Exhibit 2.2
EXECUTION VERSION
MEMBERSHIP INTEREST PURCHASE AGREEMENT
BY AND AMONG
IBG BORROWER LLC,
ICONIX BRAND GROUP, INC.,
DHX MEDIA LTD.
AND
DHX SSP HOLDINGS LLC
DATED MAY 9, 2017
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
| | | | | | |
| | | | Page | |
ARTICLE I DEFINITIONS; CONSTRUCTION | | | 1 | |
| | |
1.1 | | Defined Terms | | | 1 | |
1.2 | | Additional Defined Terms | | | 8 | |
1.3 | | Construction | | | 9 | |
1.4 | | Exhibits and the Disclosure Letters | | | 10 | |
1.5 | | Knowledge | | | 10 | |
| |
ARTICLE II SALE OF INTERESTS; CLOSING | | | 10 | |
| | |
2.1 | | Sale of Interests | | | 10 | |
2.2 | | Closing; Closing Deliverables | | | 10 | |
| |
ARTICLE III PURCHASE PRICE | | | 12 | |
| | |
3.1 | | Purchase Price; Delivery of Funds | | | 12 | |
3.2 | | Working Capital Adjustment | | | 12 | |
3.3 | | DHX Parent Guaranty | | | 13 | |
3.4 | | Iconix Parent Guaranty | | | 14 | |
3.5 | | Purchase Price Allocation | | | 14 | |
| |
ARTICLE IV REPRESENTATIONS AND WARRANTIES OF SELLER | | | 15 | |
| | |
4.1 | | Due Organization, Good Standing | | | 15 | |
4.2 | | Authorization; Noncontravention | | | 15 | |
4.3 | | Title to Interests | | | 16 | |
4.4 | | Company; Capitalization | | | 16 | |
4.5 | | Financial Statements; Undisclosed Liabilities | | | 17 | |
4.6 | | Consents and Approvals | | | 17 | |
4.7 | | Title toNon-IP Assets | | | 17 | |
4.8 | | Intentionally Omitted | | | 17 | |
4.9 | | Litigation and Other Proceedings; Orders | | | 17 | |
4.10 | | Absence of Certain Changes and Events | | | 18 | |
4.11 | | Material Contracts | | | 19 | |
4.12 | | Tax Matters | | | 21 | |
4.13 | | Intellectual Property | | | 22 | |
4.14 | | Compliance with Laws | | | 24 | |
4.15 | | Finders; Brokers | | | 24 | |
4.16 | | Employees and Benefit Plans | | | 24 | |
4.17 | | Certain Payments | | | 25 | �������� |
4.18 | | Accounts Receivable | | | 25 | |
4.19 | | Transactions with Affiliates | | | 25 | |
4.20 | | Insurance | | | 25 | |
4.21 | | No Material Adverse Effect | | | 26 | |
4.22 | | Exclusivity of Representations | | | 26 | |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
(ii)
| | | | | | |
| | | | Page | |
ARTICLE V REPRESENTATIONS AND WARRANTIES OF PURCHASER | | | 26 | |
| | |
5.1 | | Corporate Due Organization, Good Standing and Corporate Power of Purchaser | | | 26 | |
5.2 | | Authorization; Noncontravention | | | 26 | |
5.3 | | Consents and Approvals | | | 27 | |
5.4 | | Available Funds | | | 27 | |
5.5 | | Litigation | | | 28 | |
5.6 | | Finders; Brokers | | | 28 | |
5.7 | | Investigation and Acknowledgment by Purchaser | | | 28 | |
5.8 | | Exclusivity of Representations | | | 29 | |
| |
ARTICLE VI COVENANTS | | | 29 | |
| | |
6.1 | | Access to Information Concerning Properties and Records | | | 29 | |
6.2 | | Conduct of Seller and the Business | | | 30 | |
6.3 | | Efforts to Close; Antitrust Laws | | | 30 | |
6.4 | | Public Announcements | | | 31 | |
6.5 | | Notification of Certain Matters | | | 32 | |
6.6 | | Post-Closing Access to Records and Personnel; Litigation Support | | | 32 | |
6.7 | | Tax Matters | | | 33 | |
6.8 | | Further Assurances | | | 35 | |
6.9 | | Audited Financials | | | 35 | |
6.10 | | Financing | | | 35 | |
6.11 | | Aged Accounts Receivable Credit | | | 38 | |
6.12 | | Efforts to Collect and Reporting | | | 38 | |
6.13 | | Payment to Wrong Party Following Closing | | | 38 | |
6.14 | | Transfer of Domain Name Registrations | | | 38 | |
| |
ARTICLE VII CONDITIONS PRECEDENT | | | 39 | |
| | |
7.1 | | Conditions to the Obligations of Each Party | | | 39 | |
7.2 | | Conditions to the Obligations of Purchaser | | | 39 | |
7.3 | | Conditions to the Obligations of Seller | | | 40 | |
7.4 | | Frustration of Closing Conditions | | | 40 | |
| |
ARTICLE VIII INDEMNIFICATION; REMEDIES | | | 40 | |
| | |
8.1 | | General Indemnification by Seller | | | 40 | |
8.2 | | Tax Indemnification by Seller | | | 40 | |
8.3 | | Indemnification by Purchaser | | | 41 | |
8.4 | | Time Limitations | | | 41 | |
8.5 | | Limitations on Amount | | | 41 | |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
(iii)
| | | | | | |
| | | | Page | |
8.6 | | Procedure for Indemnification — Third Party Claims | | | 42 | |
8.7 | | Adjustment to Purchase Price | | | 43 | |
8.8 | | Damages | | | 43 | |
| |
ARTICLE IX TERMINATION | | | 43 | |
| | |
9.1 | | Termination Events | | | 43 | |
9.2 | | Effect of Termination | | | 44 | |
9.3 | | No Recourse to Debt Financing Source | | | 45 | |
| |
ARTICLE X MISCELLANEOUS | | | 45 | |
| | |
10.1 | | Expenses | | | 45 | |
10.2 | | Extension; Waiver | | | 45 | |
10.3 | | Notices | | | 45 | |
10.4 | | Entire Agreement | | | 47 | |
10.5 | | Binding Effect; Benefit; Assignment | | | 47 | |
10.6 | | Amendment and Modification | | | 47 | |
10.7 | | Counterparts | | | 47 | |
10.8 | | Applicable Law | | | 47 | |
10.9 | | Severability | | | 48 | |
10.10 | | Specific Enforcement; Limitation on Damages | | | 48 | |
10.11 | | Waiver of Jury Trial | | | 48 | |
10.12 | | Release | | | 49 | |
10.13 | | Rules of Construction | | | 49 | |
10.14 | | Headings | | | 49 | |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
(iv)
| | |
| | EXHIBITS |
| |
Exhibit A | | – Form of Release |
Exhibit B | | – Interests Assignment and Assumption Agreement |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
(v)
MEMBERSHIP INTEREST PURCHASE AGREEMENT
This MEMBERSHIP INTEREST PURCHASE AGREEMENT (this “Agreement”) is dated May 9, 2017 by and among IBG Borrower LLC, a limited liability company organized under the Laws of the State of Delaware (“Seller”), and, solely for purposes ofSection 3.4 hereof, Iconix Brand Group, Inc., a corporation organized under the Laws of the State of Delaware (“Iconix”), on the one hand, and DHX SSP Holdings LLC, a limited liability company organized under the Laws of the State of Delaware (“Purchaser”), and, solely for purposes ofSection 3.3 hereof, DHX Media Ltd., a corporation organized under the Laws of Canada (“DHX”), on the other hand. Unless otherwise expressly provided to the contrary, all capitalized terms used in this Agreement shall have the meanings ascribed to such terms inSection 1.1 of this Agreement.
WITNESSETH:
WHEREAS, Seller owns all of the issued and outstanding membership interests (the “Interests”) of Shortcake IP Holdings LLC, a limited liability company organized under the Laws of the State of Delaware (the “Company”), which is engaged in the Business;
WHEREAS, upon the terms and subject to the conditions of this Agreement, the parties hereto desire that Purchaser purchase and Seller sells or causes to be sold, transferred, conveyed and assigned to Purchaser, the Interests on the Closing Date (the “Purchase”);
WHEREAS, it is the intention of the parties hereto that, upon consummation of the Purchase pursuant to this Agreement, Purchaser shall own all of the outstanding membership interests of the Company; and
WHEREAS, as a material inducement to Iconix and Seller to enter into this Agreement, DHX is providing a guaranty in favor of Iconix and Seller pursuant to which DHX is guaranteeing certain obligations of Purchaser including the payment of the Purchase Price.
NOW, THEREFORE, in consideration of the premises and of the mutual covenants, representations, warranties and agreements herein contained, the parties, intending to be legally bound, agree as follows:
ARTICLE I
DEFINITIONS; CONSTRUCTION
1.1 Defined Terms. When used in this Agreement, the following terms shall have the respective meanings specified therefor below:
“Affiliate” of any Person shall mean any other Person directly or indirectly controlling, controlled by, or under common control with, such Person,provided that for the purposes of this definition, “control” (including, with correlative meanings, the terms “controlled by” and “under common control with”), as used with respect to any Person, shall mean the possession, directly or indirectly, of the power to direct or cause the direction of the management and policies of such Person, whether through the ownership of voting securities, by Contract or otherwise.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
“Aged Accounts Receivable” shall mean any accounts receivable of the Company incurred in the ordinary course of business which have been outstanding for more than 120 days from the applicable due date pursuant to the relevant Contract.
“Antitrust Authorities” shall mean the Federal Trade Commission, the Antitrust Division of the United States Department of Justice, the attorneys general of the several states of the United States of America and any other Governmental Entity having jurisdiction with respect to the transactions contemplated hereby pursuant to applicable Antitrust Laws.
“Antitrust Filings” shall mean all required filings under the HSR Act and all filings under other applicable Antitrust Laws required in order to consummate the transactions contemplated by this Agreement.
“Antitrust Laws” shall mean the Sherman Act, 15 U.S.C. §§1-7, as amended; the Clayton Act, 15 U.S.C. §§12-27, 29 U.S.C. §§52-53, as amended; the HSR Act; the Federal Trade Commission Act, 15 U.S.C. §§41-58, as amended; and all other Laws and Orders that are designed or intended to prohibit, restrict or regulate actions having the purpose or effect of monopolization, restraint of trade, or lessening of competition through merger or acquisition.
“Balance Sheet” shall mean the unaudited proforma balance sheet of the Business as at December 31, 2016, as set forth inSection 4.5(a) of the Seller Disclosure Letter.
“Business” shall mean the business of the Company, as currently conducted by the Company, of owning, exploiting, promoting, advertising and licensing the IP Assets.
“Business Day” shall mean any day except a Saturday, a Sunday or any other day on which commercial banks are required or authorized to close in New York, New York or Halifax, Nova Scotia.
“ClosingWorking Capital” shall mean Current Assets minus Current Liabilities, determined as of the close of business on the Closing Date. The Closing Working Capital can be represented by a positive or a negative number.
“Code” shall mean the United States Internal Revenue Code of 1986, as amended.
“Confidentiality Agreement” shall mean that certain Nondisclosure and Restrictive Covenant Agreement, dated as of August 29, 2016, by and between Iconix and DHX.
“Contract” shall mean any note, bond, mortgage, indenture, guaranty, license, franchise, agreement, contract, lease, commitment, promise or undertaking, and any amendments thereto.
“Copyright” shall mean, throughout the world, all registered and unregistered copyrights and registrations and applications to register the same, all extensions, renewals and reversions related thereto, and all design and database rights recognized by applicable Law, including moral rights of authors.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-2-
“Current Assets” shall mean cash and cash equivalents, accounts receivable, prepaid expenses and deposits, but excluding any (i) deferred Tax assets, (ii) Aged Accounts Receivable (net of applicable reserves), (iii) the portion of any prepaid expense or deposit of which Purchaser will not receive the benefit following Closing, and (iv) receivables from any of the Company’s Affiliates, directors, employees, officers or equity holders, and any of their respective Affiliates, in each case as determined with respect to the Business in accordance with GAAP applied using the same accounting methods, practices, principles, policies and procedures, with consistent classifications, judgments and valuation and estimation methodologies that were used in preparing the Balance Sheet.
“Current Liabilities” shall mean accounts payable, accrued Taxes, accrued expenses and current deferred revenue, but excluding any (i) deferred Tax liabilities, and (ii) payables to any of the Company’s Affiliates, directors, employees, officers or equity holders, and any of their respective Affiliates, in each case as determined with respect to the Business in accordance with GAAP applied using the same accounting methods, practices, principles, policies and procedures, with consistent classifications, judgments and valuation and estimation methodologies that were used in preparing the Balance Sheet.
“Equity Interests” of any Person shall mean the shares, membership interests, partnership interests or other equity interests, as applicable, of such Person.
“GAAP” shall mean generally accepted accounting principles of the United States of America consistently applied, as in effect from time to time.
“Governmental Authorization” shall mean any approval, consent, license, permit, waiver or other authorization issued, granted, given or otherwise made available by or under the authority of any Governmental Entity or pursuant to any Law or Order.
“Governmental Entity” shall mean any United States ornon-United States federal, national, state, territory, provincial or local court, arbitral tribunal, administrative agency or commission or other governmental or quasi-governmental authority of any nature (including any governmental agency, branch, department, official, or entity and any court or other tribunal), including any regulatory agency or authority, any securities exchange and any organization or body exercising, or entitled to exercise, any administrative, executive, judicial, legislative, police, regulatory or taxing authority or power of any nature.
“HSR Act” shall mean the Hart-Scott-Rodino Antitrust Improvements Act of 1976, 15 U.S.C. § 18a et seq., as amended, and the rules and regulations promulgated thereunder.
“Intellectual Property” shall mean any and all intellectual property rights, including rights in or with respect to (including remedies against infringement thereof and rights of protection of interest therein under the law of all jurisdictions) any and all of the following: (a) utility and design patents; (b) Trademarks, slogans, design rights (and design registrations) and brand names and other indicia of origin, whether registered or unregistered, and all associated goodwill; (c) Copyrights; (d) social network site handles; and (e) all registrations and applications for, and all extensions, renewals and reversions of, any of the foregoing.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-3-
“IP Assets” shall mean all Intellectual Property primarily relating to the “STRAWBERRY SHORTCAKE” brand, and the characters, cartoons, comics, comic strips, drawings, artwork, graphics, illustrations, animation, plots, storylines, dialogues, settings, themes and backgrounds associated with that brand, that is owned by the Company, including any of the foregoing that are Owned IP Assets, together with the Licensed IP Assets.
“IRS” shall mean the United States Internal Revenue Service.
“Law” shall mean any statute, law, constitution, treaty, ordinance, policy, rule or regulation of any Governmental Entity, any common law principle or doctrine and all judicial interpretations thereof.
“Liabilities” shall mean any and all indebtedness, liabilities and obligations of any nature, whether accrued or fixed, known or unknown, absolute or contingent, liquidated or unliquidated, matured or unmatured or determined or determinable.
“License Agreements” shall mean all Contracts pursuant to which the Company licenses all or any part of the IP Assets to another Person.
“Licensed IP Assets” shall mean all Intellectual Property that is used in the Business and that is licensed to the Company by any other Person.
“Liens” shall mean any liens, security interests, claims, easements, mortgages, charges, pledges, indentures, deeds of trust, rights of way, encroachments or any other encumbrances and other restrictions or limitations on ownership or use of real or personal property (both tangible and intangible) or irregularities in title thereto, including any title retention device, conditional sale or other security arrangement or collateral assignment.
“Material Adverse Effect” shall mean any change, effect, event, development, fact, condition, circumstance, or occurrence (each, an “Effect”) that, individually or in the aggregate, has had, or would reasonably be expected to have, a material adverse effect on the business, assets, condition (financial or otherwise) or results of operations of the Business, taken as a whole, or on the ability of a Person to consummate or perform the Purchase in accordance with the terms of this Agreement,provided that no Effect resulting from any of the following shall constitute a Material Adverse Effect or be considered in determining whether a Material Adverse Effect has occurred:
(a) general economic or political conditions in the United States or in any other country or region in the world in which the Business is operated;
(b) conditions or changes in the securities markets, credit markets, currency markets or other financial markets in the United States or any other country or region in the world in which the Business is operated, including (i) interest rates in the United States or any other country or region in the world in which the Business is operated, and exchange rates for the currencies of any such countries, and (ii) any suspension of trading in securities (whether
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-4-
equity, debt, derivative or hybrid securities) generally on any securities exchange orover-the-counter market operating in the United States or any other country or region in the world in which the Business is operated;
(c) any changes or prospective changes after the date hereof to applicable Laws or interpretations thereof by any Governmental Entity, or to any applicable accounting rules (or interpretations thereof);
(d) the announcement of this Agreement and the transactions contemplated hereby or any communication by Purchaser of its plans or intentions with respect to the Business or any portion thereof;
(e) the pendency or consummation of the transactions contemplated by this Agreement or any actions or inactions by Purchaser or Seller or any of their respective Subsidiaries taken or omitted in accordance with this Agreement;
(f) any natural orman-made disaster or any acts of terrorism, sabotage, military action or war (whether or not declared), or any escalation or worsening thereof in such countries or regions;
(g) any action taken or not taken at the request, or with the written consent or waiver, of Purchaser; or
(h) any matter disclosed in the Seller Disclosure Letter or in the SEC Reports;
provided that with respect to clauses (a), (b), (c) and (f), to the extent that such Effects do not have a materially disproportionate impact on the Business relative to other companies in the industries in which the Business is operated.
“Order” shall mean any award, judgment, order, injunction, decree, decision, subpoena, writ, permit or license of any Governmental Entity or any arbitrator.
“Owned IP Assets” shall mean the Intellectual Property owned by the Company.
“Peanuts Transaction Agreement” shall mean that certain Membership Interest Purchase Agreement, dated as of the date hereof, by and among Iconix, Icon NY Holdings LLC, Seller, DHX and Purchaser for the sale and purchase of (a) 80% of the issued and outstanding common units of Peanuts Holdings LLC, and (b) all of the issued and outstanding membership interests of IBGNYC LLC and IBGSCREEN, LLC.
“Permits” shall mean all permits, approvals, licenses, authorizations, certificates, rights, exemptions and Orders from Governmental Entities.
“Permitted Liens” shall mean (a) statutory Liens or other Liens arising in the ordinary course of business (including by operation of law) securing payments not yet due, including mechanics’, carriers’, workmen’s, repairmen’s and materialmen’s Liens, (b) Liens for Taxes not yet due and payable or for current Taxes that may thereafter be paid without penalty
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-5-
and Liens for Taxes which are being contested in good faith and by appropriate proceedings, (c) Liens set forth inSection 1.1(b) of the Seller Disclosure Letter, (d) all Material Contracts, (e) any other licenses granted in any Intellectual Property and any Lien or other restriction on use arising under the terms of any Contract concerning Intellectual Property to which the Company is a party, which do not, individually or in the aggregate, result in material costs or liabilities to the Business, taken as a whole and all restrictions on the transfer or ownership of Intellectual Property arising as a matter of Law, (f) all restrictions and encumbrances resulting from filing or recordation requirements concerning the transfer or ownership of Intellectual Property which do not materially impair or limit or have a Material Adverse Effect on the use of the subject Intellectual Property, and (g) Liens created by this Agreement or in connection with the transactions contemplated hereby, or by the actions of Purchaser or its Affiliates.
“Person” shall mean and include any individual, company, partnership, limited partnership, limited liability partnership, joint venture, corporation, limited liability company, association, trust, unincorporated organization, proprietorship, group or Governmental Entity.
“Post-Closing Period” shall mean all taxable years or other taxable periods that begin after the Closing Date and, with respect to any Straddle Period, the portion of such taxable year or period beginning after the Closing Date.
“Pre-Closing Period” shall mean all taxable years or other taxable periods that end on or before the Closing Date and, with respect to any Straddle Period, the portion of such taxable year or period ending on or before the Closing Date.
“Proceeding” shall mean any action, arbitration, audit, hearing, investigation, litigation, or suit (whether civil, criminal, administrative, investigative or informal) commenced, brought, conducted or heard by or before, or otherwise involving, any Governmental Entity or arbitrator.
“Purchase Price” shall mean an amount equal to [***].
“Representatives” of any Person shall mean such Person’s directors, managers, officers, employees, members, agents, attorneys, consultants, advisors or other Persons acting on behalf of such Person.
“Returns” shall mean any and all returns, reports, forms (including elections, declarations, statements, claims for refund, schedules, information returns or attachments thereto) and any other documents filed or required to be filed with a Taxing Authority with respect to Taxes, including any amendments thereto.
“SEC” shall mean the United States Securities and Exchange Commission.
“SEC Reports” shall mean all forms, reports, statements, certifications and other documents (together with all exhibits, amendments and supplements thereto) containing financial information regarding the Company and filed or furnished by Iconix with the SEC on or after March 3, 2015, to the extent such items are publicly available through the SEC’s Electronic Data Gathering, Analysis and Retrieval system prior to the date of this Agreement.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-6-
“Straddle Period” shall mean any taxable year or other taxable period beginning before and ending on or after the Closing Date.
“Subsidiary” shall mean, with respect to any Person, (a) any corporation more than 50% of the stock of any class or classes of which having by the terms thereof ordinary voting power to elect a majority of the directors of such corporation (irrespective of whether or not at the time stock of any class or classes of such corporation shall have or might have voting power by reason of the happening of any contingency) is owned by such Person directly or indirectly through one or more subsidiaries of such Person and (b) any partnership, association, joint venture, limited liability company or other entity in which such Person directly or indirectly through one or more subsidiaries of such Person has more than a 50% Equity Interest.
“Tax” (or “Taxes”) shall mean (a) all taxes, assessments, charges, duties, fees, levies or other governmental charges imposed by a Taxing Authority, including all United States federal, state, territory, local, foreign and other income, franchise, profits, gross receipts, capital gains, capital stock, transfer, sales, use, value added, unclaimed property or escheat, occupation, property, excise, severance, windfall profits, stamp, license, payroll, social security, withholding, estimated and other taxes, assessments, charges, duties, fees, levies or other governmental charges imposed by any Taxing Authority of any kind whatsoever (whether payable directly or by withholding and whether or not requiring the filing of a Return), together with any penalties and interest and any additional amounts with respect thereto, (b) any liability for the payment of any amounts of the type described in clause (a) of this definition as a result of being a member of an affiliated, consolidated, combined or unitary group for any period prior to the Closing, and (c) any liability for the payment of any amounts of the type described in clause (a) of this definition as a result of any express or implied obligation to indemnify any Person.
“Tax Contest” shall mean any audit, hearing, proposed adjustment, arbitration, deficiency, assessment, suit, dispute, claim, proceeding or other litigation commenced, filed or otherwise initiated or convened to investigate or resolve the existence and extent of a liability for Taxes.
“Taxing Authority” shall mean any Governmental Entity responsible for or having jurisdiction over the assessment, determination, collection, administration or imposition of Taxes.
“Transition Services Agreement” shall mean the transition services agreement delivered in accordance with and attached as Exhibit B of the Peanuts Transaction Agreement.
“Third Party” shall mean any Person other than Seller, Purchaser or any of their respective Affiliates.
“Trademarks” shall mean, throughout the world, all trademarks, service marks, logos, trade names, Internet domain name registrations, together with goodwill, registrations and applications relating to the foregoing, all extensions, renewals and reversion related thereto, common law trademarks and service marks and trade dress.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-7-
1.2 Additional Defined Terms. In addition to the terms defined inSection 1.1, additional defined terms used herein shall have the respective meanings assigned thereto in the Sections indicated below.
| | |
Defined Term | | Section |
Accountants | | 3.2(b)(ii) |
Agreement | | Preamble |
Allocation | | 3.5(a) |
Alternative Financing | | 6.10(b) |
Alternative Financing Commitment Letter | | 6.10(b) |
Applicable Parties | | 9.3 |
Balance Sheet Date | | 4.5(c) |
Basket | | 8.5(b) |
Business Accounts Receivable | | 4.18 |
Cap | | 8.5(c) |
Closing | | 2.2(a) |
Closing Date | | 2.2(a) |
Closing Date Statement | | 3.2(b)(i) |
Company | | Recitals |
Damages | | 8.1 |
Debt Commitment Letter | | 5.4(b) |
Debt Financing | | 5.4(b) |
Debt Financing Documents | | 6.10(a) |
Debt Financing Proceeds | | 5.4(b) |
Debt Financing Source | | 5.4(b) |
Designated Reps | | 8.4 |
DHX | | Preamble |
End Date | | 9.1(b)(ii) |
Equity Issuance | | 6.10(a) |
ERISA | | 4.16 |
Estimated Working Capital | | 3.2(a)(i) |
Extension Condition | | 2.2(a) |
Financial Statements | | 4.5(a) |
Final Determination | | 8.7 |
Flow-Through Returns | | 6.7(b)(i) |
Fundamental Reps | | 8.4 |
Iconix | | Preamble |
Interests | | Recitals |
Interests Assignment | | 2.2(b)(i) |
Knowledge of the Purchaser | | 1.5 |
Knowledge of the Seller | | 1.5 |
Material Contract | | 4.11(a) |
Misdirected Payment | | 6.13 |
Non-Flow-Through Returns | | 6.7(b)(ii) |
Peanuts Adjustment | | 3.2(a)(ii) |
Purchase | | Recitals |
Purchaser | | Preamble |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-8-
| | |
Purchaser Disclosure Letter | | Article V |
Purchaser Indemnified Persons | | 8.1 |
Releasee | | 10.12 |
Releasor | | 10.12 |
Seller | | Preamble |
Seller Disclosure Letter | | Article IV |
Seller Indemnified Persons | | 8.3 |
Seller Software | | 4.13(j) |
Seller Tax Matter | | 6.7(b)(iii) |
Tax Ruling | | 4.12(h) |
Transfer Taxes | | 6.7(a) |
1.3 Construction. In this Agreement, unless the context otherwise requires:
(a) references to “writing” or comparable expressions include a reference to facsimile transmission or comparable means of communication (including electronic mail,provided that the sender complies with the provisions ofSection 10.3);
(b) the phrases “delivered” or “made available” shall mean that the information referred to has been physically or electronically delivered to the relevant parties (including, in the case of “made available” to Purchaser or its Representatives, material that has been posted, retained and thereby made available to Purchaser or its Representatives through anyon-line “virtual data room” established by Seller or any of its Representatives);
(c) words expressed in the singular number shall include the plural and vice versa; words expressed in the masculine shall include the feminine and neuter gender and vice versa;
(d) references to Articles, Sections, Sections of the Seller Disclosure Letter, Sections of the Purchaser Disclosure Letter, Exhibits, the Preamble and Recitals are references to articles, sections, exhibits, the preamble and recitals of this Agreement, and the disclosure letters delivered with respect to this Agreement, and the descriptive headings of the several Articles and Sections of this Agreement, the Seller Disclosure Letter and the Purchaser Disclosure Letter (as applicable) are inserted for convenience only, do not constitute a part of this Agreement and shall not affect in any way the meaning or interpretation of this Agreement;
(e) references to “day” or “days” are to calendar days and whenever any action must be taken under this Agreement on or by a day that is not a Business Day, then that action may be validly taken on or by the next day that is a Business Day;
(f) the words “hereof”, “herein”, “hereto” and “hereunder”, and words of similar import, shall refer to this Agreement as a whole and not to any provision of this Agreement;
(g) this “Agreement” or any other agreement or document shall be construed as a reference to this Agreement or, as the case may be, such other agreement or document as the same may have been, or may from time to time be, amended, varied, novated or supplemented;
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-9-
(h) “include”, “includes”, and “including” are deemed to be followed by “without limitation” whether or not they are in fact followed by such words or words of similar import; and
(i) references to “Dollars”, “dollars” or “$”, without more are to the lawful currency of United States of America.
1.4 Exhibits and the Disclosure Letters. The Exhibits, the Seller Disclosure Letter and the Purchaser Disclosure Letter are incorporated into and form an integral part of this Agreement.
1.5 Knowledge. When any representation, warranty, covenant or agreement contained in this Agreement is expressly qualified by reference to the “Knowledge of the Seller” or words of similar import, it shall mean the actual knowledge of the individuals set forth inSection 1.5 of the Seller Disclosure Letter, after reasonable inquiry. When any representation, warranty, covenant or agreement contained in this Agreement is expressly qualified by reference to the “Knowledge of the Purchaser” or words of similar import, it shall mean the actual knowledge of the individuals set forth inSection 1.5 of the Purchaser Disclosure Letter, after reasonable inquiry. For purposes of thisSection 1.5, the “reasonable inquiry” of a designated individual need not include inquiries made to unaffiliated third parties.
ARTICLE II
SALE OF INTERESTS; CLOSING
2.1 Sale of Interests. On the terms and subject to the conditions of this Agreement, Purchaser agrees to purchase from Seller, and Seller agrees to sell, convey, transfer, assign and deliver to Purchaser, at the Closing, Seller’s right, title and interest to the Interests, free and clear of any Liens (except for restrictions arising under applicable federal, state or foreign securities Laws).
2.2 Closing; Closing Deliverables.
(a) Subject to the satisfaction or waiver of all of the conditions set forth inArticle VII, the closing of the Purchase (the “Closing”) shall take place at the offices of White & Case LLP, 1221 Avenue of the Americas, New York, New York, 10020-1095, as soon as practicable, but in any event not later than two (2) Business Days after the last of the conditions set forth inArticle VII is satisfied or waived (other than those conditions that by their nature are to be satisfied at the Closing, but subject to the fulfillment or waiver of those conditions), or at such other time, date or place as the parties hereto shall agree in writing. Such date is herein referred to as the “Closing Date”. If, however, (x) the conditions set forth inArticle VII have been satisfied or waived (other than those conditions that by their nature are to be satisfied at the Closing, but subject to the fulfillment or waiver of those conditions) and (y) Purchaser has been using its commercially reasonable best efforts to consummate the Purchase and the Debt Financing, and (z) notwithstanding such efforts, Purchaser has not been able to consummate the
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-10-
Debt Financing prior to the Closing Date (subsections (x), (y), and (z), collectively, the “Extension Conditions”), then by no later than one (1) Business Day after the last of the conditions set forth inArticle VII is satisfied or waived (other than those conditions that by their nature are to be satisfied at the Closing, but subject to the fulfillment or waiver of those conditions), Purchaser may request that the Closing Date be adjourned to a date no later than July 7, 2017, in which case the Closing Date shall be amended accordingly to be such date or such other time, date or place as the parties hereto shall agree in writing (it being understood that under no circumstances shall the Closing occur later than July 7, 2017 if the conditions set forth inArticle VII have been satisfied or waived at any time prior to July 7, 2017). Notwithstanding any provision to the contrary contained herein, if Purchaser adjourns the original Closing Date in accordance with the terms hereof, any failure of any of the conditions to Closing set forth inSection 7.2(b) to no longer be satisfied at any time on or after the original Closing Date shall not entitle Purchaser to fail to close on or prior to the amended Closing Date (it being understood that Purchaser shall be required to close on or prior to the amended Closing Date as if the failure of any such conditions to Closing had not occurred).
(b) At the Closing, Seller shall deliver or cause to be delivered to Purchaser:
(i) a duly executed assignment and assumption agreement transferring all right, title and interest in and to the Interests to Purchaser, in the form attached hereto asExhibit B (“Interests Assignment”);
(ii) written releases, in form and substance reasonably satisfactory to Purchaser, evidencing the release of all Liens with respect to the Interests;
(iii) a certificate signed by an authorized officer of Seller, dated as of the Closing Date, confirming the matters set forth inSections 7.2(a) and7.2(b);
(iv) a certificate of the Secretary or an Assistant Secretary (or of another Person responsible for the duties typically performed by a Secretary) of Seller certifying that attached thereto are true and complete copies of all resolutions adopted by the members, managers or other governing body of Seller, authorizing the execution, delivery and performance of this Agreement and the consummation of the transactions contemplated hereby, and that such resolutions are in full force and effect;
(v) a release, duly executed by Seller, in the form attached hereto as Exhibit A;
(vi) a duly executed copy of the Transition Services Agreement;
(vii) anon-foreign person affidavit from Seller, dated as of the Closing Date, pursuant to Section 1445 of the Codeprovided that the failure to deliver suchnon-foreign person affidavit shall not be a condition to Closing underSection 7.2 of this Agreement and Purchaser’s sole remedy in the event Seller fails to deliver such affidavit shall be to make a proper withholding of Tax to the extent required by Section 1445 of the Code; and
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-11-
(viii) resignations of each of the members of the board of directors or equivalent governing body and each of the officers of the Company.
(c) At the Closing, Purchaser shall deliver or cause to be delivered to Seller:
(i) the Purchase Price, pursuant toSection 3.1;
(ii) a duly executed copy of the counterpart signature page to the Transition Services Agreement;
(iii) a certificate signed by an authorized officer of Purchaser, dated as of the Closing Date, confirming the matters set forth inSections 7.3(a) and7.3(b); and
(iv) a duly executed counterpart signature page to the Interests Assignment.
ARTICLE III
PURCHASE PRICE
3.1 Purchase Price; Delivery of Funds. At the Closing, in full consideration for the sale and transfer by Seller of the Interests, Purchaser shall pay to Seller an amount equal to the Purchase Price. The Purchase Price shall be made by wire transfer of immediately available funds to one or more accounts that have been designated by Seller in writing to Purchaser at least two Business Days prior to the Closing.
3.2 Working Capital Adjustment.
(a) Closing Adjustment.
(i) Seller shall prepare and deliver to Purchaser, at least five (5) Business Days prior to the Closing Date, a written notice setting forth Seller’s good faith estimate of the Closing Working Capital (the “Estimated Working Capital”), which notice shall contain an estimated balance sheet of the Business as of the Closing Date (without giving effect to the transactions contemplated herein) and a calculation of the Estimated Working Capital. The calculation of the Estimated Working Capital shall be prepared in the manner set forth in Section 3.2(a)(i) of the Peanuts Transaction Agreement.
(ii) The Estimated Working Capital determined pursuant to thisSection 3.2(a) shall be used to determine the “Closing Adjustment” pursuant to and as defined in Section 3.2(a)(ii) of the Peanuts Transaction Agreement (such amount, the “Peanuts Adjustment”).
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-12-
(b) Post-Closing Adjustment.
(i) Purchaser shall prepare and deliver to Seller within ninety (90) calendar days following the Closing Date a statement setting forth its calculation of the Closing Working Capital, which statement shall contain a balance sheet of the Business as of the Closing Date (without giving effect to the transactions contemplated herein) and a calculation of the Closing Working Capital (the “Closing Date Statement”). The Closing Date Statement shall be prepared in the manner set forth in Section 3.2(b)(i) of the Peanuts Transaction Agreement.
(ii) If Seller does not notify Purchaser in writing within forty-five (45) calendar days after Seller’s receipt of the Closing Date Statement that it disputes any of the information or calculations provided to Seller in the Closing Date Statement, the Closing Date Statement shall be final and conclusive. If Seller disagrees with any of the information or calculations provided by Purchaser in the Closing Date Statement, Seller may, within forty-five (45) calendar days after delivery of such statement to it, deliver a written notice to Purchaser stating the existence and nature of such disagreement. Any such notice of disagreement shall specify those items or amounts as to which Seller disagrees. If such notice of disagreement is delivered, the parties shall use their reasonable best efforts to reach agreement on the disputed items or amounts within ten (10) Business Days after Purchaser’s receipt of such notice. If the parties are unable to reach agreement on the disputed items within such period, then the issues in dispute will be submitted to a mutually agreed firm of nationally recognized independent certified public accountants (the “Accountants”) for review and resolution, with instructions to complete the review as promptly as practicable. Each party will furnish to the Accountants such workpapers and other documents and information relating to the disputed issues as the Accountants may request and are available to that party or its Affiliates (or its independent public accountants), and will be afforded the opportunity to present to the Accountants any material relating to the determination and to discuss the determination with the Accountants. The parties shall instruct the Accountants that their determination shall not result in a Peanuts Adjustment in an amount higher than the Peanuts Adjustment proposed by Seller (or its Affiliates) or an amount lower than the Peanuts Adjustment proposed by Purchaser. The resolution of the Accountants in accordance with the provisions of thisSection 3.2 shall be conclusive and binding on the parties. Seller and Purchaser shall each payone-half of the fees and expenses charged by the Accountants.
