BancAmerica Xxxxxxxxx Xxxxxxxx. Xxxxxxxxx & Xxxxx LLC............................... ________ TOTAL............................................ ======== SCHEDULE B Number of Firm Maximum Number of Significant Common Shares Optional Common Shares Selling Stockholders to be Sold to be Sold ----------------------- -------------- ---------------------- S. Xxxxxxx Xxxxxx 427,500 142,500 SCHEDULE C Number of Firm Maximum Number of Common Shares Optional Common Shares Selling Stockholders to be Sold to be Sold ----------------------- -------------- ---------------------- Xxxx Xxxxxxxxx 40,000 Fenwick and West 25,000 Xxxxxx Xxxxx 10,000 Xxxxx XxXxxxxx 10,000 Xxxxxxx X. Xxxxxx 10,000 Xxxx Xxxxx 10,000 Xxxxxx Xxxxx 28,200 31,800 Xxxx Xxxxxxxxx 10,000 Xxxxx X. Xxxxxx 20,000 Company Shares 1,709,300 170,700 --------- ---------------------- TOTAL 2,300,000 202,500 ========= ======================
BancAmerica Xxxxxxxxx Xxxxxxxx. Xxxxxxxxx & Xxxxx LLC..................................... Total................................. 3,250,000 =========
BancAmerica Xxxxxxxxx Xxxxxxxx. TOTAL: --------- EXHIBIT A --------- PATENT APPLICATIONS EXHIBIT B --------- ALLOWED PATENT APPLICATIONS EXHIBIT C --------- LITIGATION EXHIBIT D --------- FORM OF LOCK-UP AGREEMENT October 17, 1997 Xxxxxx Xxxxxxx & Co. Incorporated Xxxxxxx, Sachs & Co. BancAmerica Xxxxxxxxx Xxxxxxxx c/o Morgan Xxxxxxx & Co. Incorporated 0000 Xxxxxxxx Xxx Xxxx, XX 00000 Ladies and Gentlemen: The undersigned understands that Xxxxxx Xxxxxxx & Co. Incorporated ("Xxxxxx Xxxxxxx") proposes to enter into an Underwriting Agreement (the "Underwriting Agreement") with SanDisk Corporation, a Delaware corporation (the "Company"), providing for the public offering (the "Public Offering") by the several Underwriters, including Xxxxxx Xxxxxxx (the "Underwriters"), of 3,000,000 shares (the "Shares") of the Common Stock, $.001 par value, of the Company ("Common Stock"). To induce the Underwriters that may participate in the Public Offering to continue their efforts in connection with the Public Offering, the undersigned hereby agrees that, without the prior written consent of Xxxxxx Xxxxxxx on behalf of the Underwriters, he, she or it will not, during the period commencing on the date hereof and ending 90 days after the date of the final prospectus (the "Prospectus") relating to the Public Offering, (1) offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase, lend, or otherwise transfer or dispose of, directly or indirectly, any shares of Common Stock or any securities convertible into or exercisable or exchangeable for Common Stock or (2) enter into any swap or other arrangement that transfers to another, in whole or in part, any of the economic consequences of ownership of Common Stock, whether any such transaction described in clause (1) or (2) above is to be settled by delivery of Common Stock or such other securities, in cash or otherwise. However, the executive officers and directors of the Company may, without such consent, sell an aggregate of up to 100,000 shares, which shall include no more than 40,000 shares by any one person. The foregoing sentence shall not apply to (1) the sale of any Shares to the Underwriters pursuant to the Underwriting Agreement, (2) transactions relating to shares of Common Stock or other securities acquired in open market transactions after the completion of the Public Offering. In addition, the undersigned agrees that, without the prior writ...
