 	 	 	 	 	 	 
	LOCATION	 	PROPERTY	 	TOWN	 	 	 	ZIP
	NAME /#	 	ADDRESS	 	NAME	 	STATE	 	CODE
	19202
	 	600 East Altamonte Dr.	 	Altamonte Springs	 	FL	 	32701
	29000
	 	61 West Aurora Rd.	 	Northfield	 	OH	 	44067
	29401
	 	5220 Harrison Avenue	 	Cincinnati	 	OH	 	45238
	29402
	 	2651 Highland Avenue	 	Cincinnati	 	OH	 	45219
	29403
	 	8040 Reading Road	 	Cincinnati	 	OH	 	45238
	29412
	 	2865 Cranston Drive	 	Dublin	 	OH	 	43017
	29414
	 	6415 East Livingston Avenue, Suite B	 	Reynoldsburg	 	OH	 	43068
	29421
	 	2192 Stringtown Road	 	Grove City	 	OH	 	43123
	29441
	 	697 Hopewell Drive	 	Heath	 	OH	 	43056
	32301
	 	2566 Woodmeadow Drive SE	 	Grand Rapids	 	MI	 	49546
	32670
	 	4369 Miller Road	 	Flint	 	MI	 	48507
	32670
	 	17894 Mack Avenue #B	 	Grosse Pointe	 	MI	 	48230
	32673
	 	3027 E. Hill Road	 	Grand Blanc	 	MI	 	48439-8130
	32674
	 	31815 Southfield Road	 	Beverly Hills	 	MI	 	48025-5471
	32675
	 	14700 Farmington Road	 	Livonia	 	MI	 	48154
	32676
	 	2900 S State Street, Suite R6	 	Ann Arbor	 	MI	 	48104-6772
	32677
	 	1026 Professional Drive	 	Flint	 	MI	 	48532
	32678
	 	288 W. Nepessing Street	 	Lapeer	 	MI	 	48446
	33802
	 	6600 France Avenue South	 	South Edina	 	MN	 	55345
	33811
	 	6465 Wayzata Boulevard.	 	St. Louis Park	 	MN	 	55426
	35911
	 	729 Old Frontenac Square	 	St. Louis	 	MO	 	63131
	35913
	 	12352 Olive Street	 	Creve Coeur	 	MO	 	63141
	35914
	 	137 Flower Valley Center	 	Florissant	 	MO	 	63033
	35915
	 	1368 S 5TH Street	 	St Charles	 	MO	 	63301-2444
	35916
	 	7225 Watson Road	 	Shrewsbury	 	MO	 	63119
	35921
	 	1504 East Broadway	 	Columbia	 	MO	 	65201
	35931
	 	183 Concord Plaza Shopping	 	St. Louis	 	MO	 	63128-1307
	40001
	 	6038-6040 Bergenline Avenue	 	West New York	 	NJ	 	7093
	40002
	 	66 N Route 17	 	Paramus	 	NJ	 	7652
	40003
	 	126 Main St.	 	Princeton	 	NJ	 	8540
	40004
	 	1817 Mt. Holly Road	 	Burlington Township	 	NJ	 	8016
	40005
	 	1455 Route 1	 	Edison	 	NJ	 	8837
	40006
	 	1800 Clements Bridge Road	 	Deptford	 	NJ	 	8096
	40007
	 	500 Route 38	 	Cherry Hill	 	NJ	 	8002
	40008
	 	Monmouth Mall - Space 1224	 	Monmouth	 	NJ	 	7724
	40009
	 	1500 Route 47 South	 	Rio Grande	 	NJ	 	8242
	40011
	 	709 South Broadway	 	Pennsville	 	NJ	 	8070
	40012
	 	77 Sunset Strip	 	Succassunna	 	NJ	 	7876
	40013
	 	167 Route 37 East & Hooper Ave	 	Tom's River	 	NJ	 	8753
	40014
	 	125 W. Main Street	 	Somerville	 	NJ	 	8876
	40015
	 	3 Penn Plaza	 	Newark	 	NJ	 	7105
	 