(iii) The Closing Working Capital determined pursuant to thisSection 3.2(b) shall be used to determine whether there is a “Working Capital Deficiency” or a “Working Capital Excess” (as such terms are defined in the Peanuts Transaction Agreement) pursuant to Section 3.2(b)(iii) of the Peanuts Transaction Agreement.
(c) Adjustments for Tax Purposes. Any payments made pursuant to thisSection 3.2 shall be treated as an adjustment to the Purchase Price by the parties for Tax purposes, unless otherwise required by Law.
3.3 DHX Parent Guaranty. DHX is the ultimate parent company with respect to Purchaser and has significant interest in ensuring that it and Purchaser receive the benefit of the terms of this Agreement. As an inducement to Seller to enter into this Agreement, DHX has
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-13-
agreed to guarantee, and does hereby absolutely and unconditionally guarantee, the full and prompt performance of all obligations of Purchaser pursuant toSections 3.1,3.2,5.4,6.10,6.11,6.13,8.3 and10.10 of this Agreement and the Transition Services Agreement. Notwithstanding any provision to the contrary contained herein, under no circumstances shall the maximum amount payable by DHX hereunder exceed the amount of the Purchaser’s liability under this Agreement, which for the avoidance of doubt includes full payment of the Purchase Price and any fees and costs payable under the Transition Services Agreement.
3.4 Iconix Parent Guaranty. Iconix is the ultimate parent company with respect to Seller and has significant interest in ensuring that it and Seller receive the benefit of the terms of this Agreement. As an inducement to Purchaser to enter into this Agreement, Iconix has agreed to guarantee, and does hereby absolutely and unconditionally guarantee, the full and prompt performance of all payment obligations of Seller pursuant toSections 3.2,8.1 and8.2 of this Agreement. This is a guaranty of payment only, and not of performance ofnon-payment obligations. Notwithstanding any provision to the contrary contained herein, under no circumstances shall the maximum amount payable by Iconix hereunder exceed the amount of the Seller’s liability under this Agreement.
3.5 Purchase Price Allocation.
(a) The Purchase Price shall be allocated for U.S. federal income tax purposes (and any similar provision of state, local or foreign Law) among the assets of the Company in the manner required by Section 1060 of the Code (the “Allocation”). Within ninety (90) days following the Closing Date, Purchaser shall prepare and deliver to Seller for its review and approval IRS Form 8594 and any required exhibits thereto, setting forth the Allocation. Seller shall notify Purchaser of any objections to the Allocation within thirty (30) days of receipt of the Allocation. If no such objections are made within such thirty(30)-day period, the Allocation shall become final. If Seller notifies Purchaser within such thirty(30)-day period that it objects to one or more items reflected on the Allocation, Seller and Purchaser shall negotiate in good faith to resolve such dispute. If Seller and Purchaser fail to resolve any such dispute within thirty (30) days of Purchaser’s receipt of Seller’s notice, then Seller and Purchaser shall submit the items of the Allocation in dispute for resolution to an independent valuation or accounting firm of international reputation mutually acceptable to Seller and Purchaser, which shall, as soon as practicable after such submission, determine and report to Seller and Purchaser its resolution of the Allocation. The report of such firm shall be final and binding upon the parties hereto. The fees for such firm shall be borne equally between Seller, on the one hand, and Purchaser, on the other hand.
(b) Each of Purchaser and Seller and their respective Affiliates shall, except to the extent required otherwise by a “determination,” as defined in Section 1313 of the Code, (i) be bound by the Allocation, as finally determined, for all Tax purposes; (ii) prepare and file all Returns in a manner consistent with the Allocation, as finally determined; and (iii) take no position inconsistent with the Allocation, as finally determined, in any Return, Tax Contest or otherwise. In the event that the Allocation, as finally determined, is disputed by any Taxing Authority, the party receiving notice of such dispute shall promptly notify and consult with the other parties and keep the other parties apprised of material developments concerning resolution of such dispute. Each of Purchaser and Seller hereby agrees to revise the Allocation to reflect any adjustment to the Purchase Price pursuant to this Agreement.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-14-
ARTICLE IV
REPRESENTATIONS AND WARRANTIES OF SELLER
Except as set forth in the disclosure letter delivered by Seller to Purchaser (the “Seller Disclosure Letter”) concurrently with the execution of this Agreement (it being agreed that any matter disclosed pursuant to any section of the Seller Disclosure Letter shall be deemed disclosed for purposes of any other section of the Seller Disclosure Letter to the extent the applicability of the disclosure to such other section is reasonably apparent on the face of such disclosure), Seller hereby represents and warrants to Purchaser as follows:
4.1 Due Organization, Good Standing. Seller is duly organized, validly existing and in good standing under the laws of its jurisdiction of incorporation or formation.
4.2 Authorization; Noncontravention.
(a) Seller has the requisite limited liability company power and authority, and has taken all limited liability company action necessary to execute and deliver this Agreement and all other instruments and agreements to be delivered by Seller as contemplated hereby and thereby, to perform its obligations hereunder and thereunder and to consummate the transactions contemplated hereby and thereby. The execution, delivery and performance by Seller of this Agreement and all other instruments and agreements to be delivered by Seller as contemplated hereby, the consummation by Seller of the transactions contemplated hereby and thereby and the performance of its obligations hereunder and thereunder have been, and in the case of documents required to be delivered at the Closing will be, duly authorized and approved by all necessary limited liability company, member or other action. This Agreement has been, and all other instruments and agreements to be executed and delivered by Seller as contemplated hereby will be, duly executed and delivered by Seller. Assuming that this Agreement and all such other instruments and agreements constitute valid and binding obligations of Purchaser and each other Person (other than Seller) party thereto, this Agreement and all such other instruments and agreements constitute valid and binding obligations of Seller enforceable against such Person in accordance with the terms thereof, except to the extent that such enforcement may be limited by applicable bankruptcy, insolvency, reorganization, moratorium or other similar Laws affecting the enforcement of creditors’ rights generally and by general equitable principles (whether considered in a proceeding in equity or at law).
(b) The execution and delivery of this Agreement and all other instruments and agreements to be delivered by Seller as contemplated hereby do not, and the consummation of the transactions contemplated hereby and thereby will not (i) conflict with any of the provisions of the certificate of incorporation or bylaws or similar governance documents of Seller or the Company, in each case as amended to the date of this Agreement, (ii) subject to receipt of the consents, approvals, authorizations, declarations, filings and notices set forth inSection 4.2(b) and Section 4.6 of the Seller Disclosure Letter, conflict with or result in a breach of, or constitute a default under, or result in the acceleration of any obligation or loss of any
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-15-
benefits under, any Material Contract or (iii) subject to (x) the applicable requirements of the HSR Act and any other applicable Antitrust Laws and (y) receipt of the consents, approvals, authorizations, declarations, filings and notices referred to inSection 4.2(b) andSection 4.6 of the Seller Disclosure Letter, contravene any Law or any Order applicable to Seller or the Company, except, in the case of clauses (ii) and (iii) above, for such conflicts, breaches, defaults, consents, approvals, authorizations, declarations, filings or notices which have not had and would not reasonably be expected to have, individually or in the aggregate, a Material Adverse Effect.
4.3 Title to Interests. Except as set forth inSection 4.3 of the Seller Disclosure Letter, Seller has good and valid title to the Interests, free and clear of all Liens (except for restrictions arising under applicable federal, state or foreign securities Laws). Other than this Agreement, there are no rights, agreements, arrangements or commitments to which Seller is party relating to the Interests or obligating Seller to offer, issue, sell, transfer, vote or otherwise dispose of or sell, or purchase or acquire, any Interests.
4.4 Company; Capitalization.
(a) The Company is a limited liability company duly formed, validly existing and in good standing under the Laws of the State of Delaware and has all requisite limited liability company or other requisite power and authority to own, lease and operate its properties and assets and to carry on its business as now being conducted. The Company is duly qualified or licensed to do business and is in good standing (or the equivalent thereof) in each jurisdiction in which the character or location of the properties owned, leased or operated by the Company or the nature of the business conducted by the Company makes such qualification necessary, except such jurisdictions where the failure to be so qualified or licensed and in good standing does not and would not reasonably be expected to have, individually or in the aggregate, a Material Adverse Effect. Except as set forth inSection 4.4(a) of the Seller Disclosure Letter, the Company does not own, directly or indirectly, any capital stock or other equity, ownership, proprietary or voting interest in any Person.
(b) The issued and outstanding Equity Interests of the Company (including the holders thereof) is set forth inSection 4.4(b) of the Seller Disclosure Letter. All of the Interests have been duly authorized and validly issued and, to the extent such concepts are applicable thereto, are fully paid and nonassessable, and are not subject to, and were not issued in violation of, any preemptive or similar rights. There are no outstanding options, warrants or other rights to purchase, or any authorized stock appreciation, phantom stock, profit participation or similar rights with respect to the capital stock of or other Equity Interests or voting securities in, the Company. The Company has no authorized or outstanding bonds, debentures, notes or other indebtedness the holders of which have the right to vote (or convertible into, exchangeable for, or evidencing the right to subscribe for or acquire securities having the right to vote) with the equity holders of the Company on any matter. There are no irrevocable proxies and no voting agreements with respect to any capital stock of, or other Equity Interests or voting securities in, the Company.
(c) The Company has no Subsidiaries.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-16-
4.5 Financial Statements; Undisclosed Liabilities.
(a) The unaudited proforma balance sheet of the Business as of December 31, 2015, and the related unaudited proforma statements of earnings for the year ended December 31, 2015, and the Balance Sheet and the related unaudited proforma statements of earnings for the 12 months then ended, are set forth inSection 4.5(a) of the Seller Disclosure Letter (collectively, the “Financial Statements”).
(b) The Financial Statements have been prepared from books and records maintained by Seller in accordance with GAAP. The Financial Statements fairly present, in all material respects, the financial position of the Business, at the applicable balance sheet dates indicated, and the results of operations of the Business for the applicable periods then ended.
(c) Except (i) as set forth inSection 4.5(c) of the Seller Disclosure Letter, (ii) for liabilities not material in amount or reflected or reserved against in the Financial Statements, (iii) for liabilities (including accounts payable and accrued expenses) incurred in the ordinary course of business since December 31, 2016 (the “Balance Sheet Date”) or included in Closing Working Capital, and (iv) for executory Liabilities arising under any Material Contract (other than as a result of a breach thereof), the Company is not subject to any liabilities of any nature (whether known or unknown and whether absolute, accrued, contingent or otherwise).
4.6 Consents and Approvals. Assuming all required Antitrust Filings are made and any waiting periods thereunder have been terminated or expired and any consents required thereunder have been obtained, except as set forth inSection 4.6 of the Seller Disclosure Letter, no consent of or filing with any Governmental Entity must be obtained or made by Seller in connection with the execution and delivery of this Agreement by Seller or the consummation by Seller of the transactions contemplated by this Agreement, except for any consents, approvals, authorizations or filings which have been obtained or made or, if not made or obtained, have not had or would not reasonably be expected to have, individually or in the aggregate, a Material Adverse Effect and would not prevent, materially alter or delay any of the transactions contemplated by this Agreement.
4.7 Title toNon-IP Assets. Except as set forth inSection 4.7 of the Seller Disclosure Schedule, (a) the Company has good and valid title to, and/or a valid right to use, all of the assets of the Business reflected in the Financial Statements or acquired after the Balance Sheet Date, other than the IP Assets and assets sold or disposed of in the ordinary course of business since the Balance Sheet Date, and (b) no Affiliate of Seller, other than the Company, owns any IP Assets.
4.8 Intentionally Omitted.
4.9 Litigation and Other Proceedings; Orders.
(a) Except (x) as set forth inSection 4.9 of the Seller Disclosure Letter or (y) as disclosed in the SEC Reports, and except with respect to any Proceedings related to intellectual property rights (addressed inSection 4.13 below), there is no Proceeding pending or, to the Knowledge of the Seller, threatened:
(i) that has been commenced by or against the Company which would, individually or in the aggregate, reasonably be expected to result in material costs or liabilities to the Business, taken as a whole; or
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-17-
(ii) against the Company or Seller that challenges, or would reasonably be expected to prevent, materially delay, make illegal or otherwise materially interfere with, the Purchase.
(b) Except (x) as set forth inSection 4.9 of the Seller Disclosure Letter (y) as disclosed in the SEC Reports, and except with respect to any Proceedings related to intellectual property rights (addressed inSection 4.13 below), there is no Proceeding pending or, to the Knowledge of the Seller, threatened against, or any contingent liability with respect to, any officer, director, member or manager of the Company, or any respective successors or assigns, that would give rise to any right to indemnification by the Company which would, individually or in the aggregate, reasonably be expected to result in material costs or liabilities to the Business.
(c) Except (x) as set forth inSection 4.9 of the Seller Disclosure Letter, or (y) as has not had or would not reasonably be expected to have, individually or in the aggregate, a Material Adverse Effect, and except with respect to any Proceedings related to intellectual property rights (addressed inSection 4.13 below):
(i) There is no Order to which the Company is subject; and
(ii) Seller is not subject to any Order that relates to the Business.
4.10 Absence of Certain Changes and Events. Except as set forth inSection 4.10 of the Seller Disclosure Letter or as contemplated by this Agreement, since the Balance Sheet Date, Seller and the Company have conducted the Business only in the ordinary course and there has not or have not been any:
(a) liabilities (whether absolute, accrued or contingent and whether due or to become due) incurred by or with respect to the Business, except (i) as disclosed inSection 4.5(c) of the Seller Disclosure Letter, (ii) executory Liabilities arising under any Material Contract entered into since the Balance Sheet Date (other than as a result of a breach thereof) (iii) as incurred in the ordinary course of business, or (iv) for liabilities not material in amount or reflected or reserved against in the Financial Statements;
(b) damage to or destruction or loss of any material asset or material property owned or used by the Business, whether or not covered by insurance, other than in the ordinary course of business;
(c) (i) termination prior to the expiration of its term, or receipt of written notice of termination prior to the expiration of its term, of any Material Contract, where such termination would reasonably be expected to result in material costs or liabilities to the Business taken as a whole, or (ii) entry into, amendment or modification of or settlement or waiver of any rights under any Material Contract, other than in the ordinary course of business;
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-18-
(d) sale, assignment, exclusive license or transfer of any Owned IP Assets with a value to the Business in excess of [***];
(e) (i) sale, lease or other disposition of any tangible property owned by or used in the conduct of the Business, or (ii) the imposition of any Lien, on any asset or property of the Business and owned by the Company, including the Owned IP Assets, except, in each case of (i) and (ii), for any such sale, lease, other disposition or Lien as has not had or would not, individually or in the aggregate, reasonably be expected to result in material costs or liabilities to the Business, taken as a whole;
(f) cancellation, settlement or waiver of any claims or rights with a value to the Business in excess of [***];
(g) material change in the accounting methods used by Seller or the Company in operating the Business or any material Tax election;
(h) (i) acceleration of the collection of receivables or other amounts due from Third Parties or (ii) delay of the payment of any payables or other amounts owed to Third Parties, other than in the ordinary course of business consistent with past practice; or
(i) agreement by Seller or the Company to do any of the foregoing.
4.11 Material Contracts.
(a) Section 4.11(a) of the Seller Disclosure Letter contains a complete and accurate list, as of the date hereof, of the following Contracts (each Contract required to be set forth inSection 4.11(a) of the Seller Disclosure Letter, a “Material Contract”) to which the Company is party:
(i) each License Agreement providing for guaranteed payments by the licensee in excess of [***] in any of calendar years 2015 through 2017;
(ii) each agent or similar agreement under which a Third Party has been granted the right to solicit License Agreements or syndication agreements for the Business;
(iii) each license agreement, including any software license agreements, under which the Company is a licensee (other than“off-the-shelf” or othernon-customized software or subscriptions generally commercially available for a license fee of no more than [***] per year);
(iv) each Contract (other than License Agreements) providing for the sale, lease or other disposition at any time after the date hereof of tangible assets of the Business with a value in excess of [***];
(v) each Contract relating to the Business that requires the expenditure of more than [***] by the Company in the aggregate after the date hereof;
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-19-
(vi) each written guaranty or other similar undertaking with respect to contractual performance granted by the Company or otherwise binding on the Business;
(vii) each Contract granting a Third Party an exclusive license to rights in the IP Assets, other than immaterial licenses; and
(viii) each amendment, supplement or modification in respect of any of the foregoing.
(b) Except as set forth inSection 4.11(b) of the Seller Disclosure Letter and except for those Contracts that will, after the date hereof but prior to Closing, expire in accordance with their terms, each Material Contract is in full force and effect and is valid and enforceable in accordance with its terms, except as enforcement thereof may be limited by bankruptcy, insolvency, fraudulent conveyance, reorganization or similar laws relating to creditors’ rights generally or by equitable principles or by any other laws of general application.
(c) Except as set forth inSection 4.11(c) of the Seller Disclosure Letter:
(i) to the Knowledge of the Seller, each of Seller and the Company is in compliance, in all material respects, with the terms and requirements of each Material Contract;
(ii) to the Knowledge of the Seller, no event has occurred or circumstance exists that (with or without notice or lapse of time) does or would reasonably be expected to contravene, conflict with, or result in a violation or breach of, or gives or would give any other Person the right to declare a default under, or to accelerate the maturity or performance of, any Material Contract;
(iii) neither Seller nor the Company has received from any Person, at any time since March 3, 2015, any written notice or other communication regarding any actual, alleged, possible or potential violation or breach of, or default under, any Material Contract that would be reasonably expected to result in material costs or liabilities to the Company;
(iv) to the Knowledge of the Seller, no party to any Material Contract in effect on the date hereof has given to the Company, and the Company has not given, written notice of its intention to cancel, terminate or fail to renew any Material Contract; and
(v) there are no renegotiations of, or attempts to renegotiate or outstanding rights to renegotiate, any material amounts paid or payable to the Company under any current or completed Material Contract in effect on the date hereof with any Person having the contractual or statutory right to demand or require such renegotiation, and no such Person has made any written demand for such renegotiation.
(d) The Company has not entered into any Material Contract with respect to which the performance thereunder by any of them, acting alone or in connection with any other Person, or the payment or promise of any consideration thereunder, would violate any Law or Order.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-20-
4.12 Tax Matters. Except as set forth inSection 4.12 of the Seller Disclosure Letter, or, in the case of subsections (b) to (i) below, as would not reasonably be expected to have, individually or in the aggregate, a Material Adverse Effect:
(a) The Company has been classified either as a partnership or disregarded as an entity separate from its owner for United States federal income tax purposes since the date of formation or organization of the Company.
(b) The Company has filed all material Returns required to have been filed, which Returns are true, correct, and complete in all material respects and all such Returns disclose all Taxes required to be paid for the periods covered thereby. All Taxes due and owing by the Company (whether or not shown on any Tax Return) have been paid. There are no Liens for Taxes (other than Permitted Liens) upon any of the assets of the Company. The Company has withheld and paid all Taxes required to have been withheld and paid in connection with amounts paid or owing to any employee, independent contractor, creditor, stockholder or other Third Party. No claim has been made by a Governmental Entity in a jurisdiction where the Company does not file Returns that the Company is or may be subject to taxation by that jurisdiction.
(c) The unpaid Taxes of the Company (i) did not, as of the Balance Sheet Date, exceed the amount of Tax liability (but not including any reserve for deferred Taxes established to reflect timing differences between book and Tax income) set forth on the face of the Financial Statements (rather than in any notes thereto) and (ii) will not exceed that amount as adjusted for the passage of time through the Closing Date and in connection with the consummation of the transactions contemplated hereunder, as determined in accordance with the past custom and practice of the Company in filing its Returns.
(d) With respect to the Company for taxable periods ended on or after March 3, 2015, no Tax Returns have been audited or currently are the subject of audit. There is no dispute or claim concerning any Tax liability of the Company claimed or raised in writing by any Governmental Entity. The Company has not waived any statute of limitations in respect of Taxes or agreed to any extension of time with respect to a Tax assessment or deficiency, except with respect to any waivers or extensions that have expired.
(e) The Company has not been a United States real property holding corporation within the meaning of IRC §897(c)(2) during the applicable period specified in IRC §897(c)(1)(A)(ii). The Company (i) has not been a member of an affiliated group filing a consolidated federal income Tax Return (other than as a member of an affiliated group filing a consolidated federal income Tax Return, the common parent of which is Iconix); (ii) has no liability for the Taxes of any other Person as a transferee or successor, by contract or otherwise, including liability in accordance with the provisions set forth in Treasury RegulationSection 1.1502-6 (or any corresponding provision of state, local, or foreign Tax law); or (iii) is not a party to any Tax sharing, Tax allocation or other agreement pursuant to which it has liability for Taxes of another Person (other than an agreement the principal subject matter of which is not Taxes).
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-21-
(f) The Company will not be required to include any item of income in, or exclude any item of deduction from, taxable income for any taxable period (or portion thereof) ending after the Closing Date as a result of any:
(i) change in method of accounting for a taxable period ending on or prior to the Closing Date;
(ii) “closing agreement” as described in IRC §7121 (or any corresponding or similar provision of state, local ornon-U.S. income Tax law) executed on or prior to the Closing Date;
(iii) installment sale or open transaction disposition made on or prior to the Closing Date; or
(iv) prepaid amount received on or prior to the Closing Date.
(g) The Company has not distributed stock of another corporation and has not had its stock distributed by another corporation, in a transaction that was purported or intended to be governed in whole or in part by IRC §355 or IRC §361.
(h) Seller has made available to Purchaser prior to the date hereof true, correct and complete copies of all material Returns and examination reports and all statements of deficiencies relating to Taxes of the Company for taxable periods ending on or after March 3, 2015. The Company has not received any Tax Ruling that would have a continuing effect after the Closing Date. For purposes of the preceding sentence, the term “Tax Ruling” shall mean written rulings of a Governmental Entity relating to Taxes. No power of attorney currently in force has been granted by the Company concerning any Tax matter.
(i) The Company is not and has not been a party to any “listed transaction,” as defined in IRC §6707A(c)(2) and Reg.§1.6011-4(b)(2).
(j) The representations and warranties in thisSection 4.12 are the sole and exclusive representations and warranties of Seller concerning Tax matters of the Company. Notwithstanding any provision in this Agreement to the contrary, Seller makes no representation as to the amount of, or limitations on, any net operating losses, tax credits or other tax attributes that the Company may have.
4.13 Intellectual Property.
(a) Section 4.13(a) of the Seller Disclosure Letter sets forth an accurate and complete list of all registered Trademarks owned by the Company, and all pending applications that have been filed by the Company for the registration of Trademarks. With respect to such registered Trademarks (i) all registration, maintenance and renewal fees required by applicable Law to be paid prior to the date hereof have been paid, and (ii) all documents and certificates required by Law to be filed prior to the date hereof have been filed with the relevant trademark
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-22-
authorities for the purpose of maintaining such registered Trademarks. All registration agreements with respect to material Internet domain names that are included within the Owned IP Assets are in full force and effect.
(b) Section 4.13(b) of the Seller Disclosure Letter lists the registration numbers of all copyright registrations and renewals for the Owned IP Assets, including numbers of U.S. copyright registrations obtained for any animated television program or documentary included in the Owned IP Assets.
(c) Except as set forth inSection 4.13(c) of the Seller Disclosure Letter, and subject to Permitted Liens and the provisions of applicable Laws and Orders, (i) the Company (A) owns and possesses all right, title and interest in and to the Owned IP Assets, and (B) possesses the right to use, pursuant to a license, sublicense or other legal rights, the Licensed IP Assets, and (ii) the registered or issued Owned IP Assets are valid, subsisting, enforceable and in full force and effect. To the Knowledge of the Seller, the current use by the Company in the Business of the IP Assets does not violate, infringe, or breach, and, since March 3, 2015 has not violated, infringed, or breached, any Intellectual Property right of any Third Party.
(d) Except as set forth inSection 4.13(d) of the Seller Disclosure Letter, since March 3, 2015, no written claims have been received by the Company and, to the Knowledge of the Seller, no verbal claims have been received, from any other Person to the effect that the Company’s use of the IP Assets infringes, violates or breaches any Intellectual Property right, of such other Person, except for infringements, violations or breaches which, if proved, would not, individually or in the aggregate, reasonably be expected to result in material costs or liabilities to the Business.
(e) The Company has taken commercially reasonable measures consistent with reasonable industry practice to enforce its Intellectual Property rights in and to the IP Assets, and to the Knowledge of the Seller, there is no infringement or violation of any of the Owned IP Assets by a Third Party which has had or would reasonably be expected to have, individually or in the aggregate, a Material Adverse Effect.
(f) Except as set forth inSection 4.13(f) of the Seller Disclosure Letter, no Orders to which the Company is a party limit or restrict the Company’s use of the IP Assets in the Business, except for Orders which, individually or in the aggregate, would not reasonably be expected to result in material costs or liabilities to, or have a Material Adverse Effect.
(g) Except as set forth inSection 4.13(g) of the Seller Disclosure Letter, the consummation of the Purchase will not (i) result in the loss or impairment of any rights to use any of the IP Assets that the Company had in any of such IP Assets immediately prior to the Closing Date or (ii) obligate Purchaser to pay any royalties or other amounts to any other Person in excess of the amounts that would have been payable by the Company for the same use absent the consummation of the Purchase, except where such loss or impairment (in the case of clause (i)) or obligation to pay any royalties or other amounts (in the case of clause (ii)), would not, individually or in the aggregate, reasonably be expected to result in material costs or liabilities to, or have a Material Adverse Effect.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-23-
(h) The Owned IP Assets are free and clear of all Liens, except (i) as provided under applicable Law, (ii) as set forth onSection 4.13(h) of the Seller Disclosure Letter, (iii) Liens that do not interfere with the use or detract from the value of such Owned IP Assets, or (iv) Permitted Liens.
(i) Section 4.13(i) of the Seller Disclosure Letter sets forth a complete and accurate list of all material software owned by the Company and used by the Company in the Business (“Seller Software”). Subject to provisions of applicable Law and except as set forth onSection 4.13(j) of the Seller Disclosure Letter, the Company is the sole and exclusive owner of all right and title and interest in and to the Seller Software, free and clear of Liens, other than Permitted Liens.
4.14 Compliance with Laws. The Company holds all Governmental Authorizations necessary for the lawful conduct of the Business, and each such Governmental Authorization is valid and in full force and effect in all material respects. Except as disclosed in the SEC Reports, (a) the Company is not in violation of any Governmental Authorizations or Law or Order, and (b) the Business is being and has been, since March 3, 2015, conducted in compliance in all material respects with all applicable Laws and Orders.
4.15 Finders; Brokers. Except as set forth onSection 4.15 of the Seller Disclosure Letter, no agent, broker, Person or firm acting on behalf of the Company, Seller or any of their respective Affiliates is, or shall be, entitled to any broker’s fees, finder’s fees or commissions from Purchaser in connection with this Agreement or any of the transactions contemplated hereby.
4.16 Employees and Benefit Plans. The Company has not at any time had any employees or maintained any deferred compensation, incentive compensation, stock purchase, stock option or other equity compensation plan, program, agreement or arrangement; any severance or termination pay, medical, surgical, hospitalization, life insurance or other “welfare” plan, fund or program (within the meaning of Section 3(1) of the Employee Retirement Income Security Act of 1974, as amended (“ERISA”)); any profit-sharing, stock bonus or other “pension” plan, fund or program (within the meaning of Section 3(2) of ERISA); any employment, termination or severance agreement; and any other employee benefit plan, fund, program, agreement or arrangement. The Company is not a party to any agreement, contract, arrangement, or plan that has resulted or would result, separately or in the aggregate, in the payment of any “excess parachute payment” within the meaning of IRC §280G (or any corresponding provision of state, local ornon-U.S. Tax law). The Company has not at any time since March 3, 2015 sponsored, maintained, participated in or had any obligation to contribute to (or been under common control with an employer which sponsored, maintained, participated in or contributed to), or otherwise has any liability with respect to, any “defined benefit plan,” as defined in Section 3(35) of ERISA, a pension plan subject to the minimum funding standards of Section 302 of ERISA or Section 412 of the Code, or a “multiemployer plan,” as defined in Section 3(37) of ERISA. The Company does not have any liability for excise taxes under Code Section 4980H, nor, to the Knowledge of the Seller, do any facts exist that would give rise to any such liability.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-24-
4.17 Certain Payments. Since March 3, 2015, neither the Company nor, to the Knowledge of the Seller, any agent, employee or other Person associated with or acting for or on behalf of the Company, has directly or indirectly (a) made any contribution, gift, bribe, rebate, payoff, influence payment, kickback or other payment to any Person, private or public, regardless of form, whether in money, property or services (i) to obtain favorable treatment in securing business for the Business, (ii) to pay for favorable treatment for business secured for the Business, or (iii) in violation of any Law or Order applicable to the Business, or (b) established or maintained any fund or asset owned or controlled by the Company that has not been recorded in the books and records of the Company.
4.18 Accounts Receivable. The accounts receivable that are reflected in the Financial Statements (collectively, the “Business Accounts Receivable”) include all accounts receivable for the Company and represent estimates in U.S. dollars of earned royalty payments or fixed-amount advance and guaranteed royalty payments to be made to the Company by licensees of the Business in the ordinary course consistent with past practice.Section 4.18 of the Seller Disclosure Letter contains a list, complete and accurate in all material respects, of the Business Accounts Receivable as of the Balance Sheet Date, derived from the books and records of the Company, consistent with past practice. The reserves for bad debt shown on the Financial Statements are, to the Knowledge of the Seller, adequate and calculated consistently with past practice. All Business Accounts Receivable have arisen in the ordinary course of business consistent with past practice and are estimates of valid obligations due to the Company arising out of bona fide Contracts or other arrangements between the Company, on the one hand, and their respective counterparties, on the other hand.
4.19 Transactions with Affiliates. Except as described onSection 4.19 of the Seller Disclosure Letter and for the services to be provided temporarily under the Transition Services Agreement, there are no services currently being provided to the Business by Seller or any Affiliate of Seller that are material to the Business, and no contracts that are currently in effect between or among the Company and Seller or any Affiliate of Seller.
4.20 Insurance.
(a) Seller has made available to Purchaser copies of all policies of insurance to which the Company is a party or under which the Company, or its affiliates, are covered. Such policies are in full force and effect as of the date hereof.
(b) The Company has not claimed any losses for the current policy year or in any of the three (3) preceding policy years under any policy that provides coverage to the Company.
(c) To the Knowledge of the Seller, the Company has not received any notice of refusal of coverage or any notice that a defense will be afforded with reservation of rights, or any notice of cancellation or any other indication that any insurance policy is no longer in full force or effect or will not be renewed or that the issuer of any policy is not willing or able to perform its obligations thereunder, any of which individually, or all of which in the aggregate, would have a Material Adverse Effect.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-25-
4.21 No Material Adverse Effect. Since December 31, 2016 through the date of this Agreement, there has been no change, circumstance, occurrence, event, development or effect that, individually or in the aggregate, is, has or would reasonably be expected to have a Material Adverse Effect.
4.22 Exclusivity of Representations. THE REPRESENTATIONS AND WARRANTIES BY EACH SELLER CONTAINED INARTICLE IV CONSTITUTE THE SOLE AND EXCLUSIVE REPRESENTATIONS AND WARRANTIES OF SUCH SELLER TO PURCHASER IN CONNECTION WITH THE TRANSACTION CONTEMPLATED HEREBY, AND PURCHASER UNDERSTANDS, ACKNOWLEDGES AND AGREES THAT ALL OTHER REPRESENTATIONS AND WARRANTIES OF ANY KIND OR NATURE EXPRESS OR IMPLIED ARE SPECIFICALLY DISCLAIMED BY SELLER.
ARTICLE V
REPRESENTATIONS AND WARRANTIES OF PURCHASER
Except as set forth in the disclosure letter (the “Purchaser Disclosure Letter”) delivered by Purchaser to Seller concurrently with the execution of this Agreement (it being agreed that any matter disclosed pursuant to any section of the Purchaser Disclosure Letter shall be deemed disclosed for purposes of any other section of the Purchaser Disclosure Letter to the extent the applicability of the disclosure to such other section is reasonably apparent on the face of such disclosure), Purchaser hereby represents and warrants to Seller as follows:
5.1 Corporate Due Organization, Good Standing and Corporate Power of Purchaser. Purchaser is a limited liability company duly organized, validly existing and in good standing (or the equivalent thereof) under the Laws of the State of Delaware and has all requisite limited liability company power and authority to own, lease and operate its properties and to carry on its business as now being conducted. Purchaser is an indirect wholly-owned Subsidiary of DHX.
5.2 Authorization; Noncontravention.
(a) Purchaser has the requisite corporate power and authority and has taken all corporate or other action necessary to execute and deliver this Agreement and all other instruments and agreements to be delivered by Purchaser as contemplated hereby, to perform its obligations hereunder and thereunder and to consummate the transactions contemplated hereby and thereby. The execution, delivery and performance by Purchaser of this Agreement and all other instruments and agreements to be delivered by Purchaser as contemplated hereby, the consummation by it of the transactions contemplated hereby and thereby and the performance of its obligations hereunder and thereunder have been, and in the case of documents required to be delivered at the Closing will be, duly authorized and approved by the board of directors of Purchaser. This Agreement has been, and all other instruments and agreements to be executed and delivered by Purchaser as contemplated hereby will be, duly executed and delivered by Purchaser. Assuming that this Agreement and all such other instruments and agreements constitute valid and binding obligations of Seller and each other Person (other than Purchaser) party thereto, this Agreement and all such other instruments and agreements constitute valid and
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-26-
binding obligations of Purchaser, enforceable against Purchaser in accordance with the terms thereof, except to the extent that such enforcement may be limited by applicable bankruptcy, insolvency, reorganization, moratorium or other similar Laws affecting the enforcement of creditors’ rights generally and by general equitable principles (whether considered in a proceeding in equity or at law).
(b) The execution and delivery of this Agreement and all other instruments and agreements to be delivered by Purchaser as contemplated hereby do not, and the consummation of the transactions contemplated hereby and thereby will not, (i) conflict with any of the provisions of the certificate of incorporation orby-laws or similar governance documents of Purchaser, in each case, as amended to the date of this Agreement, (ii) conflict with or result in a breach of, or constitute a default under, or result in the acceleration of any obligation or loss of any benefits under, any Contract or other instrument to which Purchaser is a party or by which Purchaser or any of its properties or assets are bound or (iii) subject to (x) the applicable requirements of the HSR Act and any other applicable Antitrust Laws and (y) receipt of the consents, approvals, authorizations, declarations, filings and notices referred to inSection 5.3 of the Purchaser Disclosure Letter, contravene any Law or any Order applicable to Purchaser or by which any of its properties or assets are bound, except in the case of clauses (ii) and (iii) above, for such conflicts, breaches, defaults, consents, approvals, authorizations, declarations, filings or notices which do not and would not reasonably be expected to, individually or in the aggregate, prevent, materially delay or impair Purchaser’s ability to consummate the transactions contemplated by this Agreement.
5.3 Consents and Approvals. Assuming all required Antitrust Filings are made and any waiting periods thereunder have been terminated or expired and any consents required thereunder have been obtained, except as set forth inSection 5.3 of the Purchaser Disclosure Letter, no consent of or filing with any Governmental Entity or any other Person must be obtained or made by Purchaser in connection with the execution and delivery of this Agreement by Purchaser or the consummation by Purchaser of the transactions contemplated by this Agreement, except for any consents, approvals, authorizations or filings, which have been obtained or made or, if not made or obtained, do not and would not reasonably be expected to, individually or in the aggregate, prevent, materially delay or impair Purchaser’s ability to consummate the transactions contemplated by this Agreement.
