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Transaction Valuation(1)
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Amount of Filing Fee(2)
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$69,345,000
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$8,634
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Name
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Position
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Mark Klein | | | Director, Chief Executive Officer | |
Michael Moe | | | Director, Executive Chairman | |
Leonard Potter | | | Director | |
Ronald M. Lott | | | Director | |
Marc Mazur | | | Director | |
David S. Pottruck | | | Director | |
William F. Tanona | | | President, Chief Financial Officer, Treasurer and Corporate Secretary | |
Carl M. Rizzo | | | Chief Compliance Officer | |
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Exhibit No.
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Description
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| (a)(1)(A) | | | Offer to Purchase, dated December 15, 2017. | |
| (a)(1)(B) | | | Form of Letter of Transmittal. | |
| (a)(5) | | | Press Release, dated December 15, 2017, incorporated by reference to Exhibit 99.1 to the Company’s Current Report on Form 8-K, filed on December 15, 2017. | |
| (d)(1) | | | Indenture (including form of 5.25% Convertible Senior Note due 2018), dated September 17, 2013, relating to the 5.25% Convertible Senior Notes due 2018, by and between the Company and U.S. Bank National Association, as trustee (filed as Exhibit 4.1 to the Company’s Current Report on Form 8-K filed on September 18, 2013), and incorporated herein by reference. | |
| (g) | | | Not applicable. | |
| (h) | | | Not applicable. | |
| | | | GSV CAPITAL CORP. | | |||
| | | | By: | | | /s/ Mark D. Klein | |
| | | | | | | Name: Mark D. Klein Title: Chief Executive Officer |
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Exhibit No.
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Description
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| (a)(1)(A) | | | Offer to Purchase, dated December 15, 2017. | |
| (a)(1)(B) | | | Form of Letter of Transmittal. | |
| (a)(5) | | | Press Release, dated December 15, 2017, incorporated by reference to Exhibit 99.1 to the Company’s Current Report on Form 8-K, filed on December 15, 2017. | |
| (d)(1) | | | Indenture (including form of 5.25% Convertible Senior Note due 2018), dated September 17, 2013, relating to the 5.25% Convertible Senior Notes due 2018, by and between the Company and U.S. Bank National Association, as trustee (filed as Exhibit 4.1 to the Company’s Current Report on Form 8-K filed on September 18, 2013), and incorporated herein by reference. | |
| (g) | | | Not applicable. | |
| (h) | | | Not applicable. | |
| | The Tender Offer (as defined herein) will expire at 12:00 midnight, New York City time, on January 17, 2018 (one minute after 11:59 p.m., New York City time, on January 16, 2018), or any other date and time to which the Company extends such Tender Offer (such date and time, as it may be extended, the “Expiration Date”), unless earlier terminated, in the Company’s sole discretion. You must validly tender your Notes (as defined below) at or prior to the Expiration Date to be eligible to receive the Purchase Price (as defined below) for such Notes. The Purchase Price will be payable in cash. Tendered Notes may be validly withdrawn from the Tender Offer at or prior to the Expiration Date. The Tender Offer is subject to the satisfaction or waiver of certain conditions as set forth under the heading “The Terms of the Tender Offer — Conditions to the Tender Offer.” | | |
Date
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Calendar Date and Time
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Event
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Expiration Date | | | 12:00 midnight, New York City time, on January 17, 2018 (one minute after 11:59 p.m., New York City time, on January 16, 2018) | | | The last date and time for you to validly tender Notes. | |
Settlement Date | | | For Notes that have been validly tendered at or prior to the Expiration Date and that are accepted for purchase pursuant to the Tender Offer, settlement will occur on the Settlement Date, which is expected to occur within three business days following the Expiration Date, assuming the conditions to the Tender Offer have been either satisfied or waived by the Company at or prior to the Expiration Date. | | | The date you are paid the Purchase Price for all Notes that are validly tendered at or prior to the Expiration Date and that are accepted for purchase pursuant to the Tender Offer, plus Accrued Interest. | |
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Name
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Position
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Mark Klein | | | Director, Chief Executive Officer | |
Michael Moe | | | Director, Executive Chairman | |
Leonard Potter | | | Director | |
Ronald M. Lott | | | Director | |
Marc Mazur | | | Director | |
David S. Pottruck | | | Director | |
William F. Tanona | | | President, Chief Financial Officer, Treasurer and Corporate Secretary | |
Carl M. Rizzo | | | Chief Compliance Officer | |
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Closing Sales
Price |
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High
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Low
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Year Ended December 31, 2015 | | | | ||||||||||
First Quarter
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| | | $ | 7.32 | | | | | $ | 6.24 | | |
Second Quarter
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| | | $ | 7.94 | | | | | $ | 6.65 | | |
Third Quarter
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| | | $ | 7.81 | | | | | $ | 5.39 | | |
Fourth Quarter
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| | | $ | 7.35 | | | | | $ | 5.31 | | |
Year Ended December 31, 2016 | | | | ||||||||||
First Quarter
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| | | $ | 6.73 | | | | | $ | 5.41 | | |
Second Quarter
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| | | $ | 6.03 | | | | | $ | 4.60 | | |
Third Quarter
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| | | $ | 5.85 | | | | | $ | 4.61 | | |
Fourth Quarter
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| | | $ | 5.15 | | | | | $ | 4.50 | | |
Year Ended December 31, 2017 | | | | ||||||||||
First Quarter
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| | | $ | 5.52 | | | | | $ | 4.43 | | |
Second Quarter
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| | | $ | 4.71 | | | | | $ | 4.29 | | |