	 	1080A Old Country Road	 	 	 	 	 	 
	42001
	 	405 Spring Street	 	Riverhead	 	NY	 	11901

 

 

	 	 	 	 	 	 	 	 	 
	LOCATION	 	PROPERTY	 	TOWN	 	 	 	ZIP
	NAME /#	 	ADDRESS	 	NAME	 	STATE	 	CODE
	42002
	 	420 Lexington Avenue	 	New York	 	NY	 	10017
	42003
	 	456 East Fordham Road	 	Bronx	 	NY	 	10458-6870
	42004
	 	1832 Veteran's Memorial Highway	 	Islandia	 	NY	 	11722
	42005
	 	200 East Post Road	 	White Plains	 	NY	 	10458
	42006
	 	196 Glen Cove Road	 	Carle Place	 	NY	 	11514-1222
	42007
	 	2257 Emmons Ave.	 	Brooklyn	 	NY	 	11235
	42008
	 	157-02 Cross Bay Boulevard	 	Howard Beach	 	NY	 	11414
	42009
	 	500 Seaview Avenue	 	Staten Island	 	NY	 	10305
	42011
	 	1776 Broadway, Suite 700	 	New York	 	NY	 	10019
	42012
	 	91-31 Queens Boulevard	 	Elmhurst	 	NY	 	11373
	42013
	 	355 Broadway	 	Amityville	 	NY	 	11701
	42017
	 	354 E. Jericho Turnpike	 	Mineola	 	NY	 	11501
	42201
	 	405 Spring Street	 	Jamestown	 	NY	 	14701
	42202
	 	2646 West State Street	 	Olean	 	NY	 	14760
	42203
	 	249 Main Street	 	Arcade	 	NY	 	14009
	43651
	 	500 Congress Street	 	Quincy	 	MA	 	2169
	43652
	 	135 Massachusetts Avenue	 	Arlington	 	MA	 	2474
	43654
	 	11 Bedford Street, First Floor	 	Burlington	 	MA	 	01803-3702
	43655
	 	578 Main Street	 	Malden	 	MA	 	2148
	43658
	 	20 Holland Street	 	Somerville	 	MA	 	2144
	43659
	 	306 Main Street	 	Wakefiled	 	MA	 	1880
	43660
	 	7 Essex Green Drive	 	Peabody	 	MA	 	1960
	80601
	 	737 Parkdale Ave.	 	Ottawa	 	ON	 	K1Y1J8
	80602
	 	501 Smyth Road	 	Ottawa	 	ON	 	K1H8L6
	80603
	 	1224 Place D'Orleans Drive	 	Orleans	 	ON	 	K1C7K3
	80604
	 	1250 Main Street	 	Stittsville	 	ON	 	K2S 1S9
	80605
	 	595 Montreal Road, Suite 404B	 	Vanier	 	ON	 	K1K4L2
	80611
	 	501 Princess Street	 	Kingston	 	ON	 	K7L1C3
	80612
	 	147 Pinnacle Street	 	Belleville	 	ON	 	K8N3A5
	80613S
	 	64 Ontario Street	 	Trenton	 	ON	 	K8V 6H9
	80621
	 	600 Tecumseh, Suite 341	 	Windsor	 	ON	 	N8X 4X9
	80622S
	 	181 Toronto Road	 	Port Hope	 	ON	 	L1A 3V5
	80623
	 	119 Isabella Street	 	Campbellford	 	ON	 	K0L 1L0
	80625
	 	186 Talbot Street, South	 	Essex	 	ON	 	N8M 1B6
	80626
	 	11811 Tecumseh Rd. East, Suite 110	 	Tecumseh	 	ON	 	N8M 4M7
	80627
	 	194 Talbot Street West, Suite 209	 	Leamington	 	ON	 	N8H 1N9
	80628S
	 	2125 Front Rd	 	LaSalle	 	ON	 	N9J 2C2
	80631
	 	147 Hunter Street East	 	Peterborough	 	ON	 	K9H 1G7
	80632
	 	84 Russell Street West	 	Lindsay	 	ON	 	K9V 6A5
	80633
	 	Haliburton Family Medicine Center	 	Haliburton	 	ON	 	K0M 1S0
	80634
	 	1385 Bank Street, Suite 205	 	Ottawa	 	ON	 	K0K 3K0