5.4 Available Funds.
(a) Purchaser has, as of the date of this Agreement, committed financing and will have, on the Closing Date, unrestricted cash on hand and, if necessary, unrestricted cash available to it under credit facilities in place on the date hereof, sufficient to consummate the transaction contemplated hereby.
(b) Concurrently with the execution of this Agreement, Purchaser has delivered to Seller true, correct and complete copies of an executed debt commitment letter and each executed fee letter and engagement letter associated therewith (provided, that provisions in the fee or engagement letter related solely to fees and economic terms (other than covenants) agreed to by the parties may be redacted), dated as of the date hereof (such commitment letter(s), including all exhibits, schedules, annexes, supplements and amendments thereto and each such
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-27-
fee letter and engagement letter, collectively, the “Debt Commitment Letter”), from Royal Bank of Canada and Jeffries Finance LLC (the “Debt Financing Source”) providing the terms and conditions upon which the Debt Financing Source has committed to provide up to six hundred fifteen million dollars ($615,000,000) (the “Debt Financing Proceeds”) of debt financing (the “Debt Financing”). The Debt Commitment Letter in the form so delivered is valid and in full force and effect with respect to Purchaser and, to the Knowledge of the Purchaser, each other party thereto, such commitments have not been withdrawn, terminated or otherwise amended or modified in any respect, and no event has occurred that, with or without notice, lapse of time or both, would constitute a default or breach on the part of Purchaser under any term or condition of the Debt Commitment Letter. The Debt Commitment Letter (together with the fee letter referred to therein) constitutes the entire and complete agreement between the parties thereto with respect to the financings contemplated thereby, and, except as set forth, described or provided for in the Debt Commitment Letter, (i) there are no conditions precedent to the respective obligations of the Debt Financing Source to provide the Debt Financing, and (ii) there are no contractual contingencies or other provisions under any agreement (including any side letters) relating to the transactions contemplated by this Agreement to which Purchaser or any of its Affiliates is a party that would permit the Debt Financing Source to reduce the total amount of the Debt Financing Proceeds available under the Debt Financing or impose any additional conditions precedent to the availability of the Debt Financing. Purchaser has fully paid any and all commitment fees, if any, or other fees required by the Debt Commitment Letter to be paid as of the date hereof. As of the date hereof, Purchaser has no reason to believe that any of the conditions to the Debt Financing will not be satisfied on a timely basis or that the funding contemplated in the Debt Financing will not be made available to Purchaser on a timely basis in order to consummate the transactions contemplated by this Agreement. The Debt Financing Proceeds available under the Debt Financing are sufficient to pay the Purchase Price and all of Purchaser’s and its Affiliates’ fees and expenses associated with the transaction contemplated in this Agreement in accordance with the terms hereof. The obligations of Purchaser under this Agreement are not contingent on the availability of financing.
5.5 Litigation. There is no action, suit, proceeding at law or in equity, or any arbitration by, before or against any Governmental Entity or any other Person pending, or, to the Knowledge of the Purchaser, threatened in writing, against or affecting Purchaser, or any of its properties or rights, which if determined adversely would reasonably be expected to, individually or in the aggregate, prevent, materially delay or impair Purchaser’s ability to consummate the transactions contemplated by this Agreement. Purchaser is not subject to any Order which seeks to or would reasonably be expected to, individually or in the aggregate, prevent, materially delay or impair Purchaser’s ability to consummate the transactions contemplated by this Agreement.
5.6 Finders; Brokers. Except as set forth inSection 5.6 of the Purchaser Disclosure Letter, no agent, broker, Person or firm acting on behalf of Purchaser or any of its Affiliates is or shall be entitled to any broker’s fees, finder’s fees or commissions from Seller or any of its Affiliates in connection with this Agreement or any of the transactions contemplated hereby.
5.7 Investigation and Acknowledgment by Purchaser. Purchaser has conducted its own independent investigation, verification, review and analysis of the Company and Business, results of operations, financial condition, software, technology and prospects of
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-28-
the Business, which investigation, review and analysis was conducted by Purchaser and its Affiliates and, to the extent Purchaser deemed appropriate, by Purchaser’s Representatives. Purchaser acknowledges that it and its Representatives have been provided adequate access to the personnel, properties, premises and records of the Business. Purchaser acknowledges that the representations and warranties contained in this Agreement are exclusive of any other representations and warranties, express or implied, and that neither Seller nor any of its Affiliates, Representatives or any other Person makes or has made any representation or warranty, either express or implied, as to the accuracy or completeness of any of the information provided or made available to Purchaser or any of its Affiliates and Representatives, except as and only to the extent expressly set forth in this Agreement and subject to the limitations and restrictions contained in this Agreement.
5.8 Exclusivity of Representations. THE REPRESENTATIONS AND WARRANTIES BY PURCHASER CONTAINED INARTICLE V CONSTITUTE THE SOLE AND EXCLUSIVE REPRESENTATIONS AND WARRANTIES OF PURCHASER TO SELLER IN CONNECTION WITH THE TRANSACTIONS CONTEMPLATED HEREBY, AND SELLER UNDERSTANDS, ACKNOWLEDGES AND AGREES THAT ALL OTHER REPRESENTATIONS AND WARRANTIES OF ANY KIND OR NATURE EXPRESS OR IMPLIED ARE SPECIFICALLY DISCLAIMED BY PURCHASER.
ARTICLE VI
COVENANTS
6.1 Access to Information Concerning Properties and Records.
(a) During the period from the date of this Agreement through and including the earlier of (i) the date this Agreement is terminated in accordance withSection 9.1 and (ii) the Closing Date, Seller shall, and shall cause the Company to, upon reasonable prior notice and during regular business hours, afford Purchaser and its Representatives reasonable access to the personnel, properties, and books and records of Seller and the Company relating to the Business, to the extent Purchaser reasonably believes necessary or advisable to familiarize itself with such properties and other matters and as Purchaser may reasonably request;provided, that Seller may restrict the foregoing access to the extent that in the reasonable judgment of Seller, any applicable Law requires it to restrict such access;provided,further, that such access shall not unreasonably disrupt the operations of Seller or any of its Affiliates. Notwithstanding anything to the contrary contained in this Agreement, Seller shall not be required to provide any information or access that Seller reasonably believes could violate applicable Law, including Antitrust Laws, rules or regulations or the terms of any Contract or cause the waiver of attorney/client or similar privilege.
(b) Nothing contained in this Agreement shall be construed to give to Purchaser, directly or indirectly, rights to control or direct the Company or the Business prior to the Closing or any other business or operations of Seller. Prior to the Closing, Seller shall exercise, consistent with the terms and conditions of this Agreement, complete control and supervision of the Company and the Business and shall at all times exercise complete control and supervision of all of its other businesses and operations.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-29-
(c) Purchaser hereby agrees that it is not authorized to and shall not (and shall not permit any of its respective Representatives to) contact any competitor, contractor, vendor, supplier, distributor, customer, agent or Representative of Seller, the Company or with respect to the Business or the transactions contemplated hereby prior to the Closing without the prior written consent of Seller.
6.2 Conduct of Seller and the Business. Between the date hereof and the earlier of the Closing Date and the termination of this Agreement pursuant to or in accordance withArticle IX hereof, except as otherwise taken with the prior written consent of Purchaser (which consent shall not be unreasonably withheld, delayed or conditioned) or as required by any Law, Seller shall, and shall cause the Company to:
(a) conduct the Business substantially in the ordinary course;
(b) comply with all requirements of all applicable Laws and Orders;
(c) use reasonable efforts in accordance with past practice to preserve intact its current business organization, keep available the services of its current employees and agents, and maintain business relations and goodwill with suppliers, customers, landlords, creditors, employees, agents, licensees, clients and others having business relationships with it that are material to the Business;
(d) not renew or extend any Material Contract or enter into a License Agreement that would be required to be listed onSection 4.11(a) of the Seller Disclosure Letter if it had been entered into prior to the date of this Agreement;provided,however, that (i) the automatic renewal of any Material Contract in accordance with its terms, or (ii) the negotiated extension or renewal of any Material Contract that is scheduled to expire in accordance with its terms between the date hereof and the End Date, provided that such negotiated extension or renewal is made in the ordinary course of business consistent with past practice and on terms that, in all material respects, are no less favorable to the Company than the terms existing immediately prior to such extension or renewal, shall be permitted hereunder if such Material Contract is specifically listed inSection 6.2(d) of the Seller Disclosure Letter
(e) not permit, allow or suffer any asset of the Business to become subjected to any Lien other than Permitted Liens, other than in the ordinary course and not having a Material Adverse Effect, except to the extent any such Lien is released or fully discharged at or prior to Closing; and
(f) not file any amended material Returns for thePre-Closing Period or settle any Tax Contests with any Governmental Entity that would result in any material Tax liability to Purchaser, the Company or any of their Subsidiaries.
6.3 Efforts to Close; Antitrust Laws.
(a) Except as otherwise provided in thisSection 6.3, Purchaser and Seller shall, and shall cause their respective Affiliates and Representatives to, cooperate and use their respective commercially reasonable efforts to take, or cause to be taken, all appropriate action, and to make, or cause to be made, all filings necessary, proper or advisable under applicable
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-30-
Laws and to consummate and make effective the transactions contemplated by this Agreement, including their respective commercially reasonable efforts to obtain, prior to the Closing Date, all Permits, consents, approvals, authorizations, qualifications and Orders of Governmental Entities as are necessary for consummation of the transactions contemplated by this Agreement and to fulfill the conditions to consummation of the transactions contemplated hereby set forth inSection 7.2 andSection 7.3;provided, that neither Seller nor any of its Affiliates shall be required, unless otherwise expressly set forth herein, to repay any indebtedness for borrowed money, amend any Contract to increase the amount payable thereunder or otherwise to be materially more burdensome to Seller or any of its Affiliates, commence any litigation, offer or grant any accommodation (financial or otherwise) to any Third Party, pay any amount or bear any other incremental economic burden to obtain any such Permit, consent, approval, authorization, qualification or Order;provided,further, that no party hereto shall incur any expense that would be payable by any other party hereto without the consent of such other party.
(b) Purchaser and Seller shall file, to the extent required, the Notification and Report Forms required under the HSR Act with respect to the transactions contemplated by this Agreement with the Antitrust Division of the United States Department of Justice and the Federal Trade Commission, and Purchaser and Seller shall each pay 50% of the required filing fee, as promptly as practicable and in no event later than ten (10) Business Days following the date hereof, and neither party will request early termination of the waiting period with respect thereto. Purchaser and Seller shall use their respective reasonable best efforts to make any other filings required under any other Antitrust Law as promptly as practicable following the date hereof.
(c) Purchaser and Seller shall consult and cooperate with one another in connection with the preparation of their respective Notification and Report Forms, and consider in good faith the views of the other party, in connection with any analyses, appearances, presentations, memoranda, briefs, arguments, opinions and proposals made or submitted by or on behalf of any party in connection with proceedings under or relating to any Antitrust Laws and in connection with resolving any investigation or other inquiry concerning the Purchase or any of the other transactions contemplated by this Agreement initiated by any Antitrust Authority.
(d) Purchaser shall take all actions reasonably necessary to obtain the required consents from Antitrust Authorities, including antitrust clearance under the HSR Act and under any other Antitrust Law, to the extent required, as promptly as practicable, and in any event prior to the End Date;provided,however, that neither Purchaser nor any of its Affiliates shall be required to agree to (i) sell, hold, divest, discontinue or limit, before or after the Closing Date, any assets, businesses or interests of Purchaser, its Affiliates or the Company, (ii) any conditions relating to, or changes or restrictions in, the operations of any such assets, businesses or interests which, in either case, could reasonably be expected to result in a Material Adverse Effect or materially and adversely impact the economic or business benefits to Purchaser of the transactions contemplated by this Agreement; or (iii) any material modification or waiver of the terms and conditions of this Agreement.
6.4 Public Announcements. Seller, on the one hand, and Purchaser, on the other hand, each shall (a) consult with each other before issuing any public announcement with respect to the transactions contemplated by this Agreement, (b) provide to the other party for
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-31-
review a copy of any such public announcement and (c) not issue any such public announcement prior to such consultation and review and the receipt of the prior consent of the other party to this Agreement, unless (x) required by applicable Law or regulations of any applicable stock exchange or, (y) in connection with Iconix’s or DHX’s earning releases and periodic reports, in the case of clauses (a), (b) and (c) of thisSection 6.4, the party required to issue the public announcement shall, prior to issuing such public announcement, use its commercially reasonable efforts to allow the other party reasonable time to comment on such announcement to the extent practicable.
6.5 Notification of Certain Matters. Purchaser, on the one hand, and Seller, on the other hand, shall use their respective commercially reasonable efforts to promptly notify each other of any material actions, suits, claims or proceedings in connection with the transactions contemplated by this Agreement commenced or, to the Knowledge of the Purchaser or the Knowledge of the Seller, threatened, against Seller or Purchaser, as the case may be, or any of their respective Affiliates.
6.6 Post-Closing Access to Records and Personnel; Litigation Support.
(a) For a period of seven (7) years after the Closing Date, Purchaser shall preserve and retain all corporate, accounting, Tax, legal, auditing, human resources and other books and records of the Company and the Business (including (i) any documents relating to any action, claim, lawsuit, demand, inquiry, hearing, investigation, notice of a violation or noncompliance, litigation, proceeding, arbitration, appeal or other dispute and (ii) all Returns, schedules, work papers and other material records or other documents relating to Taxes of the Company and the Business) relating to the Company or the conduct of the Business prior to the Closing Date. Notwithstanding the foregoing, during such seven-year period, Purchaser may dispose of any such books and records which are offered to, but not accepted by, Seller.
(b) Following the Closing, the parties hereto will allow each other reasonable access to (i) the Company, the Business, and the Owned IP Assets, (ii) their books and records related to the Company, the Business, and the Owned IP Assets, and (iii) such personnel employed by an Affiliate of Seller having knowledge of the location or contents of such books and records, for legitimate business reasons;provided,however, that no such access shall unreasonably interfere with Seller’s and Purchaser’s operation of their respective businesses. Notwithstanding anything to the contrary contained in this Agreement, no Person shall be required to provide any information or access that such Person reasonably believes could violate applicable Law, including Antitrust Laws, rules or regulations or the terms of any Contract or cause the waiver of attorney/client or similar privilege. Each party shall be entitled to recover from the other itsout-of-pocket costs (including copying costs) incurred in providing such books and records or personnel to the other party. The requesting party will hold in confidence all confidential information identified as such by, and obtained from, the disclosing party or any of its Representatives, except as otherwise required by Law.
(c) If and for so long as Seller or Purchaser is actively contesting or defending against any action, claim, lawsuit, demand, inquiry, hearing, investigation, notice of a violation or noncompliance, litigation, proceeding, arbitration, appeal or other dispute, brought by a Third Party in connection with (i) the Purchase or (ii) any fact, situation, circumstance,
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-32-
status, condition, activity, practice, plan, occurrence, event, incident, action, failure to act, or transaction on or prior to the Closing Date involving the Company, the Business, or the Owned IP Assets, thenon-contesting ornon-defending party or parties shall, at the sole cost and expense of the contesting or defending party (except as otherwise provided inSection 6.6(b)), (x) cooperate with the contesting or defending party and its counsel in the defense or contest, (y) make available its or their personnel (including to act as a witness) and (z) provide such access to its or their books and records as shall be necessary or reasonably requested in connection with the defense or contests;provided,however, that no such cooperation or access shall unreasonably interfere with suchnon-contesting ornon-defending party’s operation of its business(es). Allnon-public information received pursuant to thisSection 6.6 shall be kept confidential, except as otherwise required by Law. Notwithstanding anything to the contrary contained in this Agreement, no Person shall be required to provide any access that such Person reasonably believes could violate applicable Law, including Antitrust Laws, rules or regulations or the terms of any Contract or cause the waiver of attorney/client or similar privilege. Each party shall be entitled to recover from the other itsout-of-pocket costs incurred in providing such personnel and access to the other party.
(d) The obligations of Purchaser under thisSection 6.6 shall be binding upon the successors and assigns of Purchaser. If Purchaser or any of its successors or assigns (i) consolidates with or merges into any other Person or (ii) transfers all or any portion of the Interests to any other Person (whether by asset sale, stock sale or otherwise), proper provision shall be made to bind the successors and assigns of Purchaser to the obligations set forth in thisSection 6.6.
6.7 Tax Matters.
(a) All stamp, transfer, documentary, sales and use, value added, registration and other such taxes and fees (including any penalties and interest) incurred in connection with this Agreement or the Purchase (collectively, the “Transfer Taxes”), shall be borne 50% by Seller and 50% by Purchaser, and Purchaser shall properly file on a timely basis all necessary Returns and other documentation with respect to any Transfer Tax and provide to Seller evidence of payment of all Transfer Taxes. If required by applicable Law, the parties hereto shall, and shall cause their respective Affiliates to, join in the execution of any such Returns and other documentation;provided,however, that, to the extent that Seller is required to join in the execution of any such Return or documentation, Purchaser shall prepare and deliver to Seller a copy of such Return at least five (5) Business Days before the due date thereof and shall not file such Return without the consent of Seller, which consent shall not be unreasonably withheld, conditioned or delayed.
(b) (i) All Returns, including any amendments thereto, for Taxes and Tax items relating to the operations or assets of the Company, but not imposed on the Company (to the extent such Tax items are reflected on or affect the amounts reported on the Returns of the Company) for any tax period ending on or before the Closing Date (including any tax period ending on the Closing Date as a result of a technical termination) (“Flow-Through Returns”) shall be prepared and filed in the sole discretion of Seller;provided,however, Seller shall: (A) prepare such Flow-Through Returns in a manner consistent with past practice unless otherwise required by law, and (B) not change any tax election nor make any new tax election on such
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-33-
Flow-Through Returns, which tax election is required to remain in effect on any Tax Return that includes, in whole or in part, any period after the Closing Date, without the consent of Purchaser, which consent shall not be unreasonably withheld or delayed. Purchaser shall cause the Company to provide any assistance and information reasonably requested by Seller to enable Seller (or any other persons preparing Flow-Through Returns) to prepare Flow-Through Returns.
(ii) All Returns, including any amendments thereto, for Taxes and Tax items relating to the operations or assets of the Company, that are imposed on the Company for periods ending on or prior to the Closing Date (the “Non-Flow-Through Returns”) shall be prepared by Seller and copies of such Returns shall be provided to the Purchaser for review and approval, which approval shall not be unreasonably withheld or delayed. Purchaser shall cooperate with Seller’s reasonable requests for assistance and information in connection with the preparation of theNon-Flow-Through Returns.
(iii) Purchaser and Seller shall cooperate fully, to the extent commercially reasonable, in connection with (y) the filing of Flow-Through Returns andNon-Flow-Through Returns, (z) any Tax Contest with respect to Flow-Through Returns orNon-Flow-Through Returns and Taxes relating to such Returns and (iii) the preparation of any financial statements to the extent related to such Taxes. Seller shall have the right to control any Tax Contest with respect to Taxes and Returns that relate to any Flow-Through Return andNon-Flow-Through Returns (such tax matter, a “Seller Tax Matter”);provided,however, Seller shall not settle any Tax Contest with respect to a Seller Tax Matter to the extent such settlement would have a Material Adverse Effect on Purchaser without the consent of Purchaser, which consent shall not be unreasonably withheld or delayed. Purchaser shall provide Seller with notice of any written inquiries, audits, examinations or proposed adjustments by the Internal Revenue Service or any other Taxing Authority, which relate to any Seller Tax Matter within ten (10) days of the receipt of such notice.
(iv) Purchaser shall be responsible for the preparation and filing of all Post-Closing Period Returns. If a Post-Closing Period Return is a Straddle Period Return, then, (y) prior to filing such Return, Purchaser shall provide Seller a copy of such Return not later than thirty (30) days prior to the due date for such Return for Seller review and approval, which approval shall not be unreasonably withheld or delayed and (z) such Return shall be prepared in accordance with past practice, unless otherwise required by Law. Seller and Purchaser shall jointly control any Tax Contest with respect to a Straddle Period Return (and neither party shall settle any such Tax Contest without the other party’s consent, such consent not to be unreasonably withheld or delayed). To the extent it is necessary for purposes of this Agreement to determine the allocation of Taxes among a Straddle Period, the amount of any Taxes based on or measured by income, receipts, payroll or sales of the Company will be determined based on an interim closing of the books as of the close of business on the Closing Date and the amount of other Taxes of the Company for a Straddle Period that relates to thePre-Closing Period will be deemed to be the amount of such Tax for the entire taxable period multiplied by a fraction, the numerator of which is the number of days in the taxable period ending on the Closing Date and the denominator of which is the number of days in such Straddle Period.
(c) Seller shall be entitled to retain or, to the extent actually received by or otherwise available to Purchaser or any of its Affiliates, receive payment from Purchaser or any
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-34-
of its Affiliates of, any refund or credit with respect to Taxes (including refunds arising by reason of amended Returns filed after the Closing or otherwise) paid by Seller with respect to anyPre-Closing Period relating to the Company. Purchaser shall be entitled to retain or, to the extent actually received by Seller or any of its Affiliates, receive payment from Seller or any of its Affiliates of, any refund or credit with respect to Taxes (including refunds arising by reason of amended Tax Returns filed after the Closing or otherwise) with respect to any Post-Closing Period relating to the Company.
(d) Purchaser, on the one hand, and Seller, on the other hand, agree to furnish or cause to be furnished to each other, upon request, as promptly as practicable, such information and assistance relating to the Company (including access to books and records) as is reasonably necessary for the filing of all Returns, the making of any election relating to Taxes, the preparation for any audit by any Taxing Authority and the prosecution or defense of any Tax Contest;provided,however, that neither Purchaser nor Seller shall be required to disclose any income Tax Returns to any Person. Any expenses incurred in furnishing such information or assistance pursuant to thisSection 6.7(d) shall be borne by the party requesting it.
(e) Neither Purchaser nor any Affiliate of Purchaser shall amend any Return with respect to anyPre-Closing Period without the prior consent of Seller, which consent shall not be unreasonably withheld or delayed.
(f) Notwithstanding anything herein to the contrary, neither Purchaser nor any of its respective Representatives shall have access to the Returns or related workpapers of Seller or any of its Affiliates.
6.8 Further Assurances. At any time and from time to time after the Closing Date, without further consideration, each party hereto shall, at the reasonable request of the other party hereto, execute and deliver such further instruments of conveyance, assignment, assumption and transfer and take such further action as may be necessary or appropriate in order to effectuate the Purchase.
6.9 Audited Financials. Following the date of this Agreement, upon Purchaser’s request and at Purchaser’s expense, Seller will cooperate with Purchaser and the Company in respect of the preparation by Purchaser and the Company of such audited financial statements of the Company as Purchaser may determine are necessary or desirable for securities law compliance or other purposes.
6.10 Financing.
(a) Purchaser shall use its best efforts to take, or cause to be taken, all actions and to do, or cause to be done, all things reasonably necessary, proper or advisable to arrange, obtain and consummate the Debt Financing on the terms and conditions described in the Debt Commitment Letter on or prior to the Closing Date for the purpose of, among other things, funding the Purchase Price. Such actions shall include: (i) maintaining in full force and effect and in all material respects the Debt Commitment Letter in the form provided to Seller concurrently with the execution of this Agreement, (ii) satisfying on a timely basis all of the conditions precedent and covenants to the Debt Financing applicable to Purchaser that are to be
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-35-
satisfied by Purchaser, (iii) negotiating, executing and delivering definitive documents (“Debt Financing Documents”) that reflect in all material respects the terms contained in the Debt Commitment Letter (including, as necessary, agreeing to any requested changes to the commitments thereunder in accordance with any “flex” provisions contained in the Debt Commitment Letter or any related fee letter), in each case which terms shall not in any material respect expand on the conditions to the funding of the Debt Financing Proceeds at the Closing or reduce the aggregate amount of the Debt Financing Proceeds available to be funded on the Closing Date, (iv) drawing such amount of the Debt Financing Proceeds as is necessary to satisfy Purchaser’s obligations under this Agreement and (v) fully enforcing its rights under the Debt Commitment Letter and the Debt Financing Documents in order to consummate the Debt Financing at or prior to the Closing. Without the prior written consent of Seller (such consent not to be unreasonably withheld, conditioned or delayed), Purchaser shall not permit or consent to any amendment, supplement or modification to be made to the Debt Commitment Letter if such amendment, supplement or modification imposes new or additional conditions to the initial funding or otherwise expands, amends or modifies any of the conditions to the receipt of the Debt Financing, or otherwise expands, amends or modifies any other provision of the Debt Commitment Letter, in a manner that would reasonably be expected to delay or prevent or make less likely the funding of the Debt Financing (or satisfaction of the conditions to the Debt Financing) on the Closing Date,provided that Purchaser may (1) amend the Debt Commitment Letter to add or replace lenders, lead arrangers, bookrunners, syndication agents or similar entities, (2) implement or exercise the “flex” provisions contained in one or more fee letters related to the Debt Financing and (3) reduce the Debt Financing on a dollar for dollar basis upon receipt of the proceeds of an offering of debt or equity securities (an “Equity Issuance”) on or after the date hereof. Purchaser acknowledges and agrees that its obligations to consummate the transactions contemplated by this Agreement are not conditioned or contingent upon receipt of the Debt Financing Proceeds and a failure of the Closing to occur because Purchaser has not received the Debt Financing Proceeds shall constitute a material breach of this Agreement by Purchaser. Purchaser shall keep Seller fully informed, in all reasonable detail, of the status of its efforts to arrange the Debt Financing and shall, from the date hereof until the Closing Date, promptly notify Seller of the receipt by Purchaser of any written notice or other written communication from any Debt Financing Source with respect to any actual, threatened or alleged material breach, default, termination or repudiation by any party to any Debt Commitment Letter or any Debt Financing Document or any material provision of the Debt Financing contemplated pursuant to the Debt Commitment Letter or the Debt Financing Documents,provided that in no event will Purchaser be under any obligation to disclose any information shared among Purchaser and its professional advisors in connection with matters contemplated by this sentence that is subject to attorney-client or similar legal privilege. Purchaser shall promptly provide Seller, upon reasonable request, with copies of any Debt Financing Documents and such other information and documentation regarding the Debt Financing as shall be reasonably necessary to allow Seller to monitor the progress of such financing activities. Upon request, Purchaser shall provide Seller with written updates concerning the status of any Equity Issuance, including whether DHX intends to proceed with an Equity Issuance to raise part of the Purchase Price.
(b) In the event of any notification or communication that the Debt Financing will not be available to Purchaser in accordance with the terms hereof, Purchaser shall use its best efforts to take, or cause to be taken, all actions and to do, or cause to be done, all things necessary, proper or advisable to arrange for and obtain as promptly as practicable
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-36-
following the occurrence of any such Financing Failure Event alternative debt financing (the “Alternative Financing”) on commercially reasonable terms, whether or not such terms are more or less favorable to Purchaser than the terms of the Debt Commitment Letter, in an amount sufficient to consummate the transactions contemplated hereby and perform all of their obligations hereunder, it being understood and agreed that if Purchaser proceeds with any Alternative Financing, Purchaser shall be subject to the same obligations with respect to such Alternative Financing as set forth in this Agreement with respect to the Debt Financing. In the event that Alternative Financing is obtained, Purchaser shall promptly provide Seller with a copy of the new financing commitment that provides for such Alternative Financing (the “Alternative Financing Commitment Letter”). If applicable, any reference in this Agreement to “Debt Financing” shall include “Alternative Financing”, any reference to “Debt Commitment Letter” shall include the “Alternative Financing Commitment Letter” and any references to “Debt Financing Documents” shall include the definitive documentation relating to any such Alternative Financing.
(c) From the date hereof and ending at the earlier of (i) the Closing Date and (ii) termination of this Agreement pursuant toSection 9.1, Seller shall cooperate and cause its officers, employees and advisors, including legal and accounting, to provide to Purchaser, at Purchaser’s sole expense, such reasonable cooperation in connection with the arrangement of the Debt Financing as may be reasonably requested by Purchaser; provided that Seller shall not be required to provide cooperation under thisSection 6.10(c) that: (w) unreasonably interferes with the ongoing business of Seller or the Company; (x) causes any representation or warranty in this Agreement to be breached; (y) causes any closing condition set forth inArticle VII to fail to be satisfied or otherwise causes the breach of this Agreement or any Contract to which Seller or the Company is a party; or (z) requires Seller or any of its directors, officers, managers or employees to execute, deliver or enter into, or perform any agreement, document or instrument, including any Debt Financing Document, with respect to the Debt Financing that is not contingent upon the Closing or that would be effective prior to the Closing and the directors and managers of Seller shall not be required to adopt resolutions approving the agreements, documents and instruments pursuant to which the Debt Financing is obtained, in each case which are effective prior to the Closing. In no event shall Seller be in breach of this Agreement because of the failure to deliver any financial or other information that is not currently readily available to Seller on the date hereof or is not otherwise prepared in the ordinary course of business of Seller at the time requested by Purchaser or for the failure to obtain review of any financial or other information by its accountants.
(d) In no event shall Seller be required to pay any commitment or similar fee or incur any Liability (including due to any act or omission by Seller or its respective agents, other than acts or omissions constituting gross negligence or willful misconduct) or expense in connection with assisting Purchaser in arranging the Debt Financing or as a result of any information provided by Seller or any of its Affiliates or agents in connection therewith. Purchaser shall, from and after the Closing or promptly after the termination of this Agreement pursuant toSection 9.1, (i) promptly upon request by Seller reimburse Seller for all documentedout-of-pocket costs incurred in good faith by Seller in connection with such cooperation and (ii) indemnify and hold harmless Seller, and its Affiliates and agents from and against any and all Liabilities, Losses, damages, claims, costs, expenses, interest, awards, judgments and penalties suffered or incurred by them in connection with the arrangement of the Debt Financing or providing any of the information utilized in connection therewith, except to the extent of any of such Persons’ gross negligence or willful misconduct.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-37-
(e) To the extent that thisSection 6.10 requires Seller’s cooperation with respect to any of Purchaser’s obligations under the Debt Commitment Letter or relating to the Debt Financing, Seller shall be deemed to have complied with thisSection 6.10 for purposes ofArticle VII of this Agreement if Seller has provided Purchaser with the assistance required under thisSection 6.10 with respect to the Debt Commitment Letter and the Debt Financing. Notwithstanding anything to the contrary, the condition set forth inSection 7.2(a), as it applies to Seller’s obligations under thisSection 6.10, shall be deemed satisfied unless the Debt Financing has not been obtained primarily as a direct result of Seller’s breach of its obligations under thisSection 6.10.
6.11 Aged Accounts Receivable Credit. If, at any time within the ninety(90)-day period following the Closing, any Aged Accounts Receivable are paid to Purchaser or its Affiliates, including the Company, upon receipt of any such payments following the Closing, Purchaser and its Affiliates, including the Company, shall promptly, but in no event more than ten (10) Business Days following their receipt thereof, pay such amounts (net of their collection costs associated therewith) to Seller or Seller’s designee by wire transfer of immediately available funds as directed by Seller.
6.12 Efforts to Collect and Reporting. Following the Closing Date and for a period of ninety (90) days thereafter, Purchaser and its Affiliates, including the Company, shall use commercially reasonable efforts to collect any Aged Accounts Receivable and Purchaser and its Affiliates, including the Company, shall not forgive the payment of any such amounts, or modify the terms of payment with respect thereto, without Seller’s prior written consent. Purchaser shall, and shall cause its Affiliates, including the Company, to provide Seller, for a period of one hundred eighty (180) days following the Closing Date, with such access to its or their books and records and with such other information and cooperation as shall be reasonably requested by Seller in connection with Purchaser’s obligations underSection 6.11, and thisSection 6.12;provided, however, that no such cooperation or access shall unreasonably interfere with Purchaser and its Affiliates operation of its and their businesses.
6.13 Payment to Wrong Party Following Closing. If following the Closing, either (a) Seller receives amounts that should have been paid to the Company directly for periods following the Closing or (b) the Company receives amounts that should have been allocated or paid to Seller for periods prior the Closing (each, a “Misdirected Payment”), then the party receiving a Misdirected Payment shall promptly, but in no event more than five (5) Business Days following their receipt thereof, pay such amounts (net of their collection costs associated therewith) by wire transfer of immediately available funds to the correct party who should have received the payment directly from the Third Party in the first instance according to payment instructions from such party.
6.14 Transfer of Domain Name Registrations. Purchaser acknowledges that certain domain name registrations used in connection with the Business may be registered in the name of Seller or an Affiliate of Seller and that Seller shall assign such domain name registrations to the Company prior to the Closing; unless the Company may not contractually or
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-38-
lawfully take possession of such domain name registrations, in which case the parties shall use commercially reasonable efforts to assign such domain name registrations to either Purchaser or a different Affiliate of Purchaser. If Purchaser, the Company and Purchaser’s other Affiliates cannot lawfully or contractually take possession of certain domain name registrations used in connection with the Business, Purchaser and Seller shall use their respective commercially reasonable efforts to cooperate in a mutually agreeable arrangement under which Purchaser or its Affiliates would obtain the benefits and assume the obligations associated with possession of such domain name registrations.
ARTICLE VII
CONDITIONS PRECEDENT
7.1 Conditions to the Obligations of Each Party. The respective obligations of Purchaser and Seller to consummate and cause the consummation of the Purchase are subject to the satisfaction or waiver in writing by Seller and Purchaser at or before the Closing Date of each of the following conditions:
(a) Injunctions; Illegality. No Governmental Entity shall have issued, enacted, entered, promulgated or enforced any Law or Order (that is final andnon-appealable and that has not been vacated, withdrawn or overturned) restraining, enjoining or otherwise prohibiting the transactions contemplated by this Agreement.
(b) HSR Act. Any waiting periods under the HSR Act with respect to the transactions contemplated by this Agreement shall have expired.
(c) Consents. Seller shall have received executed copies of the consents or waivers set forth onSection 7.1(c) of the Seller Disclosure Letter, which in each case shall be sufficient to permit the consummation of the Purchase.
(d) Consummation of the Peanuts Transaction. The Peanuts Closing (as defined in the Peanuts Transaction Agreement) shall occur substantially simultaneously with the Closing.
7.2 Conditions to the Obligations of Purchaser. The obligations of Purchaser to consummate and cause the consummation of the Purchase are subject to the satisfaction or waiver by Purchaser on or prior to the Closing Date of the following further conditions:
(a) Performance. All of the agreements and covenants of Seller to be performed prior to the Closing pursuant to this Agreement shall have been duly performed in all material respects.
(b) Representations and Warranties. The representations and warranties of Seller contained inArticle IV, taken as a whole, shall be true and correct (without giving effect to any “material”, “materially”, “materiality”, “Material Adverse Effect”, “material adverse effect”, “material adverse change” or similar qualifiers contained in any of such representations or warranties) in all material respects as of the Closing Date (or if such representations or warranties are made as of a specified date, as of such specified date) as if made at and as of such date.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-39-
(c) Closing Deliverables. Seller shall have delivered or caused to be delivered to Purchaser the items set forth inSection 2.2(b).
7.3 Conditions to the Obligations of Seller. The obligations of Seller to consummate and cause the consummation of the Purchase are subject to the satisfaction or waiver by Seller, on or prior to the Closing Date, of the following further conditions:
(a) Performance. All of the agreements and covenants of Purchaser to be performed prior to the Closing pursuant to this Agreement shall have been duly performed in all material respects.
(b) Representations and Warranties. The representations and warranties of Purchaser contained inArticle V, taken as a whole, shall be true and correct in all material respects at and as of the Closing Date (or if such representations or warranties are made as of a specified date, as of such specified date) as if made at and as of such date.
(c) Closing Deliverables. Purchaser shall have delivered or caused to be delivered to Seller the items set forth inSection 2.2(c).
7.4 Frustration of Closing Conditions. Neither Purchaser nor Seller may rely on the failure of any condition set forth in thisArticle VII to be satisfied if such failure were caused by such party’s failure to act in good faith or such party’s failure to comply withSection 6.3.