BancAmerica Xxxxxxxxx Xxxxxxxx. Xxxxxx Xxxxxxxxxx Xxxxx Inc..................................... [Other Underwriters]............................................ EXHIBIT A The Company shall have furnished to the Underwriters, at the Closing Date, an opinion of the Ledgewood Law Firm P.C., counsel for the Company, addressed to the Representative and dated each Closing Date, in form and substance satisfactory to Silver, Xxxxxxxx & Taff, LLP, counsel for the Underwriters, stating that:
BancAmerica Xxxxxxxxx Xxxxxxxx. Total $150,000,000
BancAmerica Xxxxxxxxx Xxxxxxxx. Total ========= SCHEDULE 2 Number of Shares Name of Selling Stockholder of Firm Stock --------------------------- ---------------- Xxxxxxx X. Xxxxxxx................................... 25,000 Xxxxxxx X. Xxxxx..................................... 215,325 Xxxx X. Xxxxxxx...................................... 34,179 Xxxxxxx X. Xxxx...................................... 110,047 Xxxxxx Xxxxxx........................................ 12,501 ------- Total................................................ 397,052 ======= SCHEDULE 3 The Lock-up will apply to the following individuals and entities: MDCP Xxxxxx Chilmark Calsters Xxxx Xxxxx Xxxxxxx Xxxxxxx Xxxxxxx Xxxxxxxx Xxx Xxxxxxx Xxx Xxxxxxxx Xxxxx Xxxxxx Xxxxx Xxxxxx Xxx Xxxxxx Xxxxxxx Xxxx Xxxx Xxxxx Raju Boligala Xxx Xxxxxxx Xxx Xxxxx Xxxxx Xxxxxxxx Xx Xxxxxx EXHIBIT A FORM OF LOCK-UP LETTER AGREEMENT Xxxxxx Brothers Inc. BT Xxxx Xxxxx Incorporated BancAmerica Xxxxxxxxx Xxxxxxxx As Representatives of the several underwriters c/x XXXXXX BROTHERS INC. Three World Financial Center Xxx Xxxx, XX 00000 Dear Sirs: The undersigned understands that you and certain other firms propose to enter into an Underwriting Agreement (the "Underwriting Agreement") providing for the purchase by you and such other firms (the "Underwriters") of shares (the "Shares") of Common Stock, par value $0.01 per share (the "Common Stock"), of Xxxxx Horticulture, Inc. (the "Company") and that the Underwriters propose to reoffer the Shares to the public (the "Offering"). In consideration of the execution of the Underwriting Agreement by the Underwriters, and for other good and valuable consideration, the undersigned hereby irrevocably agrees that, without the prior written consent of Xxxxxx Brothers Inc., the undersigned will not, directly or indirectly, (1) offer for sale, sell, pledge, or otherwise dispose of (or enter into any transaction or device that is designed to, or could be expected to, result in the disposition by any person at any time in the future of) any shares of Common Stock (including, without limitation, shares of Common Stock that may be deemed to be beneficially owned by the undersigned in accordance with the rules and regulations of the Securities and Exchange Commission and shares of Common Stock that may be issued upon exercise of any option or warrant) or securities convertible into or exchangeable for Common Stock (other than the Shares) owned by the undersigned on the date of execution of this Lock-Up Letter Agreement or...
BancAmerica Xxxxxxxxx Xxxxxxxx. ANNEX I PERSONS DELIVERING LOCK-UP AGREEMENTS Underwriting Agreement dated ________ __, 1998 Lithia Holding Company, L.L.C., an Oregon limited liability company Xxxxxx X. XxXxxx M.L. Xxxx Xxxxxxx X. Xxxxxxxx Xxxx Xxxxx X. Xxxxx Xxxxxx Xxxxxx Xxxxxxx X. Xxxxx
BancAmerica Xxxxxxxxx Xxxxxxxx. By: Xxxxx Xxxxxxxx ------------------------------ Title: Managing Director ------------------------------ FIRST CHICAGO CAPITAL MARKETS, INC. By: Xxxxxx X. Xxxxxx ------------------------------ Title: Vice President ------------------------------ XXXXXXX, XXXXX & CO. By: Xxxxxxx, Xxxxx & Co. ------------------------------ Title: ------------------------------ XXXXXX BROTHERS INC. By: Xxxx XxXxxx ------------------------------ Title: Managing Director ------------------------------ X.X. XXXXXX SECURITIES INC. By: X. Xxxxxx Xxxxxx ------------------------------ Title: ------------------------------ WARBURG DILLON READ LLC By: Xxxxx Xxxxx ------------------------------ Title: Managing Director ------------------------------ Capital Markets SCHEDULE I XXXXXX FINANCIAL, INC. Medium-Term Notes, Series I, Commission Schedule Commission Term Rate ---- ---- SCHEDULE II XXXXXX FINANCIAL, INC. Medium-Term Notes, Series I The agreements covered by the representation and warranty of the Company set out in Section 3(b)(vii) are as follows:
BancAmerica Xxxxxxxxx Xxxxxxxx. Xxxxxxxxx & Xxxxx, LLC........................
BancAmerica Xxxxxxxxx Xxxxxxxx. Bear, Xxxxxxx & Co., Inc. .......................