Third Quarter
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| | | $ | 5.41 | | | | | $ | 3.86 | | |
Fourth Quarter (up to and including December 14, 2017)
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| | | $ | 6.62 | | | | | $ | 5.42 | | |
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The Depositary for the Tender Offer is:
Global Bondholder Services Corporation |
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The Information Agent for the Tender Offer is:
Global Bondholder Services Corporation |
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By facsimile:
(For Eligible Institutions only) (212) 430-3775 Confirmation: (212) 430-3774 |
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65 Broadway, Suite 404
New York, New York 10006 Banks and Brokers call: (212) 430-3774 Toll free: (866) 470-4200 Email: contact@gbsc-usa.com |
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By Mail, Overnight Courier or Hand:
Global Bondholder Services Corp. Attn: Corporate Action 65 Broadway, Suite 404 New York, New York 10006 (212) 430-3774 |
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| | The Tender Offer (as defined herein) will expire at 12:00 midnight, New York City time, on January 17, 2018 (one minute after 11:59 p.m., New York City time, on January 16, 2018), or any other date and time to which the Company extends such Tender Offer (such date and time, as it may be extended, the “Expiration Date”), unless earlier terminated, in the Company’s sole discretion. You must validly tender your Notes (as defined below) at or prior to the Expiration Date to be eligible to receive the Purchase Price (as defined below) for such Notes. The Purchase Price will be payable in cash. Tendered Notes may be validly withdrawn from the Tender Offer at or prior to the Expiration Date. The Tender Offer is subject to the satisfaction or waiver of certain conditions as set forth under the heading “The Terms of the Tender Offer — Conditions to the Tender Offer,” including the General Conditions (as defined in the Offer to Purchase). | | |
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By Mail, Overnight Courier or Hand:
(Registered or Certified Mail Recommended): |
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By facsimile
(for Eligible Institutions only): |
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Global Bondholder Services Corp.
Attn: Corporate Action 65 Broadway, Suite 404 New York, New York 10006 |
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(212) 430-3775
Confirmation: (212) 430-3774 |
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Name of Tendering Institution:
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| DTC Participant Number: | | | | |
| Account Number: | | | | |
| Transaction Code Number: | | | | |
Name(s) and Address(es) of Holder(s)
(Please fill in, if blank) |
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Principal Amount of
Notes Tendered* |
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CUSIP No. 36191J AB7*
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$
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| Name(s): | | | | |
| Capacity (Full Title): | | | | |
| Social Security Number or Employer Identification Number: |
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| Address: | | | | |
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(Include Zip Code)
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| Area Code and Telephone Number: | | | | |
| Authorized Signature: | | | | |
| Name of Signatory: | | | | |
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(Please Print)
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| Title: | | | | |
| Name of Medallion Signature Guarantor: |
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| Address: | | | | |
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(Include Zip Code)
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| Area Code and Telephone Number: | | | | |
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SPECIAL PAYMENT INSTRUCTIONS
(See Instructions 3, 4, 5 and 6) |
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| To be completed ONLY if checks for payment of the Purchase Price for validly tendered and accepted Notes and any Accrued Interest are to be issued to someone other than the person or persons whose signature(s) appear(s) within this Letter of Transmittal or issued to an address different from that shown in the box entitled “Description of Notes Tendered” within this Letter of Transmittal. | |
| Issue checks for payment of the Purchase Price for validly tendered and accepted Notes and any Accrued Interest to: | |
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Name
(Please Print)
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Address
(Including Zip Code)
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(Taxpayer Identification Number or
Social Security Number) (See IRS Form W-9 herein or IRS Form W-8, as applicable) |
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SPECIAL DELIVERY INSTRUCTIONS
(See Instructions 3, 4, 5 and 6) |
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| To be completed ONLY if Notes not accepted for purchase are to be credited to the account of someone other than the person or persons whose signature(s) appear(s) within this Letter of Transmittal. | |
| Credit the Notes not accepted for purchase to: | |
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Name
(Please Print)
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Address
(Including Zip Code)
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(Taxpayer Identification Number or
Social Security Number) (Also Provide IRS Form W-9 or the Appropriate IRS Form W-8) |
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| DTC Account Number: | |
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The Depositary for the Tender Offer is:
Global Bondholder Services Corporation |
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The Information Agent for the Tender Offer is:
Global Bondholder Services Corporation |
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By facsimile:
(For Eligible Institutions only) (212) 430-3775 Confirmation: (212) 430-3774 By Mail, Overnight Courier or Hand: Global Bondholder Services Corp. Attn: Corporate Action 65 Broadway, Suite 404 New York, New York 10006 (212) 430-3774 |
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65 Broadway, Suite 404
New York, New York 10006 Banks and Brokers call: (212) 430-3774 Toll free: (866) 470-4200 Email: contact@gbsc-usa.com |
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