ARTICLE VIII
INDEMNIFICATION; REMEDIES
8.1 General Indemnification by Seller. Following the Closing, and subject to the provisions of thisArticle VIII, Seller shall indemnify and hold harmless Purchaser and its Representatives and Affiliates (including the Company after Closing) (collectively, the “PurchaserIndemnified Persons”) for, and shall pay to the Purchaser Indemnified Persons the amount of, any loss, liability, claim, damage, cost, penalty, fine, judgment, expense (including reasonableout-of-pocket attorneys’ fees), whether or not involving a Third Party claim (collectively, “Damages”), arising out of or resulting from: (a) any breach of any representation or warranty made by Seller in this Agreement; and (b) any breach by Seller of any covenant or obligation of Seller in this Agreement. Seller has not given any representations or warranties with respect to terminations of grants of Copyrights pursuant to 17 U.S.C. Section 203 or Section 304, or the exercise of any rights thereunder, by any Person. Seller shall have no liability with respect to claims for Damages or indemnification by any Purchaser Indemnified Persons concerning any such rights, or the exercise thereof, under 17 U.S.C. Section 203 or Section 304.
8.2 Tax Indemnification by Seller. After Closing, Seller shall indemnify the Purchaser Indemnified Persons, and hold them harmless from and against (a) all Taxes (or thenon-payment thereof) of the Company for thePre-Closing Period and (b) any and all Taxes of
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-40-
any member of an affiliated, consolidated, combined, or unitary group of which the Company is or was a member during thePre-Closing Period, including pursuant to IRS regulation§1.1502-6 or any analogous or similar state, local ornon-U.S. law or regulation.
8.3 Indemnification by Purchaser. Following the Closing, Purchaser shall indemnify and hold harmless Seller and its Representatives and Affiliates (including the Company prior to Closing) (collectively, the “Seller Indemnified Persons”) for, and shall pay to the Seller Indemnified Persons the amount of any Damages arising out of or resulting from (a) any breach of any representation or warranty made by Purchaser in this Agreement, or (b) any breach by Purchaser of any covenant or obligation of Purchaser in this Agreement.
8.4 Time Limitations. Seller will not be liable (for indemnification or otherwise) with respect to any representation or warranty, or covenant or obligation to be performed and complied with prior to the Closing Date, other than those inSections 4.1,4.2(a),4.3,4.4 and4.12 (the “Fundamental Reps”), orSections 4.7,4.13 or4.19 (the “Designated Reps”), unless on or before [***], Purchaser notifies Seller in writing of a claim. A claim with respect to the Fundamental Reps may be made by Purchaser at any time [***]. A claim with respect to the Designated Reps may be made by Purchaser at any time [***]. If the Closing occurs, Purchaser will not be liable (for indemnification or otherwise) with respect to any representation or warranty, or covenant or obligation to be performed and complied with prior to the Closing Date, unless, [***], Seller notifies Purchaser in writing of a claim. All claims shall specify the factual basis of that claim in reasonable detail to the extent then known by such party initiating the claim. Each of the covenants and agreements of the Seller set forth in this Agreement shall expire on the Closing Date;provided that the covenants and agreements contained herein requiring performance after the Closing Date shall survive in accordance with their terms.
8.5 Limitations on Amount.
(a) In no event shall either party have the right to loss of profits or consequential, incidental, special or punitive damages of any kind whatsoever.
(b) Seller shall have no liability with respect to claims for indemnification by the Purchaser Indemnified Persons, and Purchaser shall have no liability with respect to claims for indemnification by the Seller Indemnified Persons, until (and only to the extent that) the total of all Damages with respect to claims for indemnification under this Agreement and/or under the Peanuts Transaction Agreement, in the aggregate, exceed an amount equal to [***] (the “Basket”), which amount shall be treated as a deductible for purposes of thisArticle VIII.
(c) In no event shall the Purchaser Indemnified Persons or Seller Indemnified Persons, as the case may be, be entitled to recover Damages from the other in excess of an amount equal to twenty five million dollars ($25,000,000) in the aggregate with respect to claims for indemnification under this Agreement and/or under the Peanuts Transaction Agreement (the “Cap”),provided that the Cap shall be reduced from time to time to reflect payments for indemnification for which the Cap applies.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-41-
(d) The Purchaser Indemnified Persons’ right to indemnification shall be reduced to the extent that the subject matter of any claim is covered by and payable pursuant to any insurance policy, warranty or indemnification from a Third Party.
(e) No party hereto shall be obligated to indemnify any other Person with respect to (i) any representation, warranty, covenant or condition specifically waived in writing by the other party on or prior to the Closing, or (ii) any Damages with respect to any matter if and to the extent such matter was included in the calculation of the Working Capital Adjustment pursuant toSection 3.2.
(f) Subject toSection 10.10, and except with respect to any claim for fraud, the remedies provided in thisArticle VIII shall be exclusive and shall preclude other remedies that may be available to Seller, Purchaser, the Seller Indemnified Persons or the Purchaser Indemnified Persons.
(g) Notwithstanding anything in thisSection 8.5 to the contrary, neither the Basket nor the Cap shall apply to Damages arising out of or related to (i) breaches by Seller of any Fundamental Rep, (ii) matters covered bySections 8.1(b),Section 8.2 orSection 8.3(b), or (iii) actual fraud;provided,however, that in no event shall the Purchaser Indemnified Persons be entitled to recover Damages from Seller with respect to the matters described in the immediately preceding clauses (i) and (ii) in an aggregate amount, together with all other claims for Damages paid or payable under thisArticle VIII, in excess of the Purchase Price.
8.6 Procedure for Indemnification — Third Party Claims.
(a) Promptly after receipt by a party indemnified underSection 8.1,8.2 or8.3 of notice of the commencement of any Proceeding against it, by a Third Party, any indemnified party will, if a claim is to be made against an indemnifying party under such Section, give written notice to the indemnifying party of the commencement of such claim, but the failure to notify the indemnifying party will not relieve the indemnifying party of any liability that it may have to any indemnified party, except to the extent that the indemnifying party demonstrates that the defense of such action is prejudiced by the indemnified party’s failure to give such notice.
(b) If any Proceeding referred to inSection 8.6(a) is brought against an indemnified party and it gives written notice to the indemnifying party of the commencement of such Proceeding, the indemnifying party may elect to assume the defense of such Proceeding with counsel reasonably satisfactory to the indemnified party (unless the indemnifying party is also a party to such Proceeding and the indemnified party determines in good faith that joint representation would be inappropriate under applicable standards of legal ethics) and, after written notice from the indemnifying party to the indemnified party of its election to assume the defense of such Proceeding, the indemnifying party shall not, as long as it diligently conducts such defense, be liable to the indemnified party under thisArticle VIII for any fees of other counsel or any other expenses with respect to the defense of
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-42-
such Proceeding, in each case subsequently incurred by the indemnified party in connection with the defense of such Proceeding. If the indemnifying party assumes the defense of a Proceeding, no compromise or settlement of such claims may be effected by the indemnifying party without the indemnified party’s consent (which consent shall not be unreasonably withheld, conditioned or delayed) unless (i) the compromise or settlement does not involve any statement, finding or admission of any fault of, breach of Contract by, or violation of Law by, the indemnified party, and (ii) the sole relief provided is monetary damages that are paid in full by the indemnifying party. If written notice is given to an indemnifying party of the commencement of any Proceeding and the indemnifying party does not, within thirty (30) days after the indemnified party’s notice is given, give written notice to the indemnified party of its election to assume the defense of such Proceeding, the indemnified party may assume control of the defense of such Proceeding with counsel of its own choosing, at the cost of the indemnifying party, and the indemnifying party will be bound by any determination made in such Proceeding or any compromise or settlement effected by the indemnified party. ThisSection 8.6 shall not apply to Tax Contests, which shall be governed bySection 6.7(b).
(c) Each party shall make available to the other all records and other materials reasonably required to contest any claim and shall cooperate fully with the other in the defense of all such claims. Information disclosed by one party to the other shall be kept confidential.
8.7 Adjustment to Purchase Price. The parties agree that any indemnification payment made pursuant to this Agreement shall be treated as an adjustment to the Purchase Price for Tax purposes, unless a Final Determination with respect to the indemnitee or any of its Affiliates causes any such payment not to be treated as an adjustment to the Purchase Price for federal income Tax purposes. For the purposes of this Agreement, “Final Determination” shall mean (a) with respect to federal income Taxes, a “determination” as defined in Section 1313(a) of the Code or execution of an IRS Form870-AD and, (b) with respect to Taxes other than federal income Taxes, any final determination of liability in respect of a Tax that, under applicable Law, is not subject to further appeal, review or modification through a Proceeding or otherwise (including the expiration of a statute of limitations or a period for the filing of claims for refunds, amended Tax Returns or appeals from adverse determinations).
8.8 Damages. For purposes of determining the amount only of any Damages in connection with thisArticle VIII, all representations and warranties made by Seller or Purchaser that are qualified by “material,” “Material Adverse Change” or “Material Adverse Effect” shall be deemed to be not so qualified.
ARTICLE IX
TERMINATION
9.1 Termination Events. This Agreement may be terminated and the Purchase may be abandoned, at any time prior to the Closing:
(a) by mutual written consent of Seller and Purchaser;
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-43-
(b) by either Seller or Purchaser, if:
(i) any court or other Governmental Entity shall have issued, enacted, entered, promulgated or enforced any Law or Order (that is final andnon-appealable and that has not been vacated, withdrawn or overturned) restraining, enjoining or otherwise prohibiting the transactions contemplated by this Agreement;provided, that the party seeking to terminate pursuant to thisSection 9.1(b)(i) shall have complied with its obligations, if any, underSection 6.3; or
(ii) the Closing Date shall not have occurred on or prior to the date that is ninety (90) days from the date of this Agreement (the “End Date”);provided, that neither party may terminate this Agreement pursuant to thisSection 9.1(b)(ii) if such party is in material breach of this Agreement;
(c) by Seller, if: (i) any of the representations and warranties of Purchaser contained inArticle V shall fail to be true and correct or (ii) there shall be a breach by Purchaser of any covenant or agreement of Purchaser in this Agreement that, in either case, (x) would result in the failure of a condition set forth inSection 7.3(a),Section 7.3(b), orSection 7.1(d) and (y) which is not curable or, if curable, is not cured upon the occurrence of the earlier of (1) the 30th day after written notice thereof is given by Seller to Purchaser and (2) the day that is five (5) Business Days prior to the End Date;provided, that Seller may not terminate this Agreement pursuant to thisSection 9.1(c) if Seller is in material breach of this Agreement; or
(d) by Purchaser, if: (i) any of the representations and warranties of Seller contained inArticle IV shall fail to be true and correct or (ii) there shall be a breach by Seller of any covenant or agreement of Seller in this Agreement that, in either case, (x) would result in the failure of a condition set forth inSection 7.2(a),Section 7.2(b), orSection 7.1(d) and (y) which is not curable or, if curable, is not cured upon the occurrence of the earlier of (1) the 30th day after written notice thereof is given by Purchaser to Seller and (2) the day that is five Business Days prior to the End Date;provided, that Purchaser may not terminate this Agreement pursuant to thisSection 9.1(d) if Purchaser is in material breach of this Agreement.
9.2 Effect of Termination. In the event of the termination of this Agreement pursuant toSection 9.1 by Purchaser, on the one hand, or Seller, on the other hand, written notice thereof shall forthwith be given to the other party specifying the provision hereof pursuant to which such termination is made, and this Agreement shall be terminated and become void and have no effect and there shall be no Liability hereunder on the part of Seller or Purchaser, except that thisArticle IX (Termination) andArticle X (Miscellaneous) shall survive any termination of this Agreement. Nothing in thisSection 9.2 shall relieve or release any party to this Agreement of any Liability or damages (which the parties hereto acknowledge and agree shall not be limited to reimbursement of expenses orout-of-pocket costs, and may include to the extent proven the benefit of the bargain lost (taking into consideration relevant matters, including other combination opportunities and the time value of money) arising out of such party’s material breach of any provision of this Agreement).
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-44-
9.3 No Recourse to Debt Financing Source. Notwithstanding anything herein to the contrary and subject to and without derogation of the rights of Purchaser and its Subsidiaries, Affiliates or Representatives under the Debt Commitment Letter (or Alternative Financing Commitment Letter, as applicable), or any Debt Financing Document, Seller and Iconix agree, on behalf of themselves and each of their former, current or future officers, directors, managers, employees, members, partners, stockholders, agents and other representatives and Affiliates (the “Applicable Parties”), that the Debt Financing Source and each of its respective former, current or future general or limited partners, stockholders, managers, members, agents, representatives and Affiliates and each of its successors and assigns, shall be subject to no liability or claims to the Applicable Parties in connection with financing any portion of the Debt Financing or Alternative Financing or in any way relating to this Agreement, any of the transactions contemplated hereby, the Debt Commitment Letter or the Debt Financing (or any Alternative Financing Commitment Letter or Alternative Financing, as applicable), whether at law, in equity, in contract, in tort or otherwise, and hereby waives any rights or claims and agrees not to commence any proceedings against such Persons in connection with this Agreement, any of the transactions contemplated hereby, the Debt Commitment Letter or the Debt Financing (or any Alternative Financing Commitment Letter or Alternative Financing, as applicable) and the Debt Financing Source, solely in their respective capacities as lenders or arrangers, shall not have any rights or claims against any Applicable Parties in connection with this Agreement, any of the transactions contemplated hereby, the Debt Commitment Letter or the Debt Financing (or any Alternative Financing Commitment Letter or Alternative Financing, as applicable). Nothing in this Section 9.3 shall in any way expand the circumstances in which Purchaser may be liable under this Agreement, any of the transactions contemplated hereby, the Debt Commitment Letter or the Debt Financing (or any Alternative Financing Commitment Letter or Alternative Financing, as applicable).
ARTICLE X
MISCELLANEOUS
10.1 Expenses. Except as otherwise provided in this Agreement, whether or not the Closing occurs, all costs and expenses incurred in connection with this Agreement and the transactions contemplated hereby will be paid by the party incurring such costs and expenses.
10.2 Extension; Waiver. Subject to the express limitations herein, the parties hereto may (a) extend the time for the performance of any of the obligations or other acts of the other party hereto, (b) waive any inaccuracies in the representations and warranties contained herein by the other party or in any document, certificate or writing delivered pursuant hereto by such other party or (c) waive compliance with any of the agreements or conditions contained herein. Any agreement on the part of any party to any such extension or waiver shall be valid only if set forth in an instrument in writing signed by or on behalf of such party. No failure or delay on the part of any party hereto in the exercise of any right hereunder shall impair such right or be construed as a waiver of, or acquiescence in, any breach of any representation, warranty, covenant or agreement herein, nor shall any single or partial exercise of any such right preclude other or further exercise thereof or of any other right.
10.3 Notices. Except as otherwise provided herein, all notices, requests, claims, demands, waivers and other communications hereunder shall be in writing and shall be
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-45-
delivered by hand or overnight courier service, mailed by certified or registered mail or sent by telecopier, facsimile or email transmission (in the case of telecopier, facsimile or email transmission, with copies by overnight courier service or registered mail) to the respective parties as follows (or, in each case, as otherwise notified by any of the parties hereto) and shall be effective and deemed to have been given (i) immediately when sent by telecopier, facsimile or email between 9:00 A.M. and 6:00 P.M. (New York City time) on any Business Day (and when sent outside of such hours, at 9:00 A.M. (New York City time) on the next Business Day) and (ii) when received if delivered by hand or overnight courier service or certified or registered mail on any Business Day:
(a) If to Seller or Iconix, to:
c/o Iconix Brand Group, Inc.
1450 Broadway, 3rd Floor
New York, New York 10018
Attention: Jason Schaefer
Fax: (212)509-5150
email: jschaefer@iconixbrand.com
with a copy (which shall not constitute notice or service of process) to:
White & Case LLP
1221 Avenue of the Americas
New York, New York 10020
Attention: Nazim Zilkha
Daren Orzechowski
Fax: (212)354-8113
email: nzilkha@whitecase.com; dorzechowski@whitecase.com
(b) If to Purchaser or DHX, to:
DHX SSP Holdings LLC
c/o DHX Media Ltd.
1478 Queen Street
Halifax, Nova Scotia B3J 2H7
Attention: Mark Gosine
Fax: (902)422-0752
email: mark.gosine@dhxmedia.com
with a copy (which shall not constitute notice or service of process) to:
Bryan Cave LLP
120 Broadway, Suite 300
Santa Monica, CA 90401
Attention: David Andersen
Fax: (310)260-4161
email: dgandersen@bryancave.com
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-46-
Notices sent by multiple means, each of which is in compliance with the provisions of this Agreement will be deemed to have been received at the earliest time provided for by this Agreement.
10.4 Entire Agreement. This Agreement, together with the Exhibits hereto, the Seller Disclosure Letter and the Purchaser Disclosure Letter, contains the entire understanding of the parties hereto with respect to the subject matter contained herein and supersedes all prior agreements and understandings, oral and written, with respect thereto, other than the Confidentiality Agreement. ThisSection 10.4 shall not be deemed to be an admission or acknowledgement by any of the parties hereto that any prior agreements or understandings, oral or written, with respect to the subject matter hereof exist, other than the Confidentiality Agreement.
10.5 Binding Effect; Benefit; Assignment.
(a) This Agreement shall inure to the benefit of and be binding upon the parties hereto and their respective successors or assigns. Except with respect toSection 10.12, which shall inure to the benefit of the Releasees, all of whom are intended as express third-party beneficiaries thereof, and except as set forth inSection 10.5(b), no other Person not party to this Agreement shall be entitled to the benefits of this Agreement. Neither this Agreement nor any of the rights, interests or obligations hereunder shall be assigned by any of the parties hereto without the prior written consent of the other party.
(b) The Debt Financing Source shall be third-party beneficiary of the provisions set forth inSection 9.3,Section 10.5(a),Section 10.6,Section 10.8 andSection 10.11.
10.6 Amendment and Modification. This Agreement may not be amended except by a written instrument executed by all parties to this Agreement.Section 9.3,Section 10.5(a),Section 10.5(b),Section 10.8,Section 10.11 and thisSection 10.6 shall not be amended or otherwise modified in any way that adversely affects the rights of any Debt Financing Source without the prior written consent of the Debt Financing Source.
10.7 Counterparts. This Agreement may be executed in several counterparts, each of which shall be deemed to be an original, and all of which together shall be deemed to be one and the same instrument. Signed counterparts of this Agreement may be delivered by facsimile and by scanned .pdf image.
10.8 Applicable Law. THIS AGREEMENT AND THE LEGAL RELATIONS BETWEEN THE PARTIES HERETO SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH THE LAWS OF THE STATE OF NEW YORK WITHOUT REGARD TO THE CONFLICT OF LAWS RULES THEREOF. THE STATE OR FEDERAL COURTS LOCATED WITHIN NEW YORK COUNTY IN THE STATE OF NEW YORK SHALL HAVE EXCLUSIVE JURISDICTION OVER ANY AND ALL DISPUTES BETWEEN THE PARTIES HERETO, WHETHER IN LAW OR EQUITY, ARISING OUT OF OR RELATING TO THIS AGREEMENT AND THE AGREEMENTS, INSTRUMENTS AND DOCUMENTS CONTEMPLATED HEREBY AND THE PARTIES CONSENT TO AND AGREE TO
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-47-
SUBMIT TO THE EXCLUSIVE JURISDICTION OF SUCH COURTS. EACH OF THE PARTIES HERETO HEREBY WAIVES AND AGREES NOT TO ASSERT IN ANY SUCH DISPUTE, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY CLAIM THAT (A) SUCH PARTY IS NOT PERSONALLY SUBJECT TO THE JURISDICTION OF SUCH COURTS, (B) SUCH PARTY AND SUCH PARTY’S PROPERTY IS IMMUNE FROM ANY LEGAL PROCESS ISSUED BY SUCH COURTS OR (C) ANY LITIGATION OR OTHER PROCEEDING COMMENCED IN SUCH COURTS IS BROUGHT IN AN INCONVENIENT FORUM.
THE PARTIES HEREBY AGREE THAT MAILING OF PROCESS OR OTHER PAPERS IN CONNECTION WITH ANY SUCH ACTION OR PROCEEDING IN THE MANNER PROVIDED INSECTION 10.3, OR IN SUCH OTHER MANNER AS MAY BE PERMITTED BY LAW, SHALL BE VALID AND SUFFICIENT SERVICE THEREOF AND HEREBY WAIVE ANY OBJECTIONS TO SERVICE ACCOMPLISHED IN THE MANNER HEREIN PROVIDED.
10.9 Severability. If any term, provision, agreement, covenant or restriction of this Agreement is held by a court of competent jurisdiction or other authority to be invalid, void or unenforceable, the remainder of the terms, provisions, agreements, covenants and restrictions of this Agreement shall remain in full force and effect and shall in no way be affected, impaired or invalidated so long as the economic and legal substance of the transactions contemplated hereby are not affected in any manner materially adverse to any party hereto. Upon such a determination, the parties hereto shall negotiate in good faith to modify this Agreement so as to effect the original intent of the parties hereto as closely as possible in a reasonably acceptable manner in order that the transactions contemplated hereby may be consummated as originally contemplated to the fullest extent possible.
10.10 Specific Enforcement; Limitation on Damages. The parties agree that irreparable damage would occur if any of the provisions of this Agreement were not performed in accordance with their specific terms or were otherwise breached or threatened to be breached and that an award of money damages would be inadequate in such event. Accordingly, it is acknowledged that the parties and the third-party beneficiaries of this Agreement shall be entitled to equitable relief, without proof of actual damages, including an Order for specific performance to prevent breaches of this Agreement and to enforce specifically the terms and provisions of this Agreement (including any Order sought by the Company and/or Seller to cause Purchaser to perform its agreements and covenants contained in this Agreement), in addition to any other remedy to which they are entitled at law or in equity as a remedy for any such breach or threatened breach. Each party further agrees that neither the other party nor any other Person shall be required to obtain, furnish or post any bond or similar instrument in connection with or as a condition to obtaining any remedy referred to in thisSection 10.10, and each party hereto irrevocably waives any right it may have to require the obtaining, furnishing or posting of any such bond or similar instrument. Each party further agrees that the only permitted objection that it may raise in response to any action for equitable relief is that it contests the existence of a breach or threatened breach of this Agreement.
10.11 Waiver of Jury Trial. EACH OF THE PARTIES TO THIS AGREEMENT HEREBY IRREVOCABLY WAIVES, AND SHALL CAUSE ITS
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-48-
SUBSIDIARIES AND AFFILIATES TO WAIVE, ALL RIGHT TO A TRIAL BY JURY IN ANY ACTION, PROCEEDING OR COUNTERCLAIM ARISING OUT OF OR RELATING TO THIS AGREEMENT OR THE TRANSACTIONS CONTEMPLATED HEREBY.
10.12 Release. Effective as of the Closing Date, Purchaser, on behalf of itself and its equityholders, Subsidiaries, Affiliates, Representatives, direct and indirect parent companies, managers, officers and directors, and each of their respective successors and assigns (each a “Releasor”), hereby releases, acquits and forever discharges, to the fullest extent permitted by Law, Seller and its past, present and future equityholders, Subsidiaries, Affiliates, Representatives, direct and indirect parent companies, managers, officers and directors (each, a “Releasee”) of, from and against any and all actions, causes of action, claims, demands, damages, judgments, Liabilities, debts, dues and suits of every kind, nature and description whatsoever, arising out of Seller’s ownership of the Interests and operation of the Business, which such Releasor ever had, now has or may have on or by reason of any matter, cause or thing whatsoever on or prior to the Closing Date. Each Releasor agrees not to, and agrees to cause its respective equityholders, Subsidiaries, Affiliates and Representatives, and each of their respective successors and assigns, not to, assert any claim against the Releasees. Notwithstanding the foregoing, Purchaser does not release its rights and interests under this Agreement or the Confidentiality Agreement.
10.13 Rules of Construction. The parties hereto agree that they have been represented by counsel during the negotiation and execution of this Agreement and have participated jointly in the drafting of this Agreement and, therefore, waive the application of any Law, holding or rule of construction providing that ambiguities in an agreement or other document will be construed against the party drafting such agreement or document.
10.14 Headings. The headings contained in this Agreement are for reference purposes only and shall not affect in any way the meaning or interpretation of this Agreement.
[Remainder of Page Intentionally Left Blank]
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
-49-
IN WITNESS WHEREOF, Purchaser and Seller have caused this Agreement to be duly executed by their respective officers thereunto duly authorized, all as of the date first above written.
| | |
IBG BORROWER LLC |
| |
By: | | /s/ Jason Schaefer |
| | Name: Jason Schaefer |
| | Title: Vice President and Secretary |
|
DHX SSP HOLDINGS LLC |
| |
By: | | /s/ Dana Landry |
| | Name: Dana Landry |
| | Title: CEO |
| | |
Solely for Purposes of Section 3.3: |
|
DHX MEDIA LTD. |
| |
By: | | /s/ Dana Landry |
| | Name: Dana Landry |
| | Title: CEO |
|
Solely for Purposes of Section 3.4: |
|
ICONIX BRAND GROUP, INC. |
| |
By: | | /s/ John N. Haugh |
| | Name: John N. Haugh |
| | Title: President and CEO |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
Signature Page to Membership Interest Purchase Agreement
Exhibit A
Form of Release
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
RELEASE OF CLAIMS
This Release of Claims (this “Release”) is made and entered into as of [●], 2017 by and between IBG Borrower LLC, a Delaware limited liability (“Seller”), on the one hand, and DHX SSP Holdings LLC, a limited liability company organized under the Laws of the State of Delaware (“Purchaser”), on the other hand.
WHEREAS, Seller is a party to that certain Membership Interest Purchase Agreement, dated as of May 9, 2017, by and among Purchaser, Seller, and, solely for purposes ofSection 3.3 andSection 3.4 thereof, DHX Media Ltd. and Iconix Brand Group, Inc. respectively (the “Purchase Agreement”);
WHEREAS, this Release is being executed and delivered to Purchaser in connection with the Purchase Agreement in order to induce Purchaser to enter into the transactions contemplated thereby; and
WHEREAS, unless otherwise defined herein, capitalized terms shall have the meanings ascribed to them in the Purchase Agreement.
NOW, THEREFORE, in consideration of the covenants and obligations set forth herein, and other valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto agree as follows:
1. Release. Seller, for itself and on behalf of its members, managers, officers, directors, agents, representatives, successors, assigns and Affiliates (other than the Purchased Companies) (collectively, the “Releasing Parties”), hereby releases, remises and forever discharges the Company and its respective successors and assigns (the “Released Parties”) from any and all actions, causes of action, claims, demands, rights, suits, accountings, debts, dues, accounts, bonds, covenants, contracts, agreements, duties and obligations of any kind or nature, known or unknown, whether at law or in equity, by reason of any matter or thing that either Seller has, had or may have relating to the Business and arising out of facts and circumstances that existed on or prior to the date hereof against any of the Released Parties (collectively, “Claims”);provided, however, that this Release shall specifically exclude any Claims relating to or arising from the obligations of any of the Released Parties as set forth in the Purchase Agreement or any document or agreement to which any of the Released Parties are party and contemplated to be entered into pursuant to the Purchase Agreement or otherwise entered into in connection with the transactions contemplated by the Purchase Agreement.
2. Status of Claims. Seller represents and warrants that it has not assigned or transferred, or purported to assign or transfer to any Person, any right, title or interest in or to the Claims.
3. Binding on Successors. The benefits and burdens created by this Release shall inure to the benefit of, and shall be binding upon, the successors, assigns, representatives and beneficiaries of the parties hereto.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
A-2
4. Governing Law. This Release shall be governed in all respects by the laws of New York, without regard to conflicts of law principles.
5. Amendment and Waiver. Any amendment to or modification of this Release, or any waiver of any term or condition set forth herein, shall be effective only if in writing signed by each of the parties hereto. Except to the extent otherwise expressly set forth in writing, a waiver of any breach or failure to enforce any of the terms or conditions of this Release shall not in any way affect, limit or waive a party’s rights hereunder at any time to enforce strict compliance thereafter with every term or condition of this Release.
6. Severability. If any term or provision of this Release or the application thereof to any circumstance shall, in any jurisdiction, be invalid or unenforceable, such term or provision shall be ineffective as to such jurisdiction to the extent of such invalidity or unenforceability, without invalidating or rendering unenforceable (i) such term or provision in any other jurisdiction, (ii) the remaining terms and provisions of this Release or (iii) the application of such terms and provisions to circumstances other than those as to which such term or provision has been held invalid or unenforceable.
7. Counterparts. This Release may be executed in any number of counterparts, and each such counterpart hereof shall be deemed to be an original instrument, but all such counterparts together shall constitute but one agreement.
8. Purchase Agreement Controls. In the event that any term or condition contained herein conflicts with any term or condition contained in the Purchase Agreement, the terms and conditions contained in the Purchase Agreement shall prevail.
IN WITNESS WHEREOF, the parties have caused this Release to be duly executed as of the date first written above.
IBG BORROWER LLC
| | |
By: | | |
Print Name: | | |
Title: | | |
|
DHX SSP HOLDINGS LLC |
| |
By: | | |
Print Name: | | |
Title: | | |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
A-3
Exhibit B
Interests Assignment and Assumption Agreement
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
ASSIGNMENT AND ASSUMPTION AGREEMENT
ThisASSIGNMENT AND ASSUMPTION AGREEMENT (this “Agreement”) is dated as of [•], 2017 (the “Effective Date”), by and between IBG Borrower, a limited liability company organized under the Laws of the State of Delaware (“Seller”) and DHX SSP Holdings LLC, a limited liability company organized under the Laws of the State of Delaware (“Purchaser”).
RECITALS
WHEREAS, Seller, Purchaser and, solely for purposes of certain provisions specified therein, Iconix Brand Group, Inc. and DHX Media Ltd., are parties to that certain Membership Interest Purchase Agreement, dated as of May 9, 2017 (the “Purchase Agreement”);
WHEREAS, under the Purchase Agreement, Seller has agreed to sell, assign, convey, transfer and deliver all of Seller’s right, title and interest, obligation, acknowledgement, Liabilities, duties and burdens under and with respect to the Interests to Purchaser, and Purchaser has agreed to accept and assume from Seller all of Seller’s right, title and interest, obligation, acknowledgement, Liabilities, duties and burdens under and with respect to the Interests;
WHEREAS, Purchaser has agreed to succeed Seller to the rights, benefits and obligations as a member of Shortcake IP Holdings LLC (“Company”); and
WHEREAS, each of Seller and Purchaser must deliver this Agreement as a condition to Closing pursuant to the Purchase Agreement.
NOW, THEREFORE, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereby agree as follows:
1. Capitalized Terms. Capitalized terms used herein without definition shall have the meanings given to such terms in the Purchase Agreement.
2. Assignment. Seller does hereby assign, transfer, convey, and deliver to Purchaser, effective as of the Closing, all of Seller’s right, title, benefit, privilege and interest, obligation, acknowledgement, Liabilities, duties and burdens in, under and to the Interests.
3. Assumption. As of the Closing, Purchaser accepts the assignment set forth inSection 2 and assumes and agrees to be bound by Seller’s obligations, Liabilities, duties and burdens (i) with respect to the Interests and (ii) as a member of the Company.
4. Release of Seller. The parties hereto acknowledge and agree that (a) except as provided in the Purchase Agreement or in any document or agreement executed in connection therewith, the assignment by Seller inSection 2 is made without recourse, representation or warranty of any kind by Seller, and (b) on and as of the Closing, Seller shall have no further obligation, Liability, duty or burden in respect of the Interests or as a member of the Company.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
B-2
5. Conflicts with Purchase Agreement. This Agreement shall be subject in all respects to the Purchase Agreement and shall be construed so as to carry out the intentions of the parties thereto as expressed in the Purchase Agreement. In the event of a conflict between the terms and conditions of this Agreement and the terms and conditions of the Purchase Agreement, the terms and conditions of the Purchase Agreement shall govern.
6. Miscellaneous. Article X of the Purchase Agreement is hereby incorporated hereinmutatis mutandis by this reference;provided that references to “this Agreement,” “hereto,” “hereunder,” and similar references in such sections of the Purchase Agreement shall pertain to this Agreement.
[Remainder of page intentionally blank; signature page follows]
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
B-3
IN WITNESS WHEREOF, the parties have caused this Agreement to be executed by their duly authorized representatives.
| | |
IBG BORROWER LLC |
| |
By: | | |
| | Name: |
| | Title: |
|
DHX SSP HOLDINGS LLC |
| |
By: | | |
| | Name: |
| | Title: |
Signature Page to Assignment and Assumption Agreement
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
B-4
SELLER DISCLOSURE LETTER
TO THE
MEMBERSHIP INTEREST PURCHASE AGREEMENT
BY AND AMONG
IBG BORROWER LLC,
ICONIX BRAND GROUP, INC.
DHX MEDIA LTD.
AND
DHX SSP HOLDINGS LLC
DATED MAY 9, 2017
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
This document constitutes the Seller Disclosure Letter (the “Seller Disclosures”) referenced in the Membership Interest Purchase Agreement (the “Agreement”), dated May 9, 2017, by and among IBG Borrower LLC, a limited liability company organized under the Laws of Delaware (“Seller”), and solely for purposes of Section 3.4 of the Agreement, Iconix Brand Group, Inc. a corporation organized under the laws of the State of Delaware, on the one hand, and DHX SSP Holdings LLC, a limited liability company organized under the Laws of Delaware (“Purchaser”), and solely for the purposes of Section 3.3 of the Agreement, DHX Media Ltd. a corporation organized under the Laws of Canada (“DHX”), on the other hand. Capitalized terms used herein and not otherwise defined shall have the respective meanings ascribed to such terms in the Agreement.
Matters reflected in the Seller Disclosures are not necessarily limited to matters required by the Agreement to be reflected in the Seller Disclosures. The Seller may, at its option, include in the Seller Disclosures items that are not material in order to avoid any misunderstanding, and such inclusion shall not be deemed to be an acknowledgment or representation that such items are material, to establish any standard of materiality or to define further the meaning of such terms for purposes of the Agreement, the Seller Disclosures or otherwise. To the extent any such additional matters are included, they are included for informational purposes and do not necessarily include other matters of a similar nature. In no event shall any disclosure of additional matters be deemed or interpreted to broaden or otherwise amend any of the covenants or representations or warranties in the Agreement. The disclosure of any matter or item in the Seller Disclosures shall not be deemed to constitute an acknowledgment that such matter or item is material to a representation or warranty set forth in the Agreement and shall not be used as a basis for interpreting the terms “material,” “materially” or “materiality” or any word or phrase of similar import, and does not mean that such matter or item would, alone or together with any other matter or item, reasonably be expected to be material. Headings and subheadings have been inserted in the Seller Disclosures for convenience of reference only and shall to no extent have the effect of amending or changing the express description thereof as set forth in the Agreement, or modifying any of the representations and warranties contained in the Agreement or any of the qualifications or exceptions set forth in the Agreement relating to such representations and warranties, including, without limitation, any qualifications based on knowledge. All references to “Sections” in the Seller Disclosures shall be deemed to refer to the provisions of the Agreement, unless the context requires otherwise. Disclosure of any fact or item in any Schedule referenced by a particular Section in the Agreement shall be deemed to have been disclosed with respect to every other Section in the Agreement to the extent that it is reasonably apparent from the face of such disclosure that such disclosure would apply to such other Sections.