 

 

	2.	 	Office of Record for Accounts and Other Collateral: 1250 Northpoint Parkway, West
Palm Beach, Florida 33407
	 
	3.	 	Debtor Organization:

	 	a.	 	Legal Name: HearUSA, Inc.
	 
	 	b.	 	State of Incorporation: Delaware
	 
	 	c.	 	Principal Place of Business: Southeast Florida, West Coast of Florida, New York City
metropolitan area, New Jersey and Southern California
	 
	 	d.	 	Chief Executive Office: 1250 Northpoint Parkway, West Palm Beach, Florida 33407

	4.	 	Debtor’s Trade Names: “HEARx LTD.”, “Helix Hearing Care of America Corp.”, and
“National Ear Care Plan.”
	 
	5.	 	Debtor’s TAX ID Number: 22-2748248

 

 

SCHEDULE IV

PATENTS, COPYRIGHTS AND TRADEMARKS

[TO BE UPDATED]

	1.	 	Registered Trademarks:

	 	a.	 	“HEARx” design plus words, letters and/or numbers, registered January 5, 1988,
registration number 1471748.
	 
	 	b.	 	“Your Prescription for Better Hearing” typed drawing, registered September 6,
1988, registration number 15032594.

	2.	 	Trademarks in Registration:

	 	a.	 	“InTouch” design plus words, letters and/or numbers, published in Official
Gazette April 17, 2001, serial number 76/107038.
	 
	 	b.	 	“International Hearing Services” words, letters or numbers in typed form, filed
March 13, 2001, serial number 76/224010.
	 
	 	c.	 	“EAR & WAVE” design, registered September 20, 2000, registration number
TMA533,047
	 
	 	d.	 	“EAR & WAVE” design, registered June 6, 2000, registration number 2,354,656.
	 
	 	e.	 	“HEARUSA” and design, registered March 28, 2000, registration number 2,336,648.
	 
	 	f.	 	“Helix”, registered November 7, 2000, registration number TMA536,819.
	 
	 	g.	 	“Helix Hearing Care Centre”, registered September 10, 2001, registration number
TMA550,544.
	 
	 	h.	 	“Helix Hearing Care Centre” and design, registered September 28, 2001,
registration number TMA551,743.
	 
	 	i.	 	“Prestige”, registered June 22, 2004, registration number 78/310,914.
	 
	 	j.	 	“It’s Clear We Care”, registered February 1, 2005, registration number
78/174,387.

 

 

	3.	 	Common Law Trademarks, Copyrights and other Intellectual Property:

	 	a.	 	“HELP Class” Name and design
	 
	 	b.	 	Content of HELP Class Handbook & Classroom Materials
	 
	 	c.	 	Programming and Content of “Center Management System” or “CMS”
	 
	 	d.	 	Programming and Content of “Customer Contact Plan”
	 
	 	e.	 	Programming and Content of Telemarketing Scripts, Customer Service Screens, and
Call Management Flowcharts
	 
	 	f.	 	All creative content of advertisements, direct mail, brochures and public
communications
	 
	 	g.	 	Content of JCAHO-compliant operating policies and procedures
	 
	 	h.	 	Content of HEARx Practice Guidelines for Clinical Services
	 
	 	i.	 	Center Operating Manual & Management Policies
	 
	 	j.	 	Sales & Customer Service training programs
	 
	 	k.	 	New Employee Training Manuals

2

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