The specification of any dollar amount or the inclusion of any item in the Seller Disclosures is not intended to imply that the amounts, or higher or lower amounts, or the items so included, or other items, are or are not required to be disclosed (including whether such amounts or items are required to be disclosed as material or threatened) or are within or outside of the ordinary course of business, and no party to the Agreement shall use the fact of the setting of the amounts or the fact of the inclusion of any item in the Seller Disclosures in any dispute or controversy between the parties as to whether any obligation, item or matter not described or included in the Seller Disclosures is or is not required to be disclosed (including whether the amount or items are required to be disclosed as material or threatened) or is within or outside of the ordinary course of business for purposes of the Seller Disclosures and the Agreement.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
2
The information contained in the Seller Disclosures is disclosed solely for purposes of the Agreement, and no information contained herein or therein shall be deemed to be an admission by any party to the Agreement to any third party of any matter whatsoever (including any violation of any Law or Order or breach of contract). The parties to the Agreement do not assume any responsibility to any Person that is not a party to the Agreement for the accuracy of any information set forth in the Seller Disclosures. The information set forth in the Seller Disclosures was not prepared or disclosed with a view to its potential disclosure to others. Subject to applicable Law, such information is disclosed in confidence for the purposes contemplated in the Agreement and is subject to the confidentiality provisions of the Confidentiality Agreement. Moreover, in disclosing the information in the Seller Disclosures, each party to the Agreement expressly does not waive any attorney-client privilege associated with such information or any protection afforded by the work-product doctrine with respect to any of the matters disclosed or discussed herein.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
3
Section 1.1(b)
Permitted Liens
[***]
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
4
Section 1.5
Knowledge
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
5
Article IV
Representation and Warranties of Seller
Section 4.2(b)
Noncontravention; Consents and Approvals
The following agreement requires notice of a change of control:
[***]
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
6
Section 4.3
Title to Interests
None.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
7
Section 4.4(a)
Company
None.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
8
Section 4.4(b)
Capitalization
| | | | | | |
Entity | | Parent(s) | | Number of Shares/Units Owned by Parent(s) | | Total Shares Outstanding |
Shortcake IP Holdings LLC | | IBG Borrower LLC | | 100% | | N/A |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
9
Section 4.5(a)
Financial Statements
[***]
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
10
Section 4.5(c)
Undisclosed Liabilities
None.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
11
Section 4.6
Consents and Approvals (Governmental)
None.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
12
Section 4.7
Title toNon-IP Assets
See Section 4.19.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
13
Section 4.9(a)
Litigation and Other Proceedings
None.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
14
Section 4.9(b)
Litigation and Other Proceedings: Obligation to Indemnify
None.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
15
Section 4.9(c)
Orders
None.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
16
Section 4.10
Absence of Certain Changes and Events
None.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
17
Section 4.11(a)
Material Contracts: List
Section 4.11(a)(i)
[***]
Section 4.11(a)(ii)
| | | | |
Agent | | Agreement or Amendment | | Date |
| | |
[***] | | Agreement, Amendment A, Amendment B, Amendment C | | 1-1-15,10-1-15,1-1-16,1-1-17 |
[***] | | Agreement | | 2-16-17 |
[***] | | Agreement, Amendment A, Amendment B6 | | 5-1-12,1-1-15,10-1-15 |
[***] | | Agreement, Amendment A | | 1-1-16,4-11-17 |
[***] | | Agreement, Amendment A | | 1-1-16,3-30-17 |
[***] | | Agreement, Amendment A | | 1-1-16,3-30-17 |
[***] | | Agreement, Amendment A | | 1-1-16,3-9-16 |
[***] | | Agreement, Amendment A, Amendment B, Amendment C | | 1-1-13,10-1-15,1-1-16,2-7-17 |
[***] | | Agreement, Amendment A, Amendment B | | 7-12-13,7-1-14,10-1-15 |
[***] | | Agreement, Amendment A | | 1-1-16,9-29-16 |
[***] | | Agreement | | 1-1-16 |
[***] | | Agreement | | 7-27-2016 |
[***] | | Agreement | | 1-1-16 |
Section 4.11(a)(iii)
None.
Section 4.11(a)(iv)
None.
Section 4.11(a)(v)
None.
Section 4.11(a)(vi)
None.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
18
Section 4.11(a)(vii)
[***]
Co-Production Agreement, dated as of March 15, 2016, between [***].
Consolidated, Amended, and Restated Interactive App Development Licensing and Distribution Agreement, dated as of September 1, 2016, between [***].
Acquisition Agreement between [***]
License Agreement, dated as of March 1, 2015, between [***]
Section 4.11(a)(viii)
Relevant amendments included in the applicable sections listed above.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
19
Section 4.11(b)
Material Contracts: Force and Effect
None.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
20
Section 4.11(c)
Material Contracts: Compliance
Section 4.11(c)(i)
None.
Section 4.11(c)(ii)
None.
Section 4.11(c)(iii)
None.
Section 4.11(c)(iv)
None.
Section 4.11(c)(v)
None.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
21
Section 4.12(d)
Tax Matters
[***].
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
22
Section 4.13(a)
Intellectual Property: Trademarks
See attached list of Trademarks.
Domain Names:
| | | | | | |
Domain Name | | Country | | Registration Date | | Registrant Organization |
| | | |
charlotte-aux-fraises.fr | | France | | 15-Dec-2008 | | Corporation Service Company France* |
charlotteauxfraises.com | | gTLD | | 05-Feb-2010 | | Shortcake IP Holdings LLC |
charlotteauxfraises.fr | | France | | 15-Dec-2008 | | Corporation Service Company France* |
emilyerdbeer.com | | gTLD | | 11-Jun-2009 | | Shortcake IP Holdings LLC |
emilyerdbeer.de.com | | Alternate Extension | | 11-Jun-2009 | | Shortcake IP Holdings LLC |
fragolina-dolce-cuore.it | | Italy | | 10-Nov-2014 | | Corporation Service Company France* |
fragolinadelcuore.it | | Italy | | 17-Apr-2014 | | Corporation Service Company France* |
fragolinadolcecuore.it | | Italy | | 10-Nov-2014 | | Corporation Service Company France |
fraisifanclub.com | | gTLD | | 04-Jul-2010 | | Shortcake IP Holdings LLC |
fraisinette.ca | | Canada | | 05-Jun-2007 | | Shortcake IP Holdings LLC |
fresita.com.co | | Colombia | | 29-Jul-2010 | | Shortcake IP Holdings LLC |
frutillita.cl | | Chile | | 21-Jun-2010 | | Shortcake IP Holdings LLC |
frutillita.com.ar | | Argentina | | 14-Mar-2014 | | Corporation Service Company* |
frutillita.com.py | | Paraguay | | 23-Jun-2016 | | Shortcake IP Holdings LLC |
moranguinho.br.com | | Alternate Extension | | 11-Jun-2009 | | Shortcake IP Holdings LLC |
moranguinho.com.br | | Brazil | | 05-Mar-2014 | | Corporation Service Company* |
officialstrawberryshortcake.com | | gTLD | | 18-Aug-2009 | | Shortcake IP Holdings LLC |
officialstrawberryshortcake.net | | gTLD | | 18-Aug-2009 | | Shortcake IP Holdings LLC |
officialstrawberryshortcake.org | | gTLD | | 18-Aug-2009 | | Shortcake IP Holdings LLC |
portalmoranguinho.com.br | | Brazil | | 05-Nov-2012 | | Corporation Service Company* |
rosita-fresita.com | | gTLD | | 07-Nov-2014 | | Shortcake IP Holdings LLC |
rosita-fresita.com.mx | | Mexico | | 16-Jun-2009 | | Shortcake IP Holdings LLC |
rositafresita.com.mx | | Mexico | | 16-Jun-2009 | | Shortcake IP Holdings LLC |
strawberry-shortcake.ca | | Canada | | 18-Feb-2010 | | Shortcake IP Holdings LLC |
strawberry-shortcake.co.uk | | United Kingdom | | 24-Jun-2008 | | Shortcake IP Holdings LLC |
strawberry-shortcake.com | | gTLD | | 29-Jan-2010 | | Shortcake IP Holdings LLC |
strawberry-shortcake.com.au | | Australia | | 14-Feb-2014 | | Wild Pumpkin Licensing International Pty Ltd* |
strawberry-shortcake.nl | | Netherlands | | 17-Feb-2010 | | Shortcake IP Holdings LLC |
strawberry-shortcake.org | | gTLD | | 24-Feb-2010 | | Shortcake IP Holdings LLC |
strawberrycake.net | | gTLD | | 14-Jun-2011 | | Shortcake IP Holdings LLC |
strawberryshortcake-online.com | | gTLD | | 18-Aug-2009 | | Shortcake IP Holdings LLC |
strawberryshortcake-online.net | | gTLD | | 18-Aug-2009 | | Shortcake IP Holdings LLC |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
23
| | | | | | |
strawberryshortcake-online.org | | gTLD | �� | 18-Aug-2009 | | Shortcake IP Holdings LLC |
strawberryshortcake.ae | | United Arab Emirates | | 06-Nov-2014 | | Shortcake IP Holdings LLC |
strawberryshortcake.co | | Colombia | | 01-Jun-2010 | | Shortcake IP Holdings LLC |
strawberryshortcake.co.il | | Israel | | 16-May-2016 | | Shortcake IP Holdings LLC |
strawberryshortcake.co.nl | | Alternate Extension | | 18-Feb-2010 | | Shortcake IP Holdings LLC |
strawberryshortcake.co.nz | | New Zealand | | 18-Nov-2010 | | Shortcake IP Holdings LLC |
strawberryshortcake.co.th | | Thailand | | 16-Dec-2014 | | Shortcake IP Holdings LLC |
strawberryshortcake.co.za | | South Africa | | 11-Aug-2014 | | Shortcake IP Holdings LLC |
strawberryshortcake.com | | gTLD | | 31-Aug-2011 | | Shortcake IP Holdings LLC |
strawberryshortcake.com.au | | Australia | | 03-Jun-2007 | | Wild Pumpkin Licensing International Pty Ltd* |
strawberryshortcake.com.co | | Colombia | | 06-Aug-2010 | | Shortcake IP Holdings LLC |
strawberryshortcake.com.hk | | Hong Kong | | 06-Nov-2014 | | Corporation Service Company* |
strawberryshortcake.com.pa | | Panama | | 12-May-2016 | | Shortcake IP Holdings LLC |
strawberryshortcake.com.pe | | Peru | | 10-Jun-2009 | | Shortcake IP Holdings LLC |
strawberryshortcake.gr | | Greece | | 05-Nov-2014 | | Shortcake IP Holdings LLC |
strawberryshortcake.in | | India | | 02-Oct-2014 | | Shortcake IP Holdings LLC |
strawberryshortcake.jp | | Japan | | 06-Nov-2014 | | Corporation Service Company* |
strawberryshortcake.mobi | | gTLD | | 26-Sep-2006 | | Shortcake IP Holdings LLC |
strawberryshortcake.my | | Malaysia | | 24-Dec-2014 | | Corporation Service Company* |
strawberryshortcake.net | | gTLD | | 30-Aug-2011 | | Shortcake IP Holdings LLC |
strawberryshortcake.org | | gTLD | | 18-Aug-2009 | | Shortcake IP Holdings LLC |
strawberryshortcake.pe | | Peru | | 10-Jun-2009 | | Shortcake IP Holdings LLC |
strawberryshortcake.ph | | Philippines | | 29-Sep-2014 | | Shortcake IP Holdings LLC |
strawberryshortcake.pl | | Poland | | 05-Nov-2014 | | Shortcake IP Holdings LLC |
strawberryshortcake.pt | | Portugal | | 21-Nov-2014 | | Shortcake IP Holdings LLC |
strawberryshortcake.ru | | Russian Federation | | 01-May-2014 | | Shortcake IP Holdings LLC |
strawberryshortcake.se | | Sweden | | 26-Sep-2014 | | Shortcake IP Holdings LLC |
strawberryshortcake.sg | | Singapore | | 10-Nov-2015 | | Shortcake IP Holdings LLC |
strawberryshortcake.tw | | Taiwan | | 12-Aug-2014 | | Shortcake IP Holdings LLC |
strawberryshortcake.uk.com | | Alternate Extension | | 11-Jun-2009 | | Shortcake IP Holdings LLC |
strawberryshortcakedvds.com | | gTLD | | 17-Nov-2009 | | Shortcake IP Holdings LLC |
strawberryshortcakefun.com | | gTLD | | 12-Jan-2010 | | Shortcake IP Holdings LLC |
strawberryshortcakelatam.com | | gTLD | | 10-Jun-2009 | | Shortcake IP Holdings LLC |
strawberryshortcaketoys.ca | | Canada | | 19-Feb-2010 | | Shortcake IP Holdings LLC |
tarta-de-fresa.es | | Spain | | 25-Jul-2008 | | Shortcake IP Holdings LLC |
tartadefresa.com.es | | Spain | | 18-Aug-2009 | | Shortcake IP Holdings LLC |
tartadefresa.es | | Spain | | 11-Aug-2007 | | Shortcake IP Holdings LLC |
zomberryshortcake.com | | gTLD | | 29-Jan-2013 | | Shortcake IP Holdings LLC |
* Domains marked with an asterisk are held in the name of a Person other than the Company.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
24
Section 4.13(b)
Intellectual Property: Copyrights
| | | | | | |
Title of Work | | Registration No. | | Registration Date | | Country |
| | | |
Adorable apple dumplin’s book / by Nicole Okaty. (Series: Strawberry Shortcake) | | TX0006062610 | | 10/21/14 | | U.S. |
Strawberry shortcake : custard and pupcake’s books : a pet pals adventure. | | TX0006167404 | | 05/09/05 | | U.S. |
Blueberry Muffin’s Book (Series: Strawberry Shortcake) | | TX0006123349 | | 03/08/05 | | U.S. |
Angel Cake’s cupcake book : a sweet and sugary adventure. (Series: Strawberry Shortcake) | | TX0006109369 | | 01/11/05 | | U.S. |
New Strawberry Shortcake Baby | | VA1-924-998 | | 08/21/14 | | U.S. |
STRAWBERRY SHORTCAKE ALT CELEBRATION QRG | | Vau1-182-161 | | 08/14/14 | | U.S. |
STRAWBERRY SHORTCAKE BABY PLAYROOM QUICK REFERENCE GUIDE | | VA1-924-997 | | 08/14/14 | | U.S. |
STRAWBERRY SHORTCAKE BABY PACKAGING GUIDE | | VA1-925-002 | | 08/12/14 | | U.S. |
STRAWBERRY SHORTCAKE BABY PETS REFRESH | | VA1-924-996 | | 08/12/14 | | U.S. |
STRAWBERRY SHORTCAKE’S EASTER EGG HUNT (Sticker Stories) | | TX0007935617 | | 08/01/14 | | U.S. |
STRAWBERRY SHORTCAKE: The Berry Bitty PrinceSSC Pageant. | | TX0007800597 | | 11/05/13 | | U.S. |
STRAWBERRY SHORTCAKE: A Day at the Apple Orchard. | | TX0007782586 | | 09/30/13 | | U.S. |
STRAWBERRY SHORTCAKE:Show-and- Tell (Penguin Young Readers: Level 2 | | TX0007784939 | | 09/20/13 | | U.S. |
Strawberry Shortcake Baby Safari Style Guide | | VA0001946937 | | 08/18/13 | | U.S. |
STRAWBERRY SHORTCAKE BABY WITH PACIFIER | | VA-1-877-516 | | 08/08/13 | | U.S. |
STRAWBERRY SHORTCAKE CUPCAKE STYLE GUIDE | | VA-1-877-505 | | 06/26/13 | | U.S. |
STRAWBERRY SHORTCAKE: ABrand-New Look! (Penguin Young Readers: Level 2) | | TX0007733990 | | 06/07/13 | | U.S. |
STRAWBERRY SHORTCAKE: A Berry Bitty Ballet. | | TX0007716239 | | 05/15/13 | | U.S. |
STRAWBERRY SHORTCAKE: A Berry Bitty Christmas. | | TX0007693548 | | 02/19/13 | | U.S. |
CHIFFON | | Vau-1-122-642 | | 01/18/13 | | U.S. |
CINNAPUP | | VAU1-122-834 | | 01/18/13 | | U.S. |
HENNA | | Vau-1-122-643 | | 01/18/13 | | U.S. |
HUCKLEBERRY PIE 2012 | | Vau1-122-644 | | 01/18/13 | | U.S. |
MARMALADE | | VAu1-122-647 | | 01/18/13 | | U.S. |
PITTERPATCH | | VAu1-122-813 | | 01/18/13 | | U.S. |
SCOUTY | | VAu1-122-811 | | 01/18/13 | | U.S. |
TOMTOM PUPPY | | VAu1-122-832 | | 01/18/13 | | U.S. |
CHIFFON SERIES ART | | VAU1-122-830 | | 01/08/13 | | U.S. |
CINNAPUP SERIES ART | | VAu1-122-817 | | 01/08/13 | | U.S. |
HUCKLEBERRY PIE SERIES ART | | VAU1-122-645 | | 01/08/13 | | U.S. |
MARMALADE SERIES ART | | VAU1-122-824 | | 01/08/13 | | U.S. |
PITTERPATCH SERIES ART | | VAu1-122-814 | | 01/08/13 | | U.S. |
TOMTOM PUPPY SERIES ART | | Vau-1-122-648 | | 01/08/13 | | U.S. |
STRAWBERRY SHORTCAKE PRECIOUS PRINCESSC STYLE GUIDE | | VA1-856-350 | | 11/06/12 | | U.S. |
STRAWBERRY SHORTCAKE WIFI STYLE GUIDE | | VA1-845-067 | | 11/06/12 | | U.S. |
BLUEBERRY MUFFIN WITH BOOK | | VA1-837-895 | | 10/11/12 | | U.S. |
ORANGE MARMALADE WITH SHOPPING BAGS | | VA1-837-897 | | 10/11/12 | | U.S. |
PLUM PUDDING BALLET POSE | | VA1-837-876 | | 10/11/12 | | U.S. |
RASPBERRY TORE WITH LEFT HAND ON HIP | | VA1-837-931 | | 10/11/12 | | U.S. |
STRAWBERRY SHORTCAKE WIFI QUICK REFERENCE GUIDE | | VA1-838-194 | | 10/11/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 202 - ROOM AT THE TOP - SCRIPT | | PA1-808-699 | | 07/19/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 203 - STARLIGHT, STAR BRIGHT - SCRIPT | | PA1-805-759 | | 07/19/12 | | U.S. |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
25
| | | | | | |
Title of Work | | Registration No. | | Registration Date | | Country |
| | | |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 204 - PRACTICE MAKES PERFECT - SCRIPT | | PA1-805-760 | | 07/19/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 205 - TOP TALENT - SCRIPT | | PA1-805-762 | | 07/19/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 206 - A STAR IS FASHIONED- SCRIPT | | PA1-805-761 | | 07/19/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 207 - NO BLUEBERRY IS AN ISLAND - SCRIPT | | PA1-805-755 | | 07/19/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 208 - WHERE THE BERRY BREEZE BLOWS - SCRIPT | | PA1-805-756 | | 07/19/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 209 - THE BERRY BEST VACATION - SCRIPT | | PA1-805-757 | | 07/19/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 210 - THE BERRY LONG WINTER - SCRIPT | | PA1-805-758 | | 07/19/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 211 - THE BIG FREEZE - SCRIPT | | PA1-805-754 | | 07/19/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 212 - ON ICE - SCRIPT | | PA1-805-752 | | 07/19/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 213 - ON THE ROAD - SCRIPT | | PA1-805-753 | | 07/19/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EXPISODE 201 - THE BERRY BIG HARVEST - SCRIPT | | PA1-815-953 | | 07/19/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 201, THE BERRY BIG HARVEST - DVD | | PA1-822-937 | | 07/18/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 202, ROOM AT THE TOP - DVD | | PA1-819-424 | | 07/18/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 203, STARLIGHT, STAR BRIGHT - DVD | | PA1-822-924 | | 07/18/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 204 - PRACTICE MAKES PERFECT - DVD | | PA1-822-920 | | 07/18/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 205, TOP TALENT - DVD | | PA1-822-926 | | 07/18/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 206, A STORE IS FASHIONED - DVD | | PA1-819-422 | | 07/18/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 209, THE BERRY BEST VACATION DVD | | PA1-822-933 | | 07/18/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 210, THE BERRY LONG WINTER, DVD | | PA1-822-929 | | 07/18/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES-SEASON2- EPISODE 207, NO BLUEBERRY IS AN ISLAND DVD | | PA1-819-423 | | 07/18/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURES-SEASON2- EPISODE 213 - ON THE ROAD DVD | | PA1-829-111 | | 07/18/12 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BITTY ADVENTURS - SEASON2-EPISODE 208, WHERE THE BERRY BREEZE BLOWS - DVD | | PA1-822-938 | | 07/18/12 | | U.S. |
STRAWBERRY SHORTCAKE: Meet Cherry Jam! | | TX0007577943 | | 07/18/12 | | U.S. |
STRAWBERRY SHORTCAKE: School Friends (Penguin Young Readers: Level 2) | | TX0007574565 | | 07/18/12 | | U.S. |
STRAWBERY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 211, THE BIG FREEZE - DVD | | PA1-822-928 | | 07/18/12 | | U.S. |
STRAWBERY SHORTCAKE BERRY BITTY ADVENTURES - SEASON 2 - EPISODE 212, ON ICE - DVD | | PA1-822-931 | | 07/18/12 | | U.S. |
LEMON MERINGUE STANDING WITH GLASSC | | VA1-819-864 | | 04/20/12 | | U.S. |
STRAWBERRY SHORTCAKE: The Butterfly Ride. | | TX0007517774 | | 04/17/12 | | U.S. |
STRAWBERRY SHORTCAKE SPRING 2009 PRETTY PICKIN’S | | VA1-815-998 | | 04/05/12 | | U.S. |
CUSTARD CAT WALKING | | VA1-810-165 | | 03/26/12 | | U.S. |
LEMON MERINGUE STANDING | | VA1-810-176 | | 03/26/12 | | U.S. |
PUPCAKE DOG SITTING | | VA1-810-172 | | 03/26/12 | | U.S. |
STRAWBERRY SHORTCAKE CILEK KIZ | | VA1-810-178 | | 03/26/12 | | U.S. |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
26
| | | | | | |
Title of Work | | Registration No. | | Registration Date | | Country |
| | | |
STRAWBERRY SHORTCAKE SITTING | | VA1-810-175 | | 03/26/12 | | U.S. |
STRAWBERRY SHORTCAKE SITTING ON FLOWER PETALS | | VA1-810-173 | | 03/26/12 | | U.S. |
STRAWBERRY SHORTCAKE STANDING WITH ARMS OUT AT SIDE | | VA1-810-170 | | 03/26/12 | | U.S. |
STRAWBERRY SHORTCAKE STANDING WITH STRAWBERRIES | | VA1-810-171 | | 03/26/12 | | U.S. |
STRAWBERRY SHORTCAKE THINKING | | VA1-810-167 | | 03/26/12 | | U.S. |
STRAWBERRY SHORTCAKE WITH HAT DANCING | | VA1-810-163 | | 03/26/12 | | U.S. |
STRAWBERRY SHORTCAKE: Babysitting Blues. | | TX0007512772 | | 03/21/12 | | U.S. |
STRAWBERRY SHORTCAKE: Lost and Found (Penguin Young Readers: Level 2) | | TX0007528840 | | 03/21/12 | | U.S. |
STRAWBERRY SHORTCAKE: The Valentine’s DayMix-Up. | | TX0007493319 | | 01/31/12 | | U.S. |
STRAWBERRY SHORTCAKE SLEEPS OVER. | | TX0007459505 | | 12/20/11 | | U.S. |
STRAWBERRY SHORTCAKE: STICKER STYLES: BERRY PRETTY FASHIONS | | TX0007459517 | | 12/20/11 | | U.S. |
STRAWBERRY SHORTCAKE: Berry Bitty Bakers. | | TX0007448968 | | 10/25/11 | | U.S. |
STRAWBERRY SHORTCAKE DANCE POSE | | VA1-790-509 | | 10/18/11 | | U.S. |
STRAWBERRY SHORTCAKE: Best Friends Forever. | | TX0007432376 | | 10/13/11 | | U.S. |
STRAWBERRY SHORTCAKE: Makeover MadneSSC. | | TX0007432352 | | 10/13/11 | | U.S. |
STRAWBERRY SHORTCAKE’S SPOOKY NIGHT. | | TX0007432355 | | 10/13/11 | | U.S. |
STRAWBERRY SHORTCAKE: All Aboard! (Sticker Stories) | | TX0007407954 | | 08/12/11 | | U.S. |
CHERRY JAM WAVING | | VA1-837-901 | | 04/05/11 | | U.S. |
STRAWBERRY SHORTCAKE: Easter Surprise. | | TX0007337011 | | 03/16/11 | | U.S. |
STRAWBERRY SHORTCAKE: The Snow Dance. | | TX0007355149 | | 01/25/11 | | U.S. |
STRAWBERRY SHORTCAKE: Berry Little PrinceSSCes. | | VA0001750392 | | 11/26/10 | | U.S. |
STRAWBERRY SHORTCAKE: My First Sleepover. | | TX0007273702 | | 10/06/10 | | U.S. |
STRAWBERRY SHORTCAKE’S COSTUME PARTY (Sticker Stories) | | TX0007273583 | | 10/06/10 | | U.S. |
STRAWBERRY SHORTCAKE BERRY BASIC 2009 STYLE GUIDE | | VA1-729-070 | | 08/12/10 | | U.S. |
STRAWBERRY SHORTCAKE: Ballet School (All Aboard Reading: Station Stop 1) | | TX0007216161 | | 07/21/10 | | U.S. |
STRAWBERRY SHORTCAKE: A Picnic Adventure (All Aboard Reading: Station Stop 1) | | TX0007237286 | | 06/25/10 | | U.S. |
A Berry Bitty World Record Episode 109 | | PA1-682-238 | | 05/20/10 | | U.S. |
A Circle of Friends Episode 120 | | PA1-682-232 | | 05/20/10 | | U.S. |
A Stitch in Time Episode 102 | | PA1-682-259 | | 05/20/10 | | U.S. |
Babysitter Blues Episode 104 | | PA1-682-280 | | 05/20/10 | | U.S. |
Berry Best Berryfest PrinceSSC Episode 111 | | PA1-682-236 | | 05/20/10 | | U.S. |
Berry Best Choice Episode 113 | | PA1-682-237 | | 05/20/10 | | U.S. |
Different Waltz for Different Faults Episode 118 | | PA1-682-247 | | 05/20/10 | | U.S. |
Fish Out of Water Episode 101 | | PA1-682-274 | | 05/20/10 | | U.S. |
Good Citizens Club Episode 124 | | Pau3-461-032 | | 05/20/10 | | U.S. |
Hair Today Gone Tomorrow Episode 105 | | PA1-682-252 | | 05/20/10 | | U.S. |
Happy First Frost Episode 119 | | PA1-682-231 | | 05/20/10 | | U.S. |
How You Play The Game Episode 123 | | Pau3-461-039 | | 05/20/10 | | U.S. |
Lost and Found Episode 126 | | Pau3-461-038 | | 05/20/10 | | U.S. |
Manners Meltdown Episode 116 | | PA1-682-261 | | 05/20/10 | | U.S. |
Nice as Nails Episode 122 | | Pau3-461-041 | | 05/20/10 | | U.S. |
Nothing to Fear But Berries Themselves Episode 114 | | PA1-682-233 | | 05/20/10 | | U.S. |
Pop Goes the Garden Episode 106 | | PA1-682-282 | | 05/20/10 | | U.S. |
Strawberry’s Berry Best Parade Episode 112 | | PA0001682230 | | 05/20/10 | | U.S. |
Strawberry’s House Pest Episode 108 | | PA1-682-249 | | 05/20/10 | | U.S. |
Team for Two Episode 125 | | Pau3-461-043 | | 05/20/10 | | U.S. |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
27
| | | | | | |
Title of Work | | Registration No. | | Registration Date | | Country |
| | | |
The Berry Best You Can Be Episode 107 | | PA1-682-245 | | 05/20/10 | | U.S. |
The Glimmerberry Ball Episode 121 | | PA1-682-264 | | 05/20/10 | | U.S. |
Too Cool for Rules Episode 110 | | PA1-682-240 | | 05/20/10 | | U.S. |
Trading Sizes Episode 117 | | PA1-682-234 | | 05/20/10 | | U.S. |
Vanishing Violets Episode 103 | | PA1-682-277 | | 05/20/10 | | U.S. |
Where, Oh Were Has Our Blueberry Gone? Episode 115 | | PA1-682-235 | | 05/20/10 | | U.S. |
STRAWBERRY SHORTCAKE: AFresh-n- Fruity Spring. | | TX0007168628 | | 04/22/10 | | U.S. |
STRAWBERRY SHORTCAKE: Have a Sweet Easter! | | TX0007169296 | | 04/08/10 | | U.S. |
Strawberry Shortcake Spring 05 Style Guide | | VA1-698-608 | | 01/28/10 | | U.S. |
Berry Sweet Friends | | TX0007130606 | | 12/22/09 | | U.S. |
STRAWBERRY SHORTCAKE: Berry Sweet Friends. | | TX0007130606 | | 12/22/09 | | U.S. |
STRAWBERRY SHORTCAKE: We Love You, Strawberry Shortcake! (All Aboard Reading: Station Stop 1) illustrated by Marci Beighly) | | TX0007130612 | | 12/22/09 | | U.S. |
STRAWBERRY SHORTCAKE: Welcome to Berry Bitty City (Sticker Stories) | | TX0007132153 | | 12/22/09 | | U.S. |
We Love You, Strawberry Shortcake! (All Aboard Reading: Station Stop 1 illustrated by Marci Beighly) | | TX0007132153 | | 12/22/09 | | U.S. |
Welcome to Berry Bitty City | | TX0007132153 | | 12/22/09 | | U.S. |
Berry Best Friends | | TX0006941019 | | 03/30/09 | | U.S. |
Country Fair Fun | | TX0007081446 | | 08/22/08 | | U.S. |
Happy Birthday, Strawberry Shortcake! | | TX0007032338 | | 06/26/08 | | U.S. |
Easter Egg Hunt | | TX0006928570 | | 03/31/08 | | U.S. |
Berry Pretty PrinceSSCes | | VA0001653462 | | 03/26/08 | | U.S. |
Baby Strawberry Loves to Count | | VA0001713500 | | 02/28/08 | | U.S. |
Baby Strawberry’s First Christmas | | TX0006912410 | | 11/29/07 | | U.S. |
Let’s Go Apple Picking! | | TX0006902857 | | 11/13/07 | | U.S. |
Baby Strawberry’s First Halloween | | TX0006974325 | | 11/07/07 | | U.S. |
The Berry BloSSCom Festival | | TX0007135860 | | 11/07/07 | | U.S. |
Halloween Hideout | | TX0006886858 | | 10/31/07 | | U.S. |
Berry Fairy Tales: Rapunzel | | TX0006858520 | | 08/31/07 | | U.S. |
Tropical Treasure Hunt | | TX0006814623 | | 08/02/07 | | U.S. |
The Friendship Trip | | TX0006861151 | | 08/01/07 | | U.S. |
Berry Fairy Tales: Snow White | | TX0006602175 | | 07/03/07 | | U.S. |
My Berry First Friends | | TX0006584619 | | 06/05/07 | | U.S. |
Baby Strawberry’s First Easter | | TX0006576624 | | 04/25/07 | | U.S. |
Sweet Treats Carnival | | TX0006558006 | | 04/06/07 | | U.S. |
Secrets and Surprises | | TX0006557212 | | 04/03/07 | | U.S. |
Strawberry Shortcake: The little mermaid | | TX0006487738 | | 12/18/06 | | U.S. |
The sweet dream movie story book | | TX0006484895 | | 11/29/06 | | U.S. |
Baby Strawberry’s Rainbow Day | | VA0001382159 | | 10/06/06 | | U.S. |
Bath time for Baby Strawberry | | VA0001382158 | | 10/06/06 | | U.S. |
Dream Big! The Sweet Dreams Movie | | TX0006484898 | | 09/07/06 | | U.S. |
Strawberry Shortcake: The Sweet Dreams Movie: Sticker Stories | | TX0006466564 | | 09/07/06 | | U.S. |
The Sweet Dreams Movie Story Book | | TX0006484895 | | 09/07/06 | | U.S. |
Sleeping Beauty | | TX0006353531 | | 05/08/06 | | U.S. |
Strawberry Shortcakes World of Friends | | TX6-353-463 | | 05/08/06 | | U.S. |
Cinderella/by Megan E. Bryan; illustrated by Scott Neely | | TX0006261737 | | 12/16/05 | | U.S. |
Strawberry shortcake face propped on hands logo | | VA-1-300-078 | | 07/18/05 | | U.S. |
Strawberry Shortcake Manual | | VA-1-300-079 | | 07/18/05 | | U.S. |
Berry best friends book : a fun with friends adventure / by Alison Saeger Panik. (Series: Strawberry Shortcake) | | TX0006173963 | | 04/05/05 | | U.S. |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
28
| | | | | | |
Title of Work | | Registration No. | | Registration Date | | Country |
| | | |
BERRY BEST GARDENING BOOK | | TX5-946-382 | | 04/05/04 | | U.S. |
FIG BOOT | | VA174-430 | | 12/04/84 | | U.S. |
BABYNEEDS-A-NAME DOLL | | VA169-336 | | 10/17/84 | | U.S. |
MINT TULIP RAG DOLL | | VA169-337 | | 10/17/84 | | U.S. |
BERRY BABY BLUEBERRY MUFFIN DOLL | | VA161-164 | | 07/30/84 | | U.S. |
BERRY BABY LEMON MERINGUE DOLL | | VA161-161 | | 07/30/84 | | U.S. |
BERRY BABY ORANGE BLOSSCOM DOLL | | VA161-163 | | 07/30/84 | | U.S. |
BERRY BABY STRAWBERRY SHORTCAKE DOLL | | VA161-162 | | 07/30/84 | | U.S. |
FIG BOOT’S HAPPY DAY | | TX1-351-545 | | 06/11/84 | | U.S. |
STRAWBERRY SHORTCAKE AND BABY NEEDS A NAME | | TX1-361-674 | | 06/11/84 | | U.S. |
STRAWBERRYLAND CHOO-CHOO THE | | TX1-351-544 | | 06/11/84 | | U.S. |
SURPRISE FOR BABY BLUEBERRY MUFFIN A | | TX1-351-543 | | 06/11/84 | | U.S. |
BABIES THE (SUPPLEMENT TO STRAWBERRY SHORTCAKE MANUAL) | | TX1-250-022 | | 12/22/83 | | U.S. |
ALMOND TEA DOLL | | VA126-828 | | 05/31/83 | | U.S. |
CAFE OLE DOLL | | VA126-827 | | 05/31/83 | | U.S. |
CREPE SUZETTE DOLL | | VA126-826 | | 05/31/83 | | U.S. |
MINT TULIP DOLL | | VA126-829 | | 05/31/83 | | U.S. |
BABY ORANGE BLOSSCOM | | VA126-416 | | 05/27/83 | | U.S. |
BABY ANGEL CAKE | �� | VA132-926 | | 05/02/83 | | U.S. |
CHERRY CUDDLER RAG DOLL | | VA123-321 | | 04/11/83 | | U.S. |
LIME CHIFFON RAG DOLL | | VA123-320 | | 04/11/83 | | U.S. |
ANGEL CAKE | | VA122-395 | | 04/05/83 | | U.S. |
BUTTER COOKIE DOLL | | VA122-394 | | 04/05/83 | | U.S. |
CHERRY CUDDLER DOLL | | VA122-396 | | 04/05/83 | | U.S. |
LIME CHIFFON DOLL | | VA122-393 | | 04/05/83 | | U.S. |
PURPLE PIEMAN DOLL | | VA122-069 | | 03/30/83 | | U.S. |
SOUR GRAPES DOLL | | VA122-068 | | 03/30/83 | | U.S. |
STRAWBERRY SHORTCAKE SUCCESSC BOOK FOR 1983 | | TX1-084-420 | | 03/30/83 | | U.S. |
BABY APRICOT | | VA117-027 | | 01/27/83 | | U.S. |
BABY LEMON MERINGUE | | VA117-029 | | 01/27/83 | | U.S. |
BABY STRAWBERRY SHORTCAKE | | VA117-028 | | 01/27/83 | | U.S. |
APPLE DUMPLIN’ RAG DOLL | | VA115-634 | | 12/06/82 | | U.S. |
APRICOT RAG DOLL | | VA115-631 | | 12/06/82 | | U.S. |
LEMON MERINGUE RAG DOLL | | VA115-632 | | 12/06/82 | | U.S. |
ORANGE BLOSSCOM RAG DOLL | | VA115-633 | | 12/06/82 | | U.S. |
APRICOT DOLL | | VA120-816 | | 11/22/82 | | U.S. |
LEMON MERINGUE DOLL | | VA120-815 | | 11/22/82 | | U.S. |
ORANGE BLOSSCOM DOLL | | VA120-818 | | 11/22/82 | | U.S. |
RASPBERRY TART DOLL | | VA120-817 | | 11/22/82 | | U.S. |
STRAWBERRY SHORTCAKE MANUAL | | TX1-037-948 | | 11/10/82 | | U.S. |
STRAWBERRY SHORTCAKE MANUAL SUPPLEMENT | | TX1-037-947 | | 11/10/82 | | U.S. |
STRAWBERRY SHORTCAKE AND KITTEN SITTING ON “HI” | | VAU38-406 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE CARRYING BASKET OF STRAWBERRIES AND KITTEN | | VAU38-409 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE HOLDING PATCHWORK FLOWER WITH KITTEN | | VAU38-412 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE HOLDING PATCHWORK FLOWER WITH KITTEN | | VAU38-423 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE HOLDING WATERING CAN WITH LARGE STRAWBERRY | | VAU38-417 | | 09/22/82 | | U.S. |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
29
| | | | | | |
Title of Work | | Registration No. | | Registration Date | | Country |
| | | |
STRAWBERRY SHORTCAKE IN STRAWBERRY PATCH BEHIND FENCE W/ KITTEN | | VAU38-405 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE MAKING STRAWBERRY JAM WITH KITTEN | | VAU38-410 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE SEATED EATING STRAWBERRY FROM BOWL WITH KITTEN | | VAU38-413 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE SEATED HOLDING SPOON AND BOWL OF STRAWBERRIES | | VAU38-416 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE SEATED UNDER STRAWBERRY PLANT HOLDING SPOON | | VAU38-414 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE SITTING AT TABLE W/ BOWL OF STRAWBERRIES | | VAU38-408 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE SITTING BY STRAWBERRY PLANT HOLDING LETTER | | VAU38-407 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE SITTING ON STRAWBERRY PLANT WITH KITTEN | | VAU38-411 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE UNDER STRAWBERRY PLANT W/ SICK MOUSE ON LEAF | | VAU38-404 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE WATERING STRAWBERRY PLANT WITH KITTEN | | VAU38-418 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE WATERING STRAWBERRY PLANT WITH KITTEN | | VAU38-422 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE WITH WATERING CAN AND LARGE STRAWBERRY PLANT | | VAU38-419 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE WITH WHEELBAR- ROW OF STRAWBERRIES AND KITTEN | | VAU38-421 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE WITH WHEELBARROW OF STRAWBERRIES AND KITTEN | | VAU38-415 | | 09/22/82 | | U.S. |
STRAWBERRY SHORTCAKE WITH WHEELBARROW OF STRAWBERRIES AND KITTEN | | VAU38-420 | | 09/22/82 | | U.S. |
RASPBERRY TART RAG DOLL | | VA102-407 | | 07/09/82 | | U.S. |
STRAWBERRY SHORTCAKE RAG DOLL | | VA102-406 | | 07/09/82 | | U.S. |
STRAWBERRY SHORTCAKE LINE PACKAGING PRODUCT NO. 43020 | | VA89-840 | | 01/15/82 | | U.S. |
APPLE DUMPLIN’ JEWELRY | | VA88-785 | | 12/31/81 | | U.S. |
BLUEBERRY MUFFIN JEWELRY | | VA88-784 | | 12/31/81 | | U.S. |
STRAWBERRY SHORTCAKE JEWELRY | | VA88-786 | | 12/31/81 | | U.S. |
BLUE BERRY MUFFIN DOLL | | VA86-164 | | 11/18/81 | | U.S. |
HUCKLEBERRY PIE DOLL | | VA86-165 | | 11/18/81 | | U.S. |
APPLE DUMPLIN’ DOLL | | VA73-838 | | 07/02/81 | | U.S. |
LIFE IS DELICIOUS WHEN IT’S A STRAWBERRY SHORTCAKE WORLD | | TX714-081 | | 07/02/81 | | U.S. |
WELCOME TO STRAWBERRYLAND | | VA74-988 | | 06/26/81 | | U.S. |
STRAWBERRY SHORTCAKE: THE FIRST $100 MILLION | | TX709-889 | | 06/08/81 | | U.S. |
DARLING DAUGHTER 25B2437K | | VA75-847 | | 06/02/81 | | U.S. |
STRAWBERRY SHORTCAKE DOLL | | VA73-839 | | 06/02/81 | | U.S. |
LIFE IS DELICIOUS WHEN IT’S A STRAWBERRY SHORTCAKE WORLD | | TX480-048 | | 06/12/80 | | U.S. |
APPLE DUMPLIN’ DOLL | | 336906 | | 09/12/84 | | Canada |
BLUEBERRY MUFFIN DOLL | | 336907 | | 09/12/84 | | Canada |
HUCKLEBERRY PIE DOLL | | 336905 | | 09/12/84 | | Canada |
STRAWBERRY SHORTCAKE DOLL | | 336904 | | 09/12/84 | | Canada |
STRAWBERRY SHORTCAKE RAGDOLL | | 319427 | | 10/07/82 | | Canada |
APPLE DUMPLIN’ DOLL | | 15-2-3 | | 07/06/82 | | Venezuela |
HUCKLEBERRY PIE DOLL | | 17-2-3 | | 07/06/82 | | Venezuela |
WELCOME TO THE WORLD OF STRAWBERRY SHORTCAKE PACKAGE | | 16-2-3 | | 07/06/82 | | Venezuela |
BLUEBERRY MUFFIN DOLL | | 47-4-3 | | 06/08/82 | | Venezuela |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
30
| | | | | | |
Title of Work | | Registration No. | | Registration Date | | Country |
| | | |
STRAWBERRY SHORTCAKE: THE FIRST $100 MILLION | | 46-4-3 | | 06/08/82 | | Venezuela |
WELCOME TO STRAWBERRYLAND | | 48-4-3 | | 06/08/82 | | Venezuela |
WELCOME TO THE WORLD OF STRAWBERRY SHORTCAKE PACKAGE | | 50-4-3 | | 06/08/82 | | Venezuela |
BASIC PURPLE PIEMAN CHARACTER | | 316584 | | 05/27/82 | | Canada |
BASIC RASPBERRY TART CHARACTER | | 316583 | | 05/27/82 | | Canada |
DESIGN OF BLUEBERRY MUFFIN ON A TEETER-TOTTER | | 316537 | | 05/21/82 | | Canada |
BASIC APRICOT CHARACTER | | 316342 | | 05/17/82 | | Canada |
BASIC LEMON MERINGUE CHARACTER | | 316343 | | 05/17/82 | | Canada |
BASIC ORANGE BLOSSCOM CHARACTER | | 316344 | | 05/17/82 | | Canada |
DESIGN OF STRAWBERRY SHORTCAKE IN WINDOW | | 316332 | | 05/14/82 | | Canada |
STRAWBERRY SHORTCAKE GREETING CARD DESIGN | | 49-2-3 | | 05/13/82 | | Venezuela |
STRAWBERRY SHORTCAKE DOLL | | 45-2-3 | | 05/13/82 | | Venezuela |
STRAWBERRY SHORTCAKE RAG DOLL | | 50-2-3 | | 05/13/82 | | Venezuela |
LIFE IS DELICIOUS WHEN IT’S A STRAWBERRY SHORTCAKE WORLD | | 46-2-3 | | 04/26/82 | | Venezuela |
STRAWBERRY SHORTCAKE DOLL PACKAGE | | 44-2-3 | | 04/26/82 | | Venezuela |
APPLE DUMPLIN’ PACKAGE DESIGN - DOLL | | 315754 | | 04/22/82 | | Canada |
APRICOT PACKAGE DESIGN - DOLL | | 315758 | | 04/22/82 | | Canada |
BLUEBERRY MUFFIN PACKAGE DESIGN - DOLL | | 315753 | | 04/22/82 | | Canada |
HUCKLEBERRY PIE PACKAGE DESIGN - DOLL | | 315752 | | 04/22/82 | | Canada |
LEMON MERINGUE PACKAGE DESIGN - DOLL | | 315755 | | 04/22/82 | | Canada |
ORANGE BLOSSCOM PACKAGE DESIGN - DOLL | | 315757 | | 04/22/82 | | Canada |
RASPBERRY TART PACKAGE DESIGN - DOLL | | 315756 | | 04/22/82 | | Canada |
STRAWBERRY SHORTCAKE PACKAGE DESIGN - DOLL | | 315751 | | 04/22/82 | | Canada |
DARLING DAUGHTER | | 314431 | | 02/22/82 | | Canada |
BASIC APPLE DUMPLIN’ CHARACTER | | 314375 | | 02/18/82 | | Canada |
BASIC BLUEBERRY MUFFIN CHARACTER | | 314374 | | 02/18/82 | | Canada |
BASIC HUCKLEBERRY PIE CHARACTER | | 314373 | | 02/18/82 | | Canada |
BASIC STRAWBERRY SHORTCAKE CHARACTER - BACK | | 314378 | | 02/18/82 | | Canada |
STRAWBERRY SHORTCAKE ON STRAWBERRY LOGO | | 314379 | | 02/18/82 | | Canada |
APPLE DUMPLIN’ | | 2741 | | 11/05/81 | | Philippines |
APRICOT ‘N’ HOPSALOT | | 2742 | | 11/05/81 | | Philippines |
BLUEBERRY MUFFIN | | 2743 | | 11/05/81 | | Philippines |
FLITTER BIT | | 2744 | | 11/05/81 | | Philippines |
GUACA-MOLE; HORSE RADISH; COCO NUTWORK | | 2745 | | 11/05/81 | | Philippines |
HUCKLEBERRY PIE | | 2746 | | 11/05/81 | | Philippines |
LEMON MERINGUE | | 2747 | | 11/05/81 | | Philippines |
LUCKY BUG | | 2748 | | 11/05/81 | | Philippines |
ORANGE BLOSSCOM | | 2749 | | 11/05/81 | | Philippines |
PLUM PUDDIN’ | | 2750 | | 11/05/81 | | Philippines |
PURPLE PIEMAN | | 2751 | | 11/05/81 | | Philippines |
RASPBERRY TART | | 2752 | | 11/05/81 | | Philippines |
STRAWBERRY SHORTCAKE | | 2753 | | 11/05/81 | | Philippines |
T.N. HONEY | | 2754 | | 11/05/81 | | Philippines |
STRAWBERRY SHORTCAKE GREETING CARDPOP-UP ‘AND UP POPS HAPPINESSC’ | | 310518 | | 08/11/81 | | Canada |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
31
Section 4.13(c)
Intellectual Property: Ownership and Use
[***]
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
32
Section 4.13(d)
Intellectual Property: Claims
None.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
33
Section 4.13(f)
Intellectual Property: Orders
None.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
34
Section 4.13(g)
Intellectual Property: Consummation of Purchase
Certain domain name registrations used in connection with the Business may be registered in the name of Seller, an Affiliate of Seller, or a third party and Seller shall assign, or cause to be assigned, such domain name registrations to the Company prior to Closing unless the Company may not contractually or lawfully take possession of such domain name registrations, in which case the Parties shall use commercially reasonable efforts to assign such domain name registrations to either Purchaser or an Affiliate of Purchaser in accordance with the Agreement.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
35
Section 4.13(h)
Intellectual Property: Liens
[***]
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
36
Section 4.13(i)
Intellectual Property: Seller Software
None.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
37
Section 4.15
Finders; Brokers
None.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
38
Section 4.18
Accounts Receivable
[***]
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
39
Section 4.19
Transactions with Affiliates
[***]
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
40
Section 6.2(d)
Material Contracts; Negotiated Extensions or Renewals
License agreements currently under negotiation for renewal:
[***]
License agreements in pipeline for execution:
[***]
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
41
Section 7.1(c)
Conditions to the Obligations of Each Party: Consents
None.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
42
ATTACHMENT I
Section 4.13(a)
Intellectual Property: Trademarks
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
U.S. Trademarks
| | | | | | | | | | | | | | | | |
Country | | Mark | | Image | | Status | | Application # | | File Date | | Registration # | | Registration Date | | Classes |
UNITED STATES | | STRAWBERRY SHORTCAKE | | | | REGISTERED | | 73178085 | | 7/13/1978 | | 1117262 | | 5/1/1979 | | 16 |
UNITED STATES | | STRAWBERRY SHORTCAKE | | | | REGISTERED | | 73393580 | | 9/29/1982 | | 1267116 | | 2/14/1984 | | 16 |
UNITED STATES | | STRAWBERRY SHORTCAKE | | | | REGISTERED | | 73791750 | | 4/7/1989 | | 1564827 | | 11/7/1989 | | 28 |
UNITED STATES | | STRAWBERRY SHORTCAKE | | | | REGISTERED | | 74062893 | | 5/25/1990 | | 1959123 | | 2/27/1996 | | 25 |
UNITED STATES | | STRAWBERRY SHORTCAKE | | | | REGISTERED | | 75574758 | | 10/21/1998 | | 2309010 | | 1/18/2000 | | 25 |
UNITED STATES | | STRAWBERRY SHORTCAKE | | | | REGISTERED | | 76209019 | | 2/13/2001 | | 2901936 | | 11/9/2004 | | 03 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
1
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | |
Country | | Mark | | Image | | Status | | Application # | | File Date | | Registration # | | Registration Date | | Classes |
UNITED STATES | | STRAWBERRY SHORTCAKE | | | | REGISTERED | | 78145685 | | 7/19/2002 | | 2887531 | | 9/21/2004 | | 20, 21, 24 |
UNITED STATES | | STRAWBERRY SHORTCAKE | | | | REGISTERED | | 78145689 | | 7/19/2002 | | 2925739 | | 2/8/2005 | | 09, 14, 18 |
UNITED STATES | | STRAWBERRY SHORTCAKE | | | | REGISTERED | | 78145691 | | 7/19/2002 | | 3171964 | | 11/14/2006 | | 25, 26 |
UNITED STATES | | STRAWBERRY SHORTCAKE | | | | REGISTERED | | 78145693 | | 7/19/2002 | | 2803695 | | 1/6/2004 | | 28 |
UNITED STATES | | STRAWBERRY SHORTCAKE | | | | REGISTERED | | 78145692 | | 7/19/2002 | | 2856798 | | 6/22/2004 | | 16 |
UNITED STATES | | STRAWBERRY SHORTCAKE | | | | REGISTERED | | 85151760 | | 10/13/2010 | | 4580350 | | 8/5/2014 | | 41 |
UNITED STATES | | STRAWBERRY SHORTCAKE | | | | REGISTERED | | 85976135 | | 10/13/2010 | | 4196032 | | 8/21/2012 | | 41 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
2
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | |
Country | | Mark | | Image | | Status | | Application # | | File Date | | Registration # | | Registration Date | | Classes |
UNITED STATES | | STRAWBERRY SHORTCAKE | | | | REGISTERED | | 86408929 | | 9/29/2014 | | 4847516 | | 11/3/2015 | | 05 |
UNITED STATES | | BLUEBERRY MUFFIN | | | | REGISTERED | | 73244574 | | 12/31/1979 | | 1201259 | | 7/13/1982 | | 28 |
UNITED STATES | | PUPCAKE | | | | REGISTERED | | 77754998 | | 6/9/2009 | | 3931764 | | 3/15/2011 | | 28 |
UNITED STATES | | BERRYKIN | | | | REGISTERED | | 77888891 | | 12/8/2009 | | 3926692 | | 3/1/2011 | | 28 |
UNITED STATES | | CHERRY JAM | | | | REGISTERED | | 85172806 | | 11/9/2010 | | 4176397 | | 7/17/2012 | | 28 |
UNITED STATES | | RASPBERRY TART | | | | ALLOWED | | 86442819 | | 11/3/2014 | | | | | | 28 |
UNITED STATES | | PITTERPATCH | | | | REGISTERED | | 85629061 | | 5/18/2012 | | 4898852 | | 2/9/2016 | | 28 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
3
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | |
Country | | Mark | | Image | | Status | | Application # | | File Date | | Registration # | | Registration Date | | Classes |
UNITED STATES | | CHIFFON | | | | REGISTERED | | 85629064 | | 5/18/2012 | | 4898853 | | 2/9/2016 | | 28 |
UNITED STATES | | ORANGE BLOSSOM | | | | REGISTERED | | 86027599 | | 8/2/2013 | | 4443977 | | 12/3/2013 | | 28 |
UNITED STATES | | HUCKLEBERRY PIE | | | | ALLOWED | | 86121860 | | 11/18/2013 | | | | | | 28 |
UNITED STATES | | TEA TIME TURTLE | | | | ALLOWED | | 86246759 | | 4/9/2014 | | | | | | 28 |
UNITED STATES | | SOUR GRAPES | | | | ALLOWED | | 86246766 | | 4/9/2014 | | | | | | 28 |
UNITED STATES | | APPLE DUMPLIN | | | | ALLOWED | | 86246772 | | 4/9/2014 | | | | | | 28 |
UNITED STATES | | SWEET GRAPES | | | | ALLOWED | | 86246776 | | 4/9/2014 | | | | | | 28 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
4
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | |
Country | | Mark | | Image | | Status | | Application # | | File Date | | Registration # | | | Registration Date | | Classes |
UNITED STATES | | RASPBERRY TORTE | | | | ALLOWED | | 86442824 | | 11/3/2014 | | | | | | | | 28 |
UNITED STATES | | PLUM PUDDING | | | | REGISTERED | | 85150709 | | 10/12/2010 | | | 4062315 | | | 11/29/2011 | | 28 |
UNITED STATES | | HENNA | | | | REGISTERED | | 86545534 | | 2/25/2015 | | | 4873187 | | | 12/22/2015 | | 28 |
UNITED STATES | | LEMON MERINGUE | | | | REGISTERED | | 78398458 | | 4/8/2004 | | | 3216265 | | | 3/6/2007 | | 28 |
UNITED STATES | | CINNAPUP | | | | REGISTERED | | 85983428 | | 5/18/2012 | | | 4724431 | | | 4/21/2015 | | 28 |
UNITED STATES | | SCOUTY | | | | REGISTERED | | 85983429 | | 5/18/2012 | | | 4724432 | | | 4/21/2015 | | 28 |
UNITED STATES | | MARMALADE | | | | ALLOWED | | 86844277 | | 12/9/2015 | | | | | | | | 28 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
5
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
Foreign Trademarks
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 011 | | Argentina | | FRUTILANDIA | | | | Registered | | Shortcake IP Holdings LLC | | 41 | | 3.530.575 | | 04/12/2005 | | 2.869.050 | | 08/30/2006 | | 08/30/2026 |
SCAKE 005 | | Argentina | | FRUTILLITA | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 2.408.919 | | 01/27/2003 | | 2.660.251 | | 11/10/2003 | | 11/10/2023 |
SCAKE 006 | | Argentina | | FRUTILLITA | | | | Registered | | Shortcake IP Holdings LLC | | 14 | | 2.408.920 | | 01/27/2003 | | 2.655.858 | | 11/05/2003 | | 11/05/2023 |
SCAKE 004 | | Argentina | | FRUTILLITA | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 2.569.487 | | 09/16/1982 | | 2.152.979 | | 04/18/2007 | | 4/18/2017 - renewal in process |
SCAKE 007 | | Argentina | | FRUTILLITA | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 2.408.921 | | 01/27/2003 | | 2.677.986 | | 03/11/2004 | | 03/11/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
6
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 014 | | Argentina | | FRUTILLITA | | | | Registered | | Shortcake IP Holdings LLC | | 41 | | 3.530.573 | | 04/12/2005 | | 2.869.049 | | 08/30/2006 | | 08/30/2026 |
SCAKE | | Argentina | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 18 | | 2.640.207 | | 12/19/2005 | | 2.148.464 | | 03/21/2007 | | 3/21/2017 - renewal in process |
SCAKE 012 | | Argentina | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 24 | | 3.047.275 | | 11/18/2010 | | 2.479.111 | | 12/02/2011 | | 12/02/2021 |
SCAKE 013 | | Argentina | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 3.194.029 | | 09/26/2012 | | 2.619.802 | | 01/06/2014 | | 01/06/2024 |
SCAKE 008 | | Argentina | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 2.508.625 | | 04/21/2004 | | 2.199.664 | | 11/28/2007 | | 11/28/2017 |
SCAKE 009 | | Argentina | | STRAWBERRY SHORTCAKE with Circle Design 2 | |  | | Registered | | | | 28 | | 2.754.807 | | 06/28/2007 | | 2.249.553 | | 09/16/2008 | | 09/16/2018 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
7
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 010 | | Argentina | | STRAWBERRY SHORTCAKE with Circle Strawberry Design | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 2.754.808 | | 06/28/2007 | | 2.249.554 | | 09/16/2008 | | 09/16/2018 |
SCAKE 016 | | Australia | | LEMON MERINGUE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 363176 | | 07/22/1981 | | 363176 | | 07/22/2012 | | 07/22/2022 |
SCAKE 017 | | Australia | | ORANGE BLOSSOM | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 363194 | | 07/22/1981 | | 363194 | | 07/22/2012 | | 07/22/2022 |
SCAKE 018 | | Australia | | PURPLE PIEMAN | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 363200 | | 07/22/1981 | | 363200 | | 07/22/2012 | | 07/22/2022 |
SCAKE 023 | | Australia | | RASPBERRY TART | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 363170 | | 07/22/1981 | | 363170 | | 07/22/2012 | | 07/22/2022 |
SCAKE 022 | | Australia | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 329,105 | | 02/21/1979 | | 329,105 | | 02/21/2010 | | 02/21/2020 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
8
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 021 | | Australia | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 329,106 | | 02/21/1979 | | 329,106 | | 02/21/2010 | | 02/21/2020 |
SCAKE 026 | | Australia | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 41 | | 1,385,380 | | 09/24/2010 | | 1,385,380 | | 05/18/2011 | | 09/24/2020 |
SCAKE 025 | | Australia | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 20, 21 | | 960,545 | | 07/04/2003 | | 960,545 | | 07/04/2013 | | 07/04/2023 |
SCAKE 024 | | Australia | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9, 24, 25 | | 936,579 | | 12/04/2002 | | 936,579 | | 10/31/2003 | | 12/04/2022 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
9
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 020 | | Australia | | STRAWBERRY SHORTCAKE LOGO (WELCOME) | |  | | Registered | | Shortcake IP Holdings LLC | | 16 | | 345,960 | | 05/09/1980 | | 345,960 | | 05/09/2011 | | 05/09/2021 |
| | | | | | | | | | | |
SCAKE 019 | | Australia | | STRAWBERRY SHORTCAKE LOGO (WELCOME) | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 345,961 | | 05/09/1980 | | 345,961 | | 05/09/2011 | | 05/09/2021 |
| | | | | | | | | | | |
SCAKE 028 | | Austria | | EMILY ERDBEER | | | | Registered | | Shortcake IP Holdings LLC | | 9, 28, 41 | | 7464/2008 | | 11/14/2008 | | 250043 | | 03/18/2009 | | 03/31/2019 |
SCAKE 027 | | Austria | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | AM428/79 | | 02/13/1979 | | 90907 | | 04/18/1979 | | 04/30/2019 |
SCAKE 029 | | Belize | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 8199.11 | | 10/05/2011 | | 8199.11 | | 02/06/2012 | | 10/05/2021 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
10
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 041 | | Benelux | | ANNA AARDBEI | | | | Registered | | Shortcake IP Holdings LLC | | 9, 28, 41 | | 1188402 | | 09/16/2009 | | 0869131 | | 09/16/2009 | | 09/16/2019 |
SCAKE 032 | | Benelux | | BABA ORANGE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 643085 | | 05/27/1981 | | 0374688 | | 05/27/1981 | | 05/27/2021 |
SCAKE 035 | | Benelux | | CHARLOTTE AARDBEI | | | | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | 651972 | | 08/13/1982 | | 0383992 | | 08/13/1982 | | 08/13/2022 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
11
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 036 | | Benelux | | CHARLOTTE AUX FRAISES | | | | Registered | | Shortcake IP Holdings LLC | | 14, 16, 24, 25, 28 | | 635593 | | 03/18/1980 | | 0365068 | | 03/18/1980 | | 03/18/2020 |
SCAKE 040 | | Benelux | | CHARLOTTE AUX FRAISES | | | | Registered | | Shortcake IP Holdings LLC | | 9, 18, 20 | | 1045156 | | 12/02/2003 | | 0742868 | | 12/02/2003 | | 12/02/2023 |
SCAKE 031 | | Benelux | | LEMON MERINGUE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 643076 | | 05/27/1981 | | 0374679 | | 05/27/1981 | | 05/27/2021 |
SCAKE 038 | | Benelux | | MERINGUE CITRON | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 643084 | | 05/27/1981 | | 0374687 | | 05/27/1981 | | 05/27/2021 |
SCAKE 034 | | Benelux | | MOUSSE FRAMBOISE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 643083 | | 07/08/1981 | | 0374686 | | 07/08/1981 | | 07/08/2021 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
12
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 037 | | Benelux | | ORANGE BLOSSOM | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 643079 | | 05/27/1981 | | 0374682 | | 05/27/1981 | | 05/27/2021 |
SCAKE 030 | | Benelux | | RASPBERRY TART | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 643075 | | 05/27/1981 | | 0374678 | | 05/27/1981 | | 05/27/2021 |
SCAKE 039 | | Benelux | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 14, 24, 25 | | 635597 | | 03/18/1980 | | 0365071 | | 03/18/1980 | | 03/18/2020 |
SCAKE 033 | | Benelux | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | 628670 | | 02/12/1979 | | 0356901 | | 02/12/1979 | | 02/12/2019 |
SCAKE 042 | | Bolivia | | FRUTILLITA | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | SM-0751-03 | | 03/12/2003 | | 92556-A | | 07/01/2004 | | 07/01/2024 |
SCAKE 043 | | Bolivia | | FRUTILLITA | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | SM-0750-03 | | 03/12/2003 | | 94581-C | | 06/11/2004 | | 06/11/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
13
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 044 | | Bolivia | | FRUTILLITA | | | | Registered | | Shortcake IP Holdings LLC | | 24 | | SM-0752-03 | | 03/12/2003 | | 94584-C | | 06/11/2004 | | 06/11/2024 |
SCAKE 045 | | Bolivia | | FRUTILLITA | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | SM-0749-03 | | 03/12/2003 | | 94583-C | | 06/11/2004 | | 06/11/2024 |
SCAKE 046 | | Bolivia | | FRUTILLITA | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | SM-0753-03 | | 03/12/2003 | | 94603-C | | 06/14/2004 | | 06/14/2024 |
SCAKE 050 | | Bolivia | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 03369-2011 | | 02/15/2012 | | 133570-C | | 02/15/2012 | | 02/15/2022 |
SCAKE 047 | | Bolivia | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | SM-4035-03 | | 12/15/2003 | | 105228-C | | 08/31/2006 | | 08/31/2026 |
SCAKE 049 | | Bolivia | | STRAWBERRY SHORTCAKE with Circle Strawberry Design | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 2709-07 | | 07/04/2007 | | 128366-C | | 07/06/2001 | | 07/06/2021 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
14
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 048 | | Bolivia | | STRAWBERRY SHORTCAKE with Design 2 | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 2708-07 | | 07/04/2007 | | 128364-C | | 07/06/2011 | | 07/06/2021 |
| | | | | | | | | | | |
SCAKE 069 | | Brazil | | BOLINHO | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 28 | | 826277292 | | 02/27/2004 | | 826277292 | | 09/11/2007 | | 09/11/2017 |
SCAKE 066 | | Brazil | | ESPULETA | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 28 | | 826277314 | | 02/27/2004 | | 826277314 | | 09/11/2007 | | 09/11/2017 |
SCAKE 064 | | Brazil | | LARANJINHA | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 28 | | 826277322 | | 02/27/2004 | | 826277322 | | 09/11/2007 | | 09/11/2017 |
SCAKE 073 | | Brazil | | MACAZINHA | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 28 | | 827872909 | | 10/21/2005 | | 827872909 | | 02/12/2008 | | 02/12/2018 |
SCAKE 065 | | Brazil | | MELZINHO | | | | Filed | | Those Characters From Cleveland, Inc. - assignment filed | | 28 | | 826277330 | | 02/27/2004 | | | | | | |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
15
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 075 | | Brazil | | MORANGUINHO | | | | Filed | | Those Characters From Cleveland, Inc. - assignment filed | | 3 | | 907617239 | | 04/28/2014 | | | | | | |
SCAKE 076 | | Brazil | | MORANGUINHO | | | | Filed | | Those Characters From Cleveland, Inc. - assignment filed | | 5 | | 908360762 | | 09/29/2014 | | | | | | |
SCAKE 077 | | Brazil | | MORANGUINHO | | | | Filed | | Those Characters From Cleveland, Inc. - assignment filed | | 12 | | 908935080 | | 01/30/2015 | | | | | | |
SCAKE 058 | | Brazil | | MORANGUINHO | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 14 | | 825270014 | | 02/11/2003 | | 825270014 | | 05/08/2007 | | 5/8/2017 - renewal in process |
SCAKE 057 | | Brazil | | MORANGUINHO | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 16 | | 811132595 | | 04/07/1983 | | 811132595 | | 06/05/1984 | | 06/05/2024 |
SCAKE 051 | | Brazil | | MORANGUINHO | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 16 | | 813675235 | | 07/20/1987 | | 813675235 | | 03/28/1989 | | 03/28/2019 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
16
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 059 | | Brazil | | MORANGUINHO | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 18 | | 825269997 | | 02/11/2003 | | 825269997 | | 05/08/2007 | | 5/8/2017 - renewal in process |
SCAKE 081 | | Brazil | | MORANGUINHO | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 20 | | 830906460 | | 01/18/2011 | | 830906460 | | 06/24/2014 | | 06/24/2024 |
SCAKE 060 | | Brazil | | MORANGUINHO | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 21 | | 825270006 | | 02/11/2003 | | 825270006 | | 05/08/2007 | | 5/8/2017 - renewal in process |
SCAKE 055 | | Brazil | | MORANGUINHO | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 24 | | 811132617 | | 04/07/1983 | | 811132617 | | 06/05/1984 | | 06/05/2024 |
SCAKE 078 | | Brazil | | MORANGUINHO | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 27 | | 902024108 | | 10/09/2009 | | 902024108 | | 12/24/2013 | | 12/24/2023 |
SCAKE 056 | | Brazil | | MORANGUINHO | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 28 | | 810697530 | | 11/27/1981 | | 810697530 | | 08/16/1983 | | 08/16/2023 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
17
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 080 | | Brazil | | MORANGUINHO (Stylized) | |  | | Filed | | Those Characters From Cleveland, Inc. - assignment filed | | 41 | | 830841466 | | 11/17/2010 | | | | | | |
| | | | | | | | | | | |
SCAKE 072 | | Brazil | | MORANGUINHO with Design | |  | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 3 | | 827051735 | | 11/04/2004 | | 827051735 | | 10/23/2007 | | 10/23/2017 |
| | | | | | | | | | | |
SCAKE 061 | | Brazil | | MORANGUINHO with design | |  | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 9 | | 825764939 | | 08/20/2003 | | 825764939 | | 04/01/2008 | | 04/01/2018 |
| | | | | | | | | | | |
SCAKE 070 | | Brazil | | PAO-DE-MEL | | | | Filed | | Those Characters From Cleveland, Inc. - assignment filed | | 28 | | 826277268 | | 02/27/2004 | | | | | | |
SCAKE 071 | | Brazil | | PIMENTINHA | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 28 | | 826277357 | | 02/27/2004 | | 826277357 | | 09/11/2007 | | 09/11/2017 |
SCAKE 067 | | Brazil | | PUDIM | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 28 | | 826277284 | | 02/27/2004 | | 826277284 | | 09/11/2007 | | 09/11/2017 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
18
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 068 | | Brazil | | ROCAMBOLE | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 28 | | 826277306 | | 02/27/2004 | | 826277306 | | 09/11/2007 | | 09/11/2017 |
SCAKE 062 | | Brazil | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 9 | | 825945690 | | 10/06/2003 | | 825945690 | | 07/31/2007 | | 07/31/2017 |
SCAKE 052 | | Brazil | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 16 | | 8080/79 | | 03/29/1979 | | 007179529 | | 02/25/1980 | | 02/25/2020 |
SCAKE 074 | | Brazil | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 18 | | 829475141 | | 11/12/2007 | | 829475141 | | 12/15/2009 | | 12/15/2019 |
SCAKE 063 | | Brazil | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 25 | | 825945704 | | 10/06/2003 | | 825945704 | | 07/31/2007 | | 07/31/2017 |
SCAKE 053 | | Brazil | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 28 | | 8083/79 | | 03/29/1979 | | 007179537 | | 04/10/1980 | | 04/10/2020 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
19
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 079 | | Brazil | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 41 | | 830841440 | | 11/17/2010 | | 830841440 | | 05/27/2014 | | 05/27/2024 |
SCAKE 082 | | Brazil | | STRAWBERRY SHORTCAKE DANCE POSE Logo | | 
| | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 18 | | 831246219 | | 10/21/2011 | | 831246219 | | 12/16/2014 | | 12/16/2024 |
SCAKE 083 | | Brazil | | STRAWBERRY SHORTCAKE DANCE POSE Logo | | 
| | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 28 | | 831246197 | | 10/21/2011 | | 831246197 | | 12/16/2014 | | 12/16/2024 |
SCAKE 054 | | Brazil | | STRAWBERRY SHORTCAKE LOGO WITH MORANGUINHO | |  | | Registered | | Those Characters From Cleveland, Inc. - assignment filed | | 30 | | 813679672 | | 07/23/1987 | | 813679672 | | 03/14/1989 | | 03/14/2019 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
20
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 105 | | Canada | | AMANDELLE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 496,574 | | 12/21/1982 | | 299,653 | | 02/01/1985 | | 02/01/2030 |
SCAKE 116 | | Canada | | APPLE DUMPLIN’ | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,150,420 | | 08/21/2002 | | 608,724 | | 04/27/2004 | | 04/27/2019 |
SCAKE 100 | | Canada | | BLEUETTE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 510572 | | 10/12/1983 | | 302112 | | 04/19/1985 | | 04/19/2030 |
SCAKE 101 | | Canada | | BLUEBERRY MUFFIN | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 493372 | | 10/13/1982 | | 306748 | | 09/06/1985 | | 09/06/2030 |
SCAKE 126 | | Canada | | BUTTER PECAN | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,288,603 | | 02/03/2006 | | 682,333 | | 02/26/2007 | | 02/26/2022 |
SCAKE 121 | | Canada | | CARAMELO | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,172,775 | | 03/28/2003 | | 663,592 | | 05/03/2006 | | 05/03/2021 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
21
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 118 | | Canada | | CHAUSSON | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,172,778 | | 03/28/2003 | | 663,593 | | 05/03/2006 | | 05/03/2021 |
SCAKE 137 | | Canada | | CHERRY JAM | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,506,097 | | 12/01/2010 | | 866,994 | | 12/10/2013 | | 12/10/2028 |
SCAKE 127 | | Canada | | CHERRY VANILLA | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,288,602 | | 02/03/2006 | | 692,166 | | 07/17/2007 | | 07/17/2022 |
SCAKE 115 | | Canada | | CHOCOLATE CHIPMUNK | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,150,419 | | 08/21/2002 | | 601,567 | | 02/06/2004 | | 02/06/2019 |
SCAKE 123 | | Canada | | CHOU A LA CREME | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,172,773 | | 03/28/2003 | | 622,330 | | 10/12/2004 | | 10/12/2019 |
SCAKE 097 | | Canada | | CITRONETTE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 472785 | | 07/17/1981 | | 302041 | | 04/19/1985 | | 04/19/2030 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
22
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 130 | | Canada | | COOKIE DOUGH | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,288,599 | | 02/03/2006 | | 687,691 | | 05/14/2007 | | 05/14/2022 |
SCAKE 132 | | Canada | | CREPES SUZETTE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,311,341 | | 08/01/2006 | | 692,588 | | 07/23/2007 | | 07/23/2022 |
SCAKE 102 | | Canada | | CUSTARD | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 493373 | | 10/13/1982 | | 302094 | | 04/19/1985 | | 04/19/2030 |
SCAKE 090 | | Canada | | FLANFOLLET | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 510574 | | 10/12/1983 | | 302060 | | 04/19/1985 | | 04/19/2030 |
SCAKE 092 | | Canada | | FRAISINETTE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 479953 | | 01/14/1982 | | 320652 | | 11/14/1986 | | 11/14/2031 |
SCAKE 125 | | Canada | | FRAISINETTE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1269553 | | 08/23/2005 | | 705,439 | | 01/23/2008 | | 01/23/2023 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
23
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 091 | | Canada | | FRAISINETTE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 451852 | | 03/28/1980 | | 313650 | | 04/25/1986 | | 04/25/2031 |
SCAKE 131 | | Canada | | FROSTY PUFF | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,311,340 | | 08/01/2006 | | 692,587 | | 07/23/2007 | | 07/23/2022 |
SCAKE 114 | | Canada | | GINGER SNAP | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,150,418 | | 08/21/2002 | | 608,984 | | 04/29/2004 | | 04/29/2019 |
SCAKE 094 | | Canada | | GRIGNOTINE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 510571 | | 10/12/1983 | | 302059 | | 04/19/1985 | | 04/19/2030 |
SCAKE 113 | | Canada | | HONEY PIE PONY | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,150,417 | | 08/21/2002 | | 648,451 | | 09/19/2005 | | 09/19/2020 |
SCAKE 112 | | Canada | | HUCKLEBERRY PIE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,150,416 | | 08/21/2002 | | 648,430 | | 09/19/2005 | | 09/19/2020 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
24
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 111 | | Canada | | LEMON MERINGUE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,150,415 | | 08/21/2002 | | 671,939 | | 09/01/2006 | | 09/01/2021 |
SCAKE 117 | | Canada | | MADELEINE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,172,779 | | 03/28/2003 | | 622,710 | | 10/18/2004 | | 10/18/2019 |
SCAKE 120 | | Canada | | MAM’ZELLE GALETTE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,172,776 | | 03/28/2003 | | 621,978 | | 10/06/2004 | | 10/06/2019 |
SCAKE 122 | | Canada | | MANDARINE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,172,774 | | 03/28/2003 | | 622,169 | | 10/07/2004 | | 10/07/2019 |
SCAKE 110 | | Canada | | MARMALADE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,150,414 | | 08/21/2002 | | 621,989 | | 10/06/2004 | | 10/06/2019 |
SCAKE 129 | | Canada | | MILKSHAKE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,288,600 | | 02/03/2006 | | 682,334 | | 02/26/2007 | | 02/26/2022 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
25
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 108 | | Canada | | ORANGE BLOSSOM | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 472793 | | 07/17/1981 | | 307932 | | 11/01/1985 | | 11/01/2030 |
SCAKE 128 | | Canada | | ORANGE TWIST | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,288,601 | | 02/03/2006 | | 690,538 | | 06/21/2007 | | 06/21/2022 |
SCAKE 119 | | Canada | | PEPITE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,172,777 | | 03/28/2003 | | 622,216 | | 10/07/2004 | | 10/07/2019 |
SCAKE 084 | | Canada | | PETIT BEIGNET | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 510570 | | 10/12/1983 | | 302058 | | 04/19/1985 | | 04/19/2030 |
SCAKE 088 | | Canada | | PUPCAKE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 493374 | | 10/13/1982 | | 302048 | | 04/19/1985 | | 04/19/2030 |
SCAKE 124 | | Canada | | RAINBOW SHERBET | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,198,720 | | 12/05/2003 | | 678,873 | | 01/04/2007 | | 01/04/2022 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
26
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 095 | | Canada | | RASPBERRY TART | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 472797 | | 07/17/1981 | | 301855 | | 04/12/1985 | | 04/12/2030 |
SCAKE 133 | | Canada | | RASPBERRY TORTE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,311,346 | | 08/01/2006 | | 692,589 | | 07/23/2007 | | 07/23/2022 |
SCAKE 089 | | Canada | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 435,636 | | 02/12/1979 | | 275,798 | | 01/14/1983 | | 01/14/2028 |
SCAKE 093 | | Canada | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 479952 | | 01/14/1982 | | 320146 | | 10/31/1986 | | 10/31/2031 |
SCAKE 103 | | Canada | | STRAWBERRY SHORTCAKE LOGO (Canadian French) | |  | | Registered | | Shortcake IP Holdings LLC | | N/A | | 479955 | | 01/14/1982 | | 319894 | | 10/24/1986 | | 10/24/2031 |
SCAKE 135 | | Canada | | SWEET GRAPES | | | | Filed | | Shortcake IP Holdings LLC | | N/A | | 1,696,796 | | 10/06/2014 | | | | | | |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
27
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 136 | | Canada | | TEA TIME TURTLE | | | | Filed | | Shortcake IP Holdings LLC | | N/A | | 1,696,797 | | 10/06/2014 | | | | | | |
SCAKE 109 | | Canada | | VANILLA ICING | | | | Registered | | Shortcake IP Holdings LLC | | N/A | | 1,150,411 | | 08/21/2002 | | 602,183 | | 02/13/2004 | | 02/13/2019 |
SCAKE 147 | | Chile | | FRUTILLITA | | | | Registered | | Shortcake IP Holdings LLC | | 3 | | 937079 | | 01/14/2011 | | 933585 | | 10/03/2011 | | 10/03/2021 |
SCAKE 139 | | Chile | | FRUTILLITA | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 1052709 | | 04/04/2013 | | 1030079 | | 05/15/2013 | | 05/15/2023 |
SCAKE 140 | | Chile | | FRUTILLITA | | | | Registered | | Shortcake IP Holdings LLC | | 9, 14, 18, 21, 28 | | 1052708 | | 04/04/2013 | | 1030077 | | 06/13/2013 | | 06/13/2023 |
SCAKE 142 | | Chile | | FRUTILLITA with design | |  | | Registered | | Shortcake IP Holdings LLC | | 24 | | 1098753 | | 03/14/2014 | | 1093856 | | 03/19/2014 | | 03/19/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
28
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 145 | | Chile | | FRUTILLITA with Design | | 
| | Registered | | Shortcake IP Holdings LLC | | 25 | | 825841 | | 06/23/2008 | | 859112 | | 09/01/2009 | | 09/01/2019 |
SCAKE 141 | | Chile | | FRUTILLITA with design | | 
| | Registered | | Shortcake IP Holdings LLC | | 25 | | 1098754 | | 03/14/2014 | | 1093858 | | 03/19/2014 | | 03/19/2024 |
SCAKE 138 | | Chile | | STRAWBERRY SHORTCAKE | | 
| | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | 1111994 | | 06/20/2014 | | 1120783 | | 08/12/2014 | | 08/12/2024 |
SCAKE 144 | | Chile | | STRAWBERRY SHORTCAKE with Circle Strawberry Design | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 778973 | | 06/27/2007 | | 822114 | | 07/18/2008 | | 07/18/2018 |
SCAKE 143 | | Chile | | STRAWBERRY SHORTCAKE with Design 2 | | 
| | Registered | | Shortcake IP Holdings LLC | | 28 | | 778972 | | 06/27/2007 | | 822113 | | 07/18/2008 | | 07/18/2018 |
SCAKE 146 | | Chile | | STRAWBERRY SHORTCAKE with vine border Design | |  | | Registered | | Shortcake IP Holdings LLC | | 3 | | 1102020 | | 04/08/2014 | | 1160516 | | 03/26/2015 | | 03/26/2025 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
29
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 157 | | China P.R. | | Cao Mei Tian Xin in Chinese characters (“STRAWBERRY SHORTCAKE”) | |  | | Registered | | Shortcake IP Holdings LLC | | 9 | | 6124110 | | 06/22/2007 | | 6124110 | | 02/21/2010 | | 02/20/2020 |
SCAKE 168 | | China P.R. | | Cao Mei Tian Xin in Chinese characters (“STRAWBERRY SHORTCAKE”) | |  | | Registered | | Shortcake IP Holdings LLC | | 14 | | 12715083 | | 06/06/2013 | | 12715083 | | 10/21/2014 | | 10/20/2024 |
SCAKE 158 | | China P.R. | | Cao Mei Tian Xin in Chinese characters (“STRAWBERRY SHORTCAKE”) | |  | | Registered | | Shortcake IP Holdings LLC | | 16 | | 6124109 | | 06/22/2007 | | 6124109 | | 02/07/2010 | | 02/06/2020 |
SCAKE 159 | | China P.R. | | Cao Mei Tian Xin in Chinese characters (“STRAWBERRY SHORTCAKE”) | |  | | Registered | | Shortcake IP Holdings LLC | | 18 | | 6124128 | | 06/22/2007 | | 6124128 | | 09/28/2013 | | 09/27/2023 |
SCAKE 169 | | China P.R. | | Cao Mei Tian Xin in Chinese characters (“STRAWBERRY SHORTCAKE”) | |  | | Registered | | Shortcake IP Holdings LLC | | 21 | | 12715082 | | 06/06/2013 | | 12715082 | | 10/21/2014 | | 10/20/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
30
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 160 | | China P.R. | | Cao Mei Tian Xin in Chinese characters (“STRAWBERRY SHORTCAKE”) | |  | | Registered | | Shortcake IP Holdings LLC | | 24 | | 6124127 | | 06/22/2007 | | 6124127 | | 03/28/2010 | | 03/27/2020 |
SCAKE 161 | | China P.R. | | Cao Mei Tian Xin in Chinese characters (“STRAWBERRY SHORTCAKE”) | |  | | Registered | | Shortcake IP Holdings LLC | | 25 | | 6124126 | | 06/22/2007 | | 6124126 | | 08/14/2014 | | 08/13/2024 |
SCAKE 170 | | China P.R. | | Cao Mei Tian Xin in Chinese characters (“STRAWBERRY SHORTCAKE”) | |  | | Registered | | Shortcake IP Holdings LLC | | 25 | | 12715081 | | 06/06/2013 | | 12715081 | | 10/21/2014 | | 10/20/2024 |
SCAKE 162 | | China P.R. | | Cao Mei Tian Xin in Chinese characters (“STRAWBERRY SHORTCAKE”) | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 6124125 | | 06/22/2007 | | 6124125 | | 03/28/2010 | | 03/27/2020 |
SCAKE 171 | | China P.R. | | Cao Mei Tian Xin in Chinese Characters (“STRAWBERRY SHORTCAKE”) | |  | | Registered | | Shortcake IP Holdings LLC | | 41 | | 12715080 | | 06/06/2013 | | 12715080 | | 10/21/2014 | | 10/20/2024 |
SCAKE 167 | | China P.R. | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 14 | | 6907510 | | 08/19/2008 | | 6907510 | | 05/14/2010 | | 05/13/2020 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
31
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 148 | | China P.R. | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 4307615 | | 10/13/2004 | | 4307615 | | 12/07/2007 | | 12/06/2017 |
SCAKE 149 | | China P.R. | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 24 | | 4307614 | | 10/13/2004 | | 4307614 | | 08/21/2008 | | 08/20/2018 |
SCAKE 150 | | China P.R. | | STRAWBERRY SHORTCAKE | | 
| | Registered | | Shortcake IP Holdings LLC | | 28 | | 4307603 | | 10/13/2004 | | 4307603 | | 08/21/2008 | | 08/20/2018 |
SCAKE 163 | | China P.R. | | STRAWBERRY SHORTCAKE and Chinese letters | | 
| | Registered | | Shortcake IP Holdings LLC | | 25 | | 13982118 | | 01/26/2014 | | 13982118 | | 10/21/2016 | | 10/20/2026 |
SCAKE 166 | | China P.R. | | Strawberry Shortcake Design 3 without words | | 
| | Registered | | Shortcake IP Holdings LLC | | 20 | | 12715084 | | 06/06/2013 | | 12715084 | | 10/21/2014 | | 10/20/2024 |
SCAKE 193 | | China P.R. | | Strawberry Shortcake Design 3 without words | | 
| | Registered | | Shortcake IP Holdings LLC | | 30 | | 8829080 | | 11/29/2010 | | 8829080 | | 11/28/2011 | | 11/27/2021 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
32
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 183 | | China P.R. | | Strawberry Shortcake Design3 without words | | 
| | Registered | | Shortcake IP Holdings LLC | | 3 | | 8183854 | | 04/07/2010 | | 8183854 | | 04/07/2011 | | 04/06/2021 |
SCAKE 184 | | China P.R. | | Strawberry Shortcake Design3 without words | | 
| | Registered | | Shortcake IP Holdings LLC | | 9 | | 8183853 | | 04/07/2010 | | 8183853 | | 04/07/2011 | | 04/06/2021 |
SCAKE 185 | | China P.R. | | Strawberry Shortcake Design3 without words | | 
| | Registered | | Shortcake IP Holdings LLC | | 14 | | 8183852 | | 04/07/2010 | | 8183852 | | 04/14/2011 | | 04/13/2021 |
SCAKE 186 | | China P.R. | | Strawberry Shortcake Design3 without words | | 
| | Registered | | Shortcake IP Holdings LLC | | 16 | | 8183851 | | 04/07/2010 | | 8183851 | | 04/14/2011 | | 04/13/2021 |
SCAKE 187 | | China P.R. | | Strawberry Shortcake Design3 without words | |  | | Registered | | Shortcake IP Holdings LLC | | 18 | | 8183850 | | 04/07/2010 | | 8183850 | | 04/07/2011 | | 04/06/2021 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
33
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 188 | | China P.R. | | Strawberry Shortcake Design3 without words | | 
| | Registered | | Shortcake IP Holdings LLC | | 21 | | 8183849 | | 04/07/2010 | | 8183849 | | 04/14/2011 | | 04/13/2021 |
SCAKE 189 | | China P.R. | | Strawberry Shortcake Design3 without words | | 
| | Registered | | Shortcake IP Holdings LLC | | 24 | | 8183848 | | 04/07/2010 | | 8183848 | | 04/07/2011 | | 04/06/2021 |
SCAKE 190 | | China P.R. | | Strawberry Shortcake Design3 without words | | 
| | Registered | | Shortcake IP Holdings LLC | | 25 | | 8183847 | | 04/07/2010 | | 8183847 | | 04/07/2011 | | 04/06/2021 |
SCAKE 191 | | China P.R. | | Strawberry Shortcake Design3 without words | | 
| | Registered | | Shortcake IP Holdings LLC | | 28 | | 8183846 | | 04/07/2010 | | 8183846 | | 04/07/2011 | | 04/06/2021 |
SCAKE 192 | | China P.R. | | Strawberry Shortcake Design3 without words | |  | | Registered | | Shortcake IP Holdings LLC | | 41 | | 8183845 | | 04/07/2010 | | 8183845 | | 04/07/2011 | | 04/06/2021 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
34
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 151 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 2 | | 
| | Registered | | Shortcake IP Holdings LLC | | 9 | | 6090838 | | 06/05/2007 | | 6090838 | | 02/14/2010 | | 02/13/2020 |
SCAKE 152 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 2 | | 
| | Registered | | Shortcake IP Holdings LLC | | 16 | | 6090837 | | 06/05/2007 | | 6090837 | | 01/21/2010 | | 01/20/2020 |
SCAKE 153 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 2 | | 
| | Registered | | Shortcake IP Holdings LLC | | 18 | | 6090836 | | 06/05/2007 | | 6090836 | | 02/14/2014 | | 02/13/2024 |
SCAKE 154 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 2 | | 
| | Registered | | Shortcake IP Holdings LLC | | 24 | | 6090835 | | 06/05/2007 | | 6090835 | | 03/28/2010 | | 03/27/2020 |
SCAKE 155 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 2 | | 
| | Registered | | Shortcake IP Holdings LLC | | 25 | | 6090834 | | 06/05/2007 | | 6090834 | | 07/14/2014 | | 07/13/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
35
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 164 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 2 | | 

| | Registered | | Shortcake IP Holdings LLC | | 25 | | 13781671 | | 12/23/2013 | | 13781671 | | 02/21/2016 | | 02/20/2026 |
SCAKE 156 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 2 | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 6090833 | | 06/05/2007 | | 6090833 | | 03/28/2010 | | 03/27/2020 |
SCAKE 172 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 2 (no words just Design) | | | Registered | | Shortcake IP Holdings LLC | | 30 | | 8130404 | | 03/18/2010 | | 8130404 | | 12/28/2011 | | 12/27/2021 |
SCAKE 173 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 3 | | 

| | Registered | | Shortcake IP Holdings LLC | | 3 | | 8183834 | | 04/07/2010 | | 8183834 | | 04/07/2011 | | 04/06/2021 |
SCAKE 174 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 3 | |  | | Registered | | Shortcake IP Holdings LLC | | 9 | | 8183833 | | 04/07/2010 | | 8183833 | | 04/07/2011 | | 04/06/2021 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
36
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 175 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 3 | | 
| | Registered | | Shortcake IP Holdings LLC | | 14 | | 8183832 | | 04/07/2010 | | 8183832 | | 04/07/2011 | | 04/06/2021 |
SCAKE 176 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 3 | | 
| | Registered | | Shortcake IP Holdings LLC | | 16 | | 8183831 | | 04/07/2010 | | 8183831 | | 04/07/2011 | | 04/06/2021 |
SCAKE 177 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 3 | | 
| | Registered | | Shortcake IP Holdings LLC | | 18 | | 8183830 | | 04/07/2010 | | 8183830 | | 08/07/2013 | | 08/06/2023 |
SCAKE 178 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 3 | | 
| | Registered | | Shortcake IP Holdings LLC | | 21 | | 8183829 | | 04/07/2010 | | 8183829 | | 08/07/2013 | | 08/06/2023 |
SCAKE 179 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 3 | | 
| | Registered | | Shortcake IP Holdings LLC | | 24 | | 8183828 | | 04/07/2010 | | 8183828 | | 04/07/2011 | | 04/06/2021 |
SCAKE 180 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 3 | | 
| | Registered | | Shortcake IP Holdings LLC | | 25 | | 8183827 | | 04/07/2010 | | 8183827 | | 03/07/2014 | | 03/06/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
37
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 181 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 3 | | 
| | Registered | | Shortcake IP Holdings LLC | | 28 | | 8183826 | | 04/07/2010 | | 8183826 | | 04/07/2011 | | 04/06/2021 |
SCAKE 182 | | China P.R. | | STRAWBERRY SHORTCAKE with Design 3 | |  | | Registered | | Shortcake IP Holdings LLC | | 41 | | 8183825 | | 04/07/2010 | | 8183825 | | 04/07/2011 | | 04/06/2021 |
SCAKE 165 | | China P.R. | | STRAWBERRY-SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 4856500 | | 08/25/2005 | | 4856500 | | 05/21/2009 | | 05/20/2019 |
SCAKE 194 | | Colombia | | FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 3008192 | | 02/04/2003 | | 272314 | | 08/28/2003 | | 08/28/2023 |
SCAKE 195 | | Colombia | | FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 14 | | 3008191 | | 02/04/2003 | | 272315 | | 08/28/2003 | | 08/28/2023 |
SCAKE 196 | | Colombia | | FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 3008185 | | 02/04/2003 | | 272323 | | 08/28/2003 | | 08/28/2023 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
38
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 197 | | Colombia | | FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 18 | | 3008190 | | 02/04/2003 | | 272316 | | 08/28/2003 | | 08/28/2023 |
SCAKE 198 | | Colombia | | FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 21 | | 3008189 | | 02/04/2003 | | 272325 | | 08/28/2003 | | 08/28/2023 |
SCAKE 205 | | Colombia | | FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 08-119795 | | 11/10/2008 | | 378631 | | 05/14/2009 | | 05/14/2019 |
SCAKE 199 | | Colombia | | FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 3008187 | | 02/04/2003 | | 272324 | | 08/28/2003 | | 08/28/2023 |
SCAKE 209 | | Colombia | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 11-080720 | | 06/28/2011 | | 448306 | | 04/30/2012 | | 04/30/2022 |
SCAKE 202 | | Colombia | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 3109412 | | 12/15/2003 | | 283624 | | 07/21/2004 | | 07/21/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
39
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 206 | | Colombia | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 08-129874 | | 12/05/2008 | | 380866 | | 06/24/2009 | | 06/24/2019 |
SCAKE 200 | | Colombia | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 24 | | 391334 | | 10/14/2003 | | 281626 | | 05/27/2004 | | 05/27/2024 |
SCAKE 201 | | Colombia | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 3091335 | | 10/14/2003 | | 281627 | | 05/27/2004 | | 05/27/2024 |
SCAKE 207 | | Colombia | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 08-129876 | | 12/05/2008 | | 380867 | | 06/24/2009 | | 06/24/2019 |
SCAKE 208 | | Colombia | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 41 | | 08-129879 | | 12/05/2008 | | 380869 | | 06/24/2009 | | 06/24/2019 |
SCAKE 204 | | Colombia | | STRAWBERRY SHORTCAKE with Circle Strawberry Design | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 07-065323 | | 06/27/2007 | | 345040 | | 01/30/2008 | | 01/30/2018 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
40
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 203 | | Colombia | | STRAWBERRY SHORTCAKE with Design 2 | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 07-065322 | | 06/27/2007 | | 345039 | | 01/30/2008 | | 01/30/2018 |
SCAKE 210 | | Costa Rica | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 2003- 0004607 | | 07/18/2003 | | 143547 | | 01/19/2004 | | 01/19/2024 |
SCAKE 211 | | Costa Rica | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 2003- 0004608 | | 07/18/2003 | | 144873 | | 02/26/2004 | | 02/26/2024 |
SCAKE 212 | | Costa Rica | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 24 | | 2003- 0004609 | | 07/18/2003 | | 143546 | | 01/19/2004 | | 01/19/2024 |
SCAKE 213 | | Costa Rica | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 2003- 0004611 | | 07/18/2003 | | 143544 | | 01/19/2004 | | 01/19/2024 |
SCAKE 214 | | Costa Rica | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 2003- 004610 | | 07/18/2003 | | 143545 | | 01/19/2004 | | 01/19/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
41
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 215 | | Costa Rica | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | 2007- 0000915 | | 02/01/2007 | | 172720 | | 01/25/2008 | | 01/25/2018 |
SCAKE 218 | | Costa Rica | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9, 41 | | 2009- 0009616 | | 11/04/2009 | | 199218 | | 03/01/2010 | | 03/01/2020 |
SCAKE 217 | | Costa Rica | | STRAWBERRY SHORTCAKE with Circle Strawberry Design | | 
| | Registered | | Shortcake IP Holdings LLC | | 28 | | 2007- 0016105 | | 12/20/2007 | | 176608 | | 06/18/2008 | | 06/18/2018 |
SCAKE 216 | | Costa Rica | | STRAWBERRY SHORTCAKE with Design 2 | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 2007- 0016110 | | 12/20/2007 | | 176531 | | 06/17/2008 | | 06/17/2018 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
42
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 220 | | Croatia | | JAGODICA BOBICA | | 
| | Registered | | Shortcake IP Holdings LLC | | 9, 28, 41 | | Z20082615 | | 12/11/2008 | | Z20082615 | | 12/04/2009 | | 12/11/2018 |
SCAKE 219 | | Croatia | | STRAWBERRY SHORTCAKE with Design | |  | | Registered | | Shortcake IP Holdings LLC | | 18, 25, 28 | | Z20062352 | | 12/12/2006 | | Z20062352 | | 04/30/2008 | | 12/12/2026 |
SCAKE 221 | | Czech Republic | | JAHUDKA | | | | Registered | | Shortcake IP Holdings LLC | | 9, 28, 41 | | 464445 | | 12/11/2008 | | 305201 | | 04/29/2009 | | 12/11/2018 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
43
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 223 | | Denmark | | JORDBAER MARIE | | | | Registered | | Shortcake IP Holdings LLC | | 9, 16, 28 | | VA200503808 | | 09/14/2005 | | VR200603406 | | 11/08/2006 | | 11/08/2026 |
SCAKE 222 | | Denmark | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | VA006351979 | | 02/13/1979 | | VR030401979 | | 10/19/1979 | | 10/19/2019 |
SCAKE 224 | | Dominican Republic | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 2004-34641 | | 04/29/2004 | | 142723 | | 07/30/2004 | | 07/30/2024 |
SCAKE 225 | | Dominican Republic | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 2004-34642 | | 04/29/2004 | | 142724 | | 07/30/2004 | | 07/30/2024 |
SCAKE 226 | | Dominican Republic | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 2004-34643 | | 04/29/2004 | | 142722 | | 07/30/2004 | | 07/30/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
44
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 231 | | Ecuador | | FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 24 | | 2014- 55611 | | 02/25/2014 | | 8601 | | 10/13/2014 | | 09/11/2024 |
SCAKE 235 | | Ecuador | | FRUTILLITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 28 | | 223468 | | 12/28/2009 | | 3119-10 | | 05/26/2010 | | 05/26/2020 |
SCAKE 227 | | Ecuador | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 139943 | | 12/11/2003 | | 29769 | | 04/15/2004 | | 04/15/2024 |
SCAKE 228 | | Ecuador | | ROSITA FRESITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 28 | | 139944 | | 12/11/2003 | | 200 | | 04/15/2004 | | 04/15/2024 |
SCAKE 232 | | Ecuador | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. | | 9 | | 208300 | | 12/10/2008 | | 3473-09 | | 05/04/2009 | | 05/04/2019 |
SCAKE 233 | | Ecuador | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. | | 28 | | 208301 | | 12/10/2008 | | 3474-09 | | 05/04/2009 | | 05/04/2019 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
45
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 234 | | Ecuador | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. | | 41 | | 208302 | | 12/10/2008 | | 1546-09 | | 05/04/2009 | | 05/04/2019 |
SCAKE 230 | | Ecuador | | STRAWBERRY SHORTCAKE with Circle Strawberry Design | | 
| | Registered | | Shortcake IP Holdings LLC | | 28 | | 186264 | | 07/09/2007 | | 308-08 | | 12/10/2007 | | 12/10/2017 |
SCAKE 229 | | Ecuador | | STRAWBERRY SHORTCAKE with Design 2 | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 186263 | | 07/09/2007 | | 309-08 | | 12/10/2007 | | 12/10/2017 |
SCAKE 237 | | El Salvador | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 20030040421 | | 07/31/2003 | | 65 Book 17 | | 07/27/2004 | | 07/27/2024 |
SCAKE 238 | | El Salvador | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 20030040423 | | 07/31/2003 | | 66 Book 17 | | 07/27/2004 | | 07/27/2024 |
SCAKE 239 | | El Salvador | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 24 | | 20030040422 | | 07/31/2003 | | 4 Book 17 | | 07/20/2004 | | 07/20/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
46
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 240 | | El Salvador | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 20030040420 | | 07/31/2003 | | 26 Book 17 | | 07/21/2004 | | 07/21/2024 |
SCAKE 241 | | El Salvador | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 20030040419 | | 07/31/2003 | | 25 Book 17 | | 07/21/2004 | | 07/21/2024 |
SCAKE 244 | | El Salvador | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 20090129477 | | 11/09/2009 | | 8 Book 152 | | 06/09/2010 | | 06/09/2020 |
SCAKE 245 | | El Salvador | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 41 | | 20090129476 | | 11/09/2009 | | 126 Book 150 | | 05/17/2010 | | 05/17/2020 |
SCAKE 236 | | El Salvador | | STRAWBERRY SHORTCAKE LOGO WITH FRESITA | |  | | Registered | | Shortcake IP Holdings LLC | | 16 | | 154 | | 01/31/1985 | | 96 Book 133 | | 01/07/1992 | | 01/07/2022 |
SCAKE 243 | | El Salvador | | STRAWBERRY SHORTCAKE with Circle Strawberry | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 20070095145 | | 06/27/2007 | | 184 Book 95 | | 11/15/2007 | | 11/15/2017 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
47
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 242 | | El Salvador | | STRAWBERRY SHORTCAKE with Design 2 | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 20070095144 | | 06/27/2007 | | 54 Book 119 | | 12/03/2008 | | 12/03/2018 |
SCAKE 251 | | European Union | | BLUEBERRY MUFFIN | | | | Registered | | Shortcake IP Holdings LLC | | 16, 18, 28 | | 8167355 | | 03/19/2009 | | 8167355 | | 11/22/2009 | | 03/31/2019 |
SCAKE 250 | | European Union | | SSC DESIGN (Registered Design) | |  | | Registered | | Shortcake IP Holdings LLC | | | | 000973029- 0001 | | 07/18/2008 | | 973029- 0001 | | 07/18/2008 | | 07/31/2018 |
SCAKE 248 | | European Union | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 12, 18, 41 | | 4794483 | | 12/20/2005 | | 4794483 | | 06/05/2006 | | 12/31/2025 |
SCAKE 247 | | European Union | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 3, 21, 30 | | 3446523 | | 10/24/2003 | | 3446523 | | 04/22/2005 | | 10/31/2023 |
SCAKE 246 | | European Union | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9, 14, 16, 18, 24, 25, 28 | | 2956142 | | 12/03/2002 | | 2956142 | | 10/29/2004 | | 12/31/2022 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
48
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 246 | | European Union | | STRAWBERRY SHORTCAKE with Design 2 | |  | | Registered | | Shortcake IP Holdings LLC | | 9, 16, 18, 21, 24, 25, 28 | | 6040653 | | 06/26/2007 | | 6040653 | | 02/18/2008 | | 6/30/2017 - scheduled for renewal |
SCAKE 252 | | Finland | | MANSIKKA-MARJA | | | | Registered | | Shortcake IP Holdings LLC | | 16, 21, 28 | | T200502377 | | 09/15/2005 | | 236542 | | 08/31/2006 | | 08/31/2026 |
SCAKE 253 | | Finland | | MANSIKKA-MARJA | | | | Registered | | Shortcake IP Holdings LLC | | 9, 25, 41 | | T200902819 | | 10/19/2009 | | 248373 | | 02/26/2010 | | 02/26/2020 |
SCAKE 269 | | France | | BABA HORTENSIA | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 103703039 | | 01/07/2010 | | 103703039 | | 06/11/2010 | | 01/31/2020 |
SCAKE 256 | | France | | BABA ORANGE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 598,320 | | 05/30/2011 | | 1667500 | | 07/22/2011 | | 05/31/2021 |
SCAKE 255 | | France | | CHARLOTTE AUX FRAISES | | | | Registered | | Shortcake IP Holdings LLC | | 14, 16, 24, 25, 28 | | 549067 | | 02/08/1990 | | 1577042 | | 04/02/2010 | | 02/29/2020 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
49
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 264 | | France | | CHARLOTTE AUX FRAISES | | | | Registered | | Shortcake IP Holdings LLC | | 38, 41 | | 93625011 | | 01/26/2009 | | 93625011 | | 01/26/2009 | | 01/31/2019 |
SCAKE 263 | | France | | CHARLOTTE AUX FRAISES | | | | Registered | | Shortcake IP Holdings LLC | | 9, 18, 20 | | 33255309 | | 11/05/2003 | | 33255309 | | 11/05/2003 | | 11/30/2023 |
SCAKE 270 | | France | | CLAFOUTIS | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 103703234 | | 01/08/2010 | | 103703234 | | 06/11/2010 | | 01/31/2020 |
SCAKE 268 | | France | | FLEUR D’ ORANGER | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 103703037 | | 01/07/2010 | | 103703037 | | 06/11/2010 | | 01/31/2020 |
SCAKE 260 | | France | | LEMON MERINGUE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 598,325 | | 05/30/2011 | | 1667501 | | 07/22/2011 | | 05/31/2021 |
SCAKE 266 | | France | | LILIE FRAMBOISE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 103703030 | | 01/07/2010 | | 103703030 | | 06/11/2010 | | 01/31/2020 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
50
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 254 | | France | | MERINGUE CITRON | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 598,319 | | 05/29/1981 | | 1667502 | | 05/29/1981 | | 05/31/2021 |
SCAKE 265 | | France | | MIMIE CITRON | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 103703047 | | 01/07/2010 | | 103703047 | | 06/11/2010 | | 01/31/2020 |
SCAKE 257 | | France | | MOUSSE FRAMBOISE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 598,318 | | 05/30/2011 | | 1667503 | | 07/22/2011 | | 05/31/2021 |
SCAKE 258 | | France | | ORANGE BLOSSOM | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 598,328 | | 05/30/2011 | | 1667504 | | 07/22/2011 | | 05/31/2021 |
SCAKE 271 | | France | | PRALINETTE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 103703240 | | 01/08/2010 | | 103703240 | | 06/11/2010 | | 01/31/2020 |
SCAKE 267 | | France | | PRUNETILLE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 103703032 | | 01/07/2010 | | 103703032 | | 06/11/2010 | | 01/31/2020 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
51
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 259 | | France | | RASPBERRY TART | | | | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | 598324 | | 05/29/1981 | | 1667505 | | 05/29/1981 | | 05/31/2021 |
SCAKE 261 | | France | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 14, 24, 25 | | 549,063 | | 02/08/2010 | | 1577041 | | 04/02/2010 | | 02/29/2020 |
SCAKE 262 | | France | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | 504,971 | | 01/22/2009 | | 1531602 | | 03/27/2009 | | 01/31/2019 |
SCAKE 276 | | Germany | | BONNI BLAUBEER | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | A 35361/28 Wz | | 02/04/1982 | | 1048128 | | 02/04/1982 | | 02/28/2022 |
SCAKE 275 | | Germany | | EMILY ERDBEER | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | A 35363/28 Wz | | 02/04/1982 | | 1042469 | | 02/04/1982 | | 02/28/2022 |
SCAKE 278 | | Germany | | EMILY ERDBEER | | | | Registered | | Shortcake IP Holdings LLC | | 16, 20, 21 | | 30462212.5 | | 11/02/2004 | | 30462212 | | 02/04/2005 | | 11/30/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
52
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 277 | | Germany | | EMILY ERDBEER | | | | Registered | | Shortcake IP Holdings LLC | | 9, 14, 16, 18, 24, 25, 28 | | 30355493.2 | | 10/22/2003 | | 30355493 | | 02/26/2004 | | 10/31/2023 |
SCAKE 272 | | Germany | | HANNI HIMBEER | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | A 35376/28 Wz | | 02/04/1982 | | 1057484 | | 12/21/1983 | | 02/28/2022 |
SCAKE 273 | | Germany | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 14, 21, 24, 25 | | A 33182/14 Wz | | 03/20/1980 | | 1012473 | | 01/08/1981 | | 03/31/2020 |
SCAKE 274 | | Germany | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | A 31271/16 Wz | | 02/10/1979 | | 995479 | | 12/28/1979 | | 02/28/2019 |
SCAKE 498 | | Great Britain | | BLUEBERRY MUFFIN | | | | Registered | | Shortcake IP Holdings LLC | | 16, 18, 28 | | 2511624 | | 03/19/2009 | | 2511624 | | 10/02/2009 | | 03/19/2019 |
SCAKE 496 | | Great Britain | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 1109394 | | 02/12/1979 | | 1109394 | | 02/12/1979 | | 02/12/2020 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
53
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 493 | | Great Britain | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 1109395 | | 02/12/1979 | | 1109395 | | 02/12/1979 | | 02/12/2020 |
SCAKE 497 | | Great Britain | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 18, 25 | | 2250256 | | 10/26/2000 | | 2250256 | | 04/06/2001 | | 10/26/2020 |
SCAKE 494 | | Great Britain | | STRAWBERRY SHORTCAKE LOGO (WELCOME) | | 
| | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | 1133374 | | 05/07/1980 | | 1133374 | | 05/07/1980 | | 05/07/2021 |
SCAKE 495 | | Great Britain | | STRAWBERRYLAND | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 1133369 | | 05/07/1980 | | 1133369 | | 05/07/1980 | | 05/07/2021 |
SCAKE 280 | | Greece | | BISKOTITSA | | 
| | Registered | | Shortcake IP Holdings LLC | | 28 | | 150191 | | 11/16/2004 | | 150191 | | 02/17/2006 | | 11/16/2024 |
SCAKE 282 | | Greece | | BLEDOULIS | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 150184 | | 11/16/2004 | | 150184 | | 02/17/2006 | | 11/16/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
54
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 288 | | Greece | | FRAOULITSA | | | | Registered | | Shortcake IP Holdings LLC | | 20 | | 153798 | | 03/16/2009 | | 153798 | | 10/19/2010 | | 03/16/2019 |
SCAKE 289 | | Greece | | FRAOULITSA | | | | Registered | | Shortcake IP Holdings LLC | | 41 | | 154623 | | 08/23/2010 | | 154623 | | 12/19/2011 | | 08/23/2020 |
SCAKE 279 | | Greece | | FRAOULITSA | | | | Registered | | Shortcake IP Holdings LLC | | 9, 14, 16, 18, 21, 24, 25, 28 | | 149854 | | 07/14/2004 | | 149854 | | 11/17/2005 | | 07/14/2024 |
SCAKE 281 | | Greece | | MELAKI | | 
| | Registered | | Shortcake IP Holdings LLC | | 28 | | 150190 | | 11/16/2004 | | 150190 | | 02/17/2006 | | 11/16/2024 |
SCAKE 287 | | Greece | | MILITSA | | 
| | Registered | | Shortcake IP Holdings LLC | | 28 | | 150189 | | 11/16/2004 | | 150189 | | 02/17/2006 | | 11/16/2024 |
SCAKE 286 | | Greece | | MOURITSAS | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 150188 | | 11/16/2004 | | 150188 | | 02/17/2006 | | 11/16/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
55
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 285 | | Greece | | PORTOKALITSA | | 
| | Registered | | Shortcake IP Holdings LLC | | 28 | | 150187 | | 11/16/2004 | | 150187 | | 02/17/2006 | | 11/16/2024 |
SCAKE 283 | | Greece | | ROZOULA | | 
| | Registered | | Shortcake IP Holdings LLC | | 28 | | 150185 | | 11/16/2004 | | 150185 | | 02/17/2006 | | 11/16/2024 |
SCAKE 284 | | Greece | | TOURTITSA | | 
| | Registered | | Shortcake IP Holdings LLC | | 28 | | 150186 | | 11/16/2004 | | 150186 | | 02/17/2006 | | 11/16/2024 |
SCAKE 290 | | Guatemala | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 2003- 04924 | | 07/22/2003 | | 127392 | | 01/19/2004 | | 01/18/2024 |
SCAKE 291 | | Guatemala | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 2003- 4925 | | 07/22/2003 | | 127337 | | 01/14/2004 | | 01/13/2024 |
SCAKE 292 | | Guatemala | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 24 | | 2003- 4926 | | 07/22/2003 | | 127450 | | 01/23/2004 | | 01/22/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
56
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 297 | | Guatemala | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | M-009062-2014 | | 10/02/2014 | | 203,638 | | 02/13/2015 | | 02/12/2025 |
SCAKE 293 | | Guatemala | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 2003-4953 | | 07/22/2003 | | 127323 | | 01/14/2004 | | 01/13/2024 |
SCAKE 298 | | Guatemala | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 7480-2009 | | 11/05/2009 | | 169121 | | 04/12/2010 | | 04/11/2020 |
SCAKE 294 | | Guatemala | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 2003-7715 | �� | 10/28/2003 | | 130516 | | 06/28/2004 | | 06/27/2024 |
SCAKE 299 | | Guatemala | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 41 | | 2009-07481 | | 11/05/2009 | | 168441 | | 03/02/2010 | | 03/01/2020 |
SCAKE 296 | | Guatemala | | STRAWBERRY SHORTCAKE with Circle Strawberry | |  | | Filed | | Those Characters From Cleveland, Inc. | | 28 | | 2007-05621 | | 07/10/2007 | | | | | | |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
57
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 295 | | Guatemala | | STRAWBERRY SHORTCAKE with Design 2 | | 
| | Filed | | Those Characters From Cleveland, Inc. | | 28 | | 2007- 05622 | | 07/10/2007 | | | | | | |
SCAKE 300 | | Honduras | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 20369/2003 | | 08/05/2003 | | 90779 | | 05/25/2004 | | 05/25/2024 |
SCAKE 301 | | Honduras | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 20368/2003 | | 08/05/2003 | | 90728 | | 05/25/2004 | | 05/25/2024 |
SCAKE 302 | | Honduras | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 24 | | 20372/2003 | | 08/05/2005 | | 97616 | | 07/27/2006 | | 07/27/2026 |
SCAKE 303 | | Honduras | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 20371/2003 | | 08/05/2003 | | 90727 | | 05/25/2004 | | 05/25/2024 |
SCAKE 304 | | Honduras | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 20370/2003 | | 08/05/2003 | | 90757 | | 05/25/2004 | | 05/25/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
58
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 306 | | Honduras | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 31248/2009 | | 11/03/2009 | | 112849 | | 06/18/2010 | | 06/18/2020 |
SCAKE 305 | | Honduras | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 26837/2009 | | 09/10/2009 | | 111809 | | 03/08/2010 | | 03/08/2020 |
SCAKE 307 | | Honduras | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 41 | | 31249/2009 | | 11/03/2009 | | 15777 | | 06/22/2010 | | 06/22/2020 |
SCAKE 314 | | Hong Kong | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 300251829 | | 07/19/2004 | | 300251829 | | 11/19/2004 | | 07/19/2024 |
SCAKE 312 | | Hong Kong | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 340A/79 | | 02/15/1979 | | 664/1980 | | 02/15/1979 | | 02/15/2024 |
SCAKE 309 | | Hong Kong | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 14, 21, 24, 25 | | 2903K/81 | | 10/13/1981 | | 19830387AA | | 02/18/1983 | | 10/13/2026 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
59
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 317 | | Hong Kong | | STRAWBERRY SHORTCAKE and Chinese transliteration Logo | | 

| | Registered | | Shortcake IP Holdings LLC | | 16, 20, 28, 41 | | 302631889 | | 06/06/2013 | | 302631889 | | 02/18/2014 | | 06/05/2023 |
SCAKE 316 | | Hong Kong | | STRAWBERRY SHORTCAKE and Chinese transliteration Logo | | 

| | Registered | | Shortcake IP Holdings LLC | | 9, 14, 18, 21, 25 | | 302631898 | | 06/06/2013 | | 302631898 | | 02/18/2014 | | 06/05/2023 |
SCAKE 308 | | Hong Kong | | STRAWBERRY SHORTCAKE LOGO (WELCOME) | | 
| | Registered | | Shortcake IP Holdings LLC | | 16 | | 2903G/81 | | 10/13/1981 | | 2605/1985 | | 11/30/1985 | | 10/13/2026 |
SCAKE 315 | | Hong Kong | | STRAWBERRY SHORTCAKE with Design | |  | | Registered | | Shortcake IP Holdings LLC | | 16 | | 300269686 | | 08/17/2004 | | 300269686 | | 01/10/2005 | | 08/17/2024 |
SCAKE 319 | | Hungary | | EPERKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | M0902628 | | 09/16/2009 | | 200259 | | 05/11/2010 | | 09/16/2019 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
60
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 318 | | Hungary | | Eperke és barátai | | | | Registered | | Shortcake IP Holdings LLC | | 9, 28, 41 | | M0902627 | | 09/16/2009 | | 200258 | | 05/11/2010 | | 09/16/2019 |
SCAKE 320 | | Iceland | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9, 16, 25, 28 | | 1054/2004 | | 04/14/2004 | | V0052830 | | 07/02/2004 | | 07/02/2024 |
SCAKE 322 | | India | | STRAWBERRY SHORTCAKE | | | | Filed - opposed | | Those Characters From Cleveland, Inc. (assignment filed) | | 25 | | 2391824 | | 09/07/2012 | | | | | | |
SCAKE 321 | | India | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. (assignment filed) | | 28 | | 1418303 | | 02/01/2006 | | 1418303 | | 03/31/2009 | | 02/01/2026 |
SCAKE 526 | | India | | STRAWBERRY SHORTCAKE | | | | Request to divide from App. No. 2391824 filed November 6, 2015 | | Those Characters From Cleveland, Inc. (assignment filed) | | 9, 16, 18, 20, 21, 24 | | | | | | | | | | |
SCAKE 529 | | Indonesia | | STRAWBERRY SHORTCAKE | | | | Filed | | Shortcake IP Holdings LLC | | 9 | | D00-2015-040113 | | 09/16/2015 | | | | | | |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
61
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 324 | | Indonesia | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | D00-2005011945 | | 07/15/2005 | | IDM000172322 | | 08/06/2008 | | 07/13/2025 |
SCAKE 327 | | Indonesia | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 18 | | D002010033807 | | 09/20/2010 | | IDM000394573 | | 08/19/2013 | | 09/19/2020 |
SCAKE 326 | | Indonesia | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. | | 21 | | D002013061047 | | 12/19/2013 | | IDM000519552 | | 10/02/2016 | | 12/18/2023 |
SCAKE 329 | | Indonesia | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. | | 24 | | D00-2012-056141 | | 11/20/2012 | | IDM000464495 | | 03/18/2015 | | 11/19/2022 |
SCAKE 328 | | Indonesia | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | D00-2012-017783 | | 04/18/2012 | | IDM000429862 | | 10/10/2014 | | 04/17/2022 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
62
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 325 | | Indonesia | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | D00-2005011944 | | 07/15/2005 | | IDM000113752 | | 03/20/2007 | | 07/13/2025 |
SCAKE 331 | | Ireland | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 487/79 | | 02/12/1979 | | 96940 | | 02/12/1979 | | 02/11/2020 |
SCAKE 330 | | Ireland | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 488/79 | | 02/12/1979 | | 96941 | | 02/12/1979 | | 02/11/2020 |
SCAKE 332 | | Ireland | | STRAWBERRY SHORTCAKE LOGO (WELCOME) | | 
| | Registered | | Shortcake IP Holdings LLC | | 16 | | 1288/80 | | 05/08/1980 | | 105699 | | 05/08/1980 | | 05/07/2021 |
SCAKE 333 | | Ireland | | STRAWBERRY SHORTCAKE LOGO (WELCOME) | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 1291/80 | | 05/08/1980 | | 105702 | | 05/08/1980 | | 05/07/2021 |
SCAKE 337 | | Israel | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 227882 | | 03/08/2010 | | 227882 | | 04/07/2011 | | 03/07/2020 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
63
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 334 | | Israel | | Strawberry Shortcake in Hebrew TUTIT | | 
| | Registered | | Shortcake IP Holdings LLC | | 9 | | 200748 | | 05/31/2007 | | 200748 | | 01/25/2009 | | 5/30/2017 - scheduled for renewal |
SCAKE 335 | | Israel | | Strawberry Shortcake in Hebrew TUTIT | | 
| | Registered | | Shortcake IP Holdings LLC | | 16 | | 200749 | | 05/31/2007 | | 200749 | | 01/25/2009 | | 5/30/2017 - scheduled for renewal |
SCAKE 336 | | Israel | | Strawberry Shortcake in Hebrew TUTIT | | 
| | Filed | | Shortcake IP Holdings LLC | | 25 | | 262844 | | 02/11/2014 | | | | | | |
SCAKE 338 | | Israel | | Strawberry Shortcake in Hebrew TUTIT | | 
| | Registered | | Shortcake IP Holdings LLC | | 28 | | 238913 | | 07/06/2011 | | 238913 | | 10/11/2012 | | 07/05/2021 |
SCAKE 347 | | Italy | | FRAGOLINA | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | FI2009C000927 | | 09/17/2009 | | 30200901765527 | | 12/02/2010 | | 09/17/2019 |
SCAKE 342 | | Italy | | FRAGOLINA DOLCECUORE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 10044C/84 | | 01/13/1984 | | 302014902223851 | | 09/08/1986 | | 01/13/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
64
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 346 | | Italy | | FRAGOLINA DOLCECUORE | | | | Registered | | Shortcake IP Holdings LLC | | 41 | | FI2009C000926 | | 09/17/2009 | | 30209901765526 | | 12/02/2010 | | 09/17/2019 |
SCAKE 345 | | Italy | | FRAGOLINA DOLCECUORE | | | | Registered | | Shortcake IP Holdings LLC | | 9, 14, 16, 18, 21, 24, 25 | | FI2003C001319 | | 11/18/2003 | | 302013902216973 | | 10/03/2007 | | 11/18/2023 |
SCAKE 344 | | Italy | | LEMON MERINGUE | | | | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | 10334C/81 | | 06/26/1981 | | 1459168 | | 01/16/1986 | | 06/26/2021 |
SCAKE 340 | | Italy | | ORANGE BLOSSOM | | | | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | 10329C/81 | | 06/26/1981 | | 1459171 | | 01/16/1986 | | 06/26/2021 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
65
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 339 | | Italy | | RASPBERRY TART | | | | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | 10336C/ 81 | | 06/26/1981 | | 1459167 | | 01/16/1986 | | 06/26/2021 |
SCAKE 341 | | Italy | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 14, 24, 25 | | 33458C/ 80 | | 03/24/1980 | | 1289230 | | 01/08/1986 | | 03/24/2020 |
SCAKE 343 | | Italy | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | 33332C/ 79 | | 03/14/1979 | | 1250642 | | 10/14/1985 | | 03/14/2019 |
SCAKE 348 | | Jamaica | | STRAWBERRY SHORTCAKE LIFE IS DELICIOUS AND DESIGN | |  | | Registered | | Shortcake IP Holdings LLC | | 16 | | TM16/821 | | 10/19/1983 | | 22851 | | 02/05/1992 | | 10/19/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
66
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 351 | | Japan | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 2001- 018575 | | 03/02/2001 | | 4535636 | | 01/11/2002 | | 01/11/2022 |
SCAKE 548 | | Japan | | STRAWBERRY SHORTCAKE | | | | Filed - registration fee paid | | Shortcake IP Holdings LLC | | 8, 18, 26 | | 2016- 93560 | | 08/26/2016 | | | | | | |
SCAKE 352 | | Japan | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9, 24 | | 2002- 107005 | | 12/18/2002 | | 4704705 | | 08/29/2003 | | 08/29/2023 |
| | | | | | | | | | | |
SCAKE 350 | | Japan | | STRAWBERRY SHORTCAKE and Katakana | |  | | Registered | | Shortcake IP Holdings LLC | | 2, 16, 27 | | 15979/79 | | 03/08/1979 | | 1552364 | | 11/26/1982 | | 11/26/2022 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
67
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 349 | | Japan | | STRAWBERRY SHORTCAKE and Katakana | | | | Registered | | Shortcake IP Holdings LLC | | 20, 25, 28 | | 1578/79 | | 03/08/1979 | | 1569664 | | 02/25/1983 | | 02/25/2023 |
SCAKE 354 | | Malaysia | | SHORTCAKE STRAWBERRY SHORTCAKE with Design | |  | | Registered | | Shortcake IP Holdings LLC | | 16 | | 05005051 | | 04/06/2005 | | 05005051 | | 12/27/2007 | | 04/06/2025 |
SCAKE 355 | | Malaysia | | STRAWBERRY SHORTCAKE | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 05005048 | | 04/06/2005 | | 05005048 | | 05/14/2007 | | 04/06/2025 |
SCAKE 356 | | Malaysia | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 24 | | 05005049 | | 04/06/2005 | | 05005049 | | 02/21/2008 | | 04/06/2025 |
SCAKE 353 | | Malaysia | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 05005050 | | 04/06/2005 | | 05005050 | | 04/04/2008 | | 04/06/2025 |
SCAKE 357 | | Malaysia | | STRAWBERRY SHORTCAKE with Design 2 | |  | | Registered | | Those Characters From Cleveland, Inc. | | 25 | | 08007856 | | 04/23/2008 | | 08007856 | | 04/23/2008 | | 04/23/2018 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
68
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 360 | | Mexico | | | | | | Registered | | Those Characters From Cleveland, Inc. | | 25 | | 474493 | | 03/07/2001 | | 752149 | | 06/27/2002 | | 03/07/2021 |
SCAKE 366 | | Mexico | | ROSITA FRESITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 3 | | 627457 | | 10/31/2003 | | 844482 | | 07/27/2004 | | 10/31/2023 |
SCAKE 363 | | Mexico | | ROSITA FRESITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 9 | | 580425 | | 12/17/2002 | | 778321 | | 02/12/2003 | | 12/17/2022 |
SCAKE 367 | | Mexico | | ROSITA FRESITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 14 | | 627455 | | 10/31/2003 | | 812776 | | 11/17/2003 | | 10/31/2023 |
SCAKE 362 | | Mexico | | ROSITA FRESITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 16 | | 580426 | | 12/17/2002 | | 778322 | | 02/12/2003 | | 12/17/2022 |
SCAKE 364 | | Mexico | | ROSITA FRESITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 24 | | 580429 | | 12/17/2002 | | 778324 | | 02/12/2003 | | 12/17/2022 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
69
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 365 | | Mexico | | ROSITA FRESITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 25 | | 580428 | | 12/17/2002 | | 778323 | | 02/12/2003 | | 12/17/2022 |
SCAKE 358 | | Mexico | | ROSITA FRESITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 28 | | 129857 | | 12/20/1991 | | 423248 | | 10/07/1992 | | 12/20/2021 |
SCAKE 368 | | Mexico | | ROSITA FRESITA and Design | | 
| | Registered | | Those Characters From Cleveland, Inc. | | 18 | | 627459 | | 10/31/2003 | | 816413 | | 12/08/2003 | | 10/31/2023 |
SCAKE 369 | | Mexico | | ROSITA FRESITA and Design | |  | | Registered | | Those Characters From Cleveland, Inc. | | 21 | | 627458 | | 10/31/2003 | | 816097 | | 12/04/2003 | | 10/31/2023 |
SCAKE | | Mexico | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. | | 9 | | 1162828 | | 03/14/2011 | | 1229247 | | 07/26/2011 | | 03/14/2021 |
SCAKE 361 | | Mexico | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. | | 16 | | 474492 | | 03/07/2001 | | 699897 | | 05/29/2001 | | 03/07/2021 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
70
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 359 | | Mexico | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. | | 28 | | 474490 | | 03/07/2001 | | 725686 | | 11/30/2001 | | 03/07/2021 |
SCAKE 371 | | Mexico | | STRAWBERRY SHORTCAKE with Circle Strawberry Design | | 
| | Registered | | Those Characters From Cleveland, Inc. | | 28 | | 864435 | | 06/27/2007 | | 1003699 | | 09/25/2007 | | 06/27/2017 |
SCAKE 370 | | Mexico | | STRAWBERRY SHORTCAKE with Design 2 | | 
| | Registered | | Those Characters From Cleveland, Inc. | | 28 | | 864436 | | 06/27/2007 | | 1003698 | | 09/25/2007 | | 06/27/2017 |
SCAKE 372 | | Mexico | | STRAWBERRY SHORTCAKE with vine border Design | |  | | Registered | | Those Characters From Cleveland, Inc. | | 3 | | 1476290 | | 04/10/2014 | | 1484392 | | 10/02/2014 | | 04/10/2024 |
| | | | | | | | | | | |
SCAKE 381 | | New Zealand | | LEMON MERINGUE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 138029 | | 07/20/1981 | | 138029 | | 05/18/1984 | | 07/20/2026 |
SCAKE 378 | | New Zealand | | ORANGE BLOSSOM | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 138035 | | 07/20/1981 | | 138035 | | 02/07/1985 | | 07/20/2026 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
71
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 382 | | New Zealand | | PURPLE PIEMAN | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 138037 | | 07/20/1981 | | 138037 | | 09/12/1984 | | 07/20/2026 |
SCAKE 376 | | New Zealand | | RASPBERRY TART | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 138027 | | 07/20/1981 | | 138027 | | 05/18/1988 | | 07/20/2026 |
SCAKE 377 | | New Zealand | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 3 | | 140821 | | 02/22/1982 | | 140821 | | 05/13/1985 | | 02/22/2027 |
SCAKE 383 | | New Zealand | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 669538 | | 12/04/2002 | | 669538 | | 06/05/2003 | | 12/04/2019 |
SCAKE 379 | | New Zealand | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 126860 | | 02/12/1979 | | 126860 | | 07/16/1982 | | 02/12/2024 |
SCAKE 386 | | New Zealand | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 20 | | 682541 | | 07/08/2003 | | 682541 | | 03/29/2004 | | 07/08/2020 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
72
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 387 | | New Zealand | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 21 | | 682542 | | 07/08/2003 | | 682542 | | 03/29/2004 | | 07/08/2020 |
SCAKE 384 | | New Zealand | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 24 | | 669539 | | 12/04/2002 | | 669539 | | 06/05/2003 | | 12/04/2019 |
SCAKE 385 | | New Zealand | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 669540 | | 12/04/2002 | | 669540 | | 06/05/2003 | | 12/04/2019 |
SCAKE 374 | | New Zealand | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 126861 | | 02/12/1979 | | 126861 | | 12/06/1982 | | 02/12/2024 |
SCAKE 388 | | New Zealand | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 41 | | 830967 | | 09/24/2010 | | 830967 | | 03/24/2011 | | 09/24/2020 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
73
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 389 | | Nicaragua | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 9, 16, 24, 25, 28 | | 2003/02309 | | 08/05/2003 | | 60449 LM | | 03/04/2004 | | 03/03/2024 |
SCAKE 392 | | Nicaragua | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9, 41 | | 2009- 03033 | | 11/04/2009 | | 2015111486LM | | 10/12/2015 | | 10/11/2025 |
SCAKE 391 | | Nicaragua | | STRAWBERRY SHORTCAKE with Circle Strawberry Design | | 
| | Registered | | Shortcake IP Holdings LLC | | 28 | | 2007/02217 | | 06/26/2007 | | 0800897 LM | | 04/25/2008 | | 04/24/2018 |
SCAKE 390 | | Nicaragua | | STRAWBERRY SHORTCAKE with Design 2 | | 
| | Registered | | Shortcake IP Holdings LLC | | 28 | | 2007/02216 | | 06/26/2007 | | 0800932 LM | | 04/28/2008 | | 04/27/2018 |
SCAKE 396 | | Norway | | JORDBÆR-MATILDE | | | | Registered | | Shortcake IP Holdings LLC | | 9, 16, 28 | | 200509423 | | 09/15/2005 | | 235453 | | 10/09/2006 | | 10/09/2026 |
SCAKE 394 | | Norway | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 811883 | | 07/13/1981 | | 112068 | | 09/16/1992 | | 09/16/2022 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
74
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 393 | | Norway | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | 790382 | | 02/12/1979 | | 104997 | | 04/30/1980 | | 04/30/2020 |
SCAKE 395 | | Norway | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9, 14, 18, 20, 21, 24 | | 200402186 | | 03/02/2004 | | 226600 | | 05/10/2005 | | 05/10/2025 |
SCAKE 397 | | Panama | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 129754 | | 08/07/2003 | | 129754 | | 08/07/2003 | | 08/07/2023 |
SCAKE 398 | | Panama | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 129756 | | 08/07/2003 | | 129756 | | 08/07/2003 | | 08/07/2023 |
SCAKE 399 | | Panama | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 24 | | 129755 | | 08/07/2003 | | 129755 | | 08/07/2003 | | 08/07/2023 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
75
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 400 | | Panama | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 129701 | | 08/06/2003 | | 129701 | | 08/06/2003 | | 08/06/2023 |
SCAKE 401 | | Panama | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 129702 | | 08/06/2003 | | 129702 | | 08/06/2003 | | 08/06/2023 |
SCAKE 404 | | Panama | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 177687 | | 12/09/2008 | | 177687 | | 12/09/2008 | | 12/09/2018 |
SCAKE 405 | | Panama | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 177686 | | 12/09/2008 | | 177686 | | 12/09/2008 | | 12/09/2018 |
SCAKE 406 | | Panama | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 41 | | 177702 | | 12/09/2008 | | 177702 | | 12/09/2008 | | 12/09/2018 |
SCAKE 403 | | Panama | | STRAWBERRY SHORTCAKE with Circle Strawberry Design | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 166576 | | 11/14/2007 | | 166576 | | 11/14/2007 | | 11/14/2017 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
76
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 402 | | Panama | | STRAWBERRY SHORTCAKE with Design 2 | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 166575 | | 11/14/2007 | | 166575 | | 11/14/2007 | | 11/14/2017 |
SCAKE 417 | | Paraguay | | FRUTILLITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 3 | | 1029613 | | 07/28/2010 | | 363.618 | | 06/15/2012 | | 06/15/2022 |
SCAKE 407 | | Paraguay | | FRUTILLITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 9 | | 02547 | | 02/06/2003 | | 400,897 | | 03/31/2004 | | 03/31/2024 |
SCAKE 408 | | Paraguay | | FRUTILLITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 14 | | 2548 | | 02/06/2003 | | 398.373 | | 02/13/2004 | | 02/13/2024 |
SCAKE 409 | | Paraguay | | FRUTILLITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 18 | | 2549 | | 02/06/2003 | | 398.374 | | 02/13/2004 | | 02/13/2024 |
SCAKE 410 | | Paraguay | | FRUTILLITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 21 | | 2550 | | 02/06/2003 | | 398.375 | | 02/13/2004 | | 02/13/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
77
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 411 | | Paraguay | | FRUTILLITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 24 | | 2551 | | 02/06/2003 | | 398376 | | 02/13/2004 | | 02/13/2024 |
SCAKE 412 | | Paraguay | | FRUTILLITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 28 | | 2552 | | 02/06/2003 | | 400898 | | 03/31/2004 | | 03/31/2024 |
SCAKE 413 | | Paraguay | | FRUTILLITA with Design | |  | | Registered | | Those Characters From Cleveland, Inc. | | 16 | | 16839/2004 | | 06/28/2004 | | 413588 | | 12/15/2004 | | 12/15/2024 |
SCAKE 416 | | Paraguay | | MORANGUINHO | | | | Filed | | Those Characters From Cleveland, Inc. | | 28 | | 17261/2007 | | 06/05/2007 | | | | | | |
SCAKE 418 | | Paraguay | | STRAWBERRY SHORTCAKE | | | | Filed | | Those Characters From Cleveland, Inc. | | 3 | | 1240762 | | 08/30/2012 | | | | | | |
SCAKE 415 | | Paraguay | | STRAWBERRY SHORTCAKE with Circle Strawberry Design | |  | | Registered | | Those Characters From Cleveland, Inc. | | 28 | | 20597 | | 06/29/2007 | | 307593 | | 02/08/2008 | | 02/08/2018 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
78
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 414 | | Paraguay | | STRAWBERRY SHORTCAKE with Design 2 | |  | | Registered | | Those Characters From Cleveland, Inc. | | 28 | | 20596 | | 06/29/2007 | | 307592 | | 02/08/2008 | | 02/08/2018 |
SCAKE 419 | | Peru | | FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 172643 | | 02/05/2003 | | 89027 | | 05/27/2003 | | 05/27/2023 |
SCAKE 420 | | Peru | | FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 14 | | 172640 | | 02/05/2003 | | 89025 | | 05/27/2003 | | 05/27/2023 |
SCAKE 421 | | Peru | | FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 172749 | | 02/06/2003 | | 88911 | | 05/23/2003 | | 05/23/2023 |
SCAKE 423 | | Peru | | FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 24 | | 172751 | | 02/06/2003 | | 88876 | | 05/22/2003 | | 05/22/2023 |
SCAKE 424 | | Peru | | FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 172752 | | 02/06/2003 | | 88877 | | 05/22/2003 | | 05/22/2023 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
79
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 422 | | Peru | | FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 21 | | 172750 | | 02/06/2003 | | 88875 | | 05/22/2003 | | 05/22/2023 |
SCAKE 426 | | Peru | | FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 195418 | | 11/11/2003 | | 94932 | | 02/13/2004 | | 02/13/2024 |
SCAKE 551 | | Peru | | ROSITA FRESITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 18 | | 0429740- 2010 | | 09/14/2016 | | 243301 | | 09/14/2016 | | 09/14/2026 |
SCAKE 434 | | Peru | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 460860 | | 07/08/2011 | | 180434 | | 10/06/2011 | | 10/06/2021 |
SCAKE 427 | | Peru | | ROSITA FRESITA | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 198913 | | 01/05/2004 | | 95783 | | 03/19/2004 | | 03/19/2024 |
SCAKE 430 | | Peru | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 375717 | | 12/05/2008 | | 151524 | | 04/27/2009 | | 04/27/2019 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
80
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 433 | | Peru | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 18 | | 429885 | | 08/17/2010 | | 170300 | | 11/24/2010 | | 11/24/2020 |
SCAKE 425 | | Peru | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 189850 | | 09/04/2003 | | 93397 | | 11/21/2003 | | 11/21/2023 |
SCAKE 431 | | Peru | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 375718 | | 12/08/2008 | | 151525 | | 04/27/2009 | | 04/27/2019 |
SCAKE 432 | | Peru | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 41 | | 375719 | | 12/05/2008 | | 56183 | | 04/27/2009 | | 04/27/2019 |
SCAKE 429 | | Peru | | STRAWBERRY SHORTCAKE with Circle Strawberry Design | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 319669 | | 12/14/2007 | | 133678 | | 12/14/2007 | | 12/14/2017 |
SCAKE 428 | | Peru | | STRAWBERRY SHORTCAKE with Design 2 | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 319670 | | 12/14/2007 | | 133679 | | 12/14/2007 | | 12/14/2017 |
SCAKE 525 | | Philippines | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16, 25, 28, 41 | | 4-2012-005599 | | 05/10/2012 | | 4-2012-005599 | | 08/02/2012 | | 08/02/2022 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
81
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 536 | | Philippines | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 18, 20, 21, 24 | | 4-2015-506110 | | 10/21/2015 | | 4-2015-506110 | | 02/25/2016 | | 02/25/2026 |
SCAKE 437 | | Poland | | TRUSKAWKOWE CIASTKO | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 389674 | | 08/31/2011 | | 252441 | | 11/19/2012 | | 08/31/2021 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
82
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 436 | | Poland | | TRUSKAWKOWE CIASTKO | | | | Registered | | Shortcake IP Holdings LLC | | 9, 28, 41 | | Z-361231 | | 10/02/2009 | | 240609 | | 07/11/2011 | | 10/02/2019 |
SCAKE 438 | | Portugal | | DOCINHO DE MORANGO | | | | Registered | | Shortcake IP Holdings LLC | | 9, 14, 16, 18, 24, 25, 28 | | 377831 | | 01/07/2004 | | 377831 | | 10/29/2004 | | 10/29/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
83
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 466 | | Republic of Korea | | STRAWBERRY SHORTCAKE with design | |  | | Registered | | Shortcake IP Holdings LLC | | 9, 16, 20, 24, 25, 28 | | 2003-41028 | | 09/17/2003 | | 609185 | | 02/22/2005 | | 02/22/2025 |
SCAKE 439 | | Romania | | CAPSUNICA | | | | Registered | | Shortcake IP Holdings LLC | | 9, 16, 18, 25, 28, 41 | | M 2011 02427 | | 03/25/2011 | | 119494 | | 08/14/2012 | | 03/25/2021 |
SCAKE 443 | | Russian Federation | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 2010741015 | | 12/20/2010 | | 447979 | | 11/25/2011 | | 12/20/2020 |
SCAKE 444 | | Russian Federation | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 3, 8, 14, 21, 26 | | 2011701700 | | 01/21/2011 | | 496473 | | 09/23/2013 | | 01/21/2021 |
SCAKE 440 | | Russian Federation | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9, 28, 41 | | 2009724098 | | 09/30/2009 | | 421815 | | 11/01/2010 | | 09/30/2019 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
84
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 442 | | Russian Federation | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 2010721992 | | 07/07/2010 | | 466641 | | 07/18/2012 | | 07/07/2020 |
SCAKE 441 | | Russian Federation | | STRAWBERRY SHORTCAKE in Russian characters | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 2009724099 | | 09/30/2009 | | 422074 | | 11/08/2010 | | 09/30/2019 |
SCAKE 532 | | Russian Federation | | 
(STRAWBERRY SHORTCAKE in Russian/Cyrillic) | | | | Filed | | Shortcake IP Holdings LLC | | 28, 41 | | 2015728782 | | 09/10/2015 | | | | | | 09/10/2025 |
SCAKE 449 | | Singapore | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | T05/05016G | | 04/04/2005 | | T05/05016G | | 04/04/2005 | | 04/04/2025 |
SCAKE 446 | | Singapore | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 2339/82 | | 05/10/1982 | | T8202339Z | | 05/10/1982 | | 05/10/2023 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
85
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 447 | | Singapore | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | T05/05017E | | 04/04/2005 | | T05/05017E | | 04/04/2005 | | 04/04/2025 |
SCAKE 451 | | Singapore | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | T06/25141G | | 11/20/2006 | | T06/25141G | | 11/20/2006 | | 11/20/2026 |
SCAKE 445 | | Singapore | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 699/91 | | 02/06/1991 | | 699/91 | | 02/09/1991 | | 02/06/2018 |
SCAKE 450 | | Singapore | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | T05/05020E | | 04/04/2005 | | T05/05020E | | 04/04/2005 | | 04/04/2025 |
SCAKE 448 | | Singapore | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 24 | | T05/05019A | | 04/04/2005 | | T05/05019A | | 04/04/2005 | | 04/04/2025 |
SCAKE 452 | | Slovak Republic | | JAHODKA | | | | Registered | | Shortcake IP Holdings LLC | | 9, 28, 41 | | 6424-2008 | | 12/12/2008 | | 225588 | | 08/17/2009 | | 12/12/2018 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
86
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 453 | | Slovenia | | JAGODKA | | | | Registered | | Shortcake IP Holdings LLC | | 9, 16, 25, 28 | | Z-20470666 | | 03/26/2004 | | 200470666 | | 06/28/2005 | | 03/26/2024 |
SCAKE 454 | | South Africa | | LEMON MERINGUE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 81/3838 | | 06/04/1981 | | 81/3838 | | 12/15/1983 | | 06/04/2021 |
SCAKE 459 | | South Africa | | ORANGE BLOSSOM | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 81/3844 | | 06/04/1981 | | 81/3844 | | 12/15/1983 | | 06/04/2021 |
SCAKE 457 | | South Africa | | RASPBERRY TART | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 81/3836 | | 06/04/1981 | | 81/3836 | | 05/13/1983 | | 06/04/2021 |
SCAKE 460 | | South Africa | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9 | | 2003/15508 | | 09/04/2003 | | 2003/15508 | | 09/02/2008 | | 09/04/2023 |
SCAKE 461 | | South Africa | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 14 | | 2003/15509 | | 09/04/2003 | | 2003/15509 | | 08/27/2008 | | 09/04/2023 |
SCAKE 455 | | South Africa | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 79/0681 | | 02/12/1979 | | 79/0681 | | 07/11/1980 | | 02/12/2019 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
87
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 462 | | South Africa | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 18 | | 2003/15510 | | 09/04/2003 | | 2003/15510 | | 09/02/2008 | | 09/04/2023 |
SCAKE 463 | | South Africa | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 21 | | 2003/15511 | | 09/04/2003 | | 2003/15511 | | 09/02/2008 | | 09/04/2023 |
SCAKE 464 | | South Africa | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 24 | | 2003/15512 | | 09/04/2003 | | 2003/15512 | | 09/02/2008 | | 09/04/2023 |
SCAKE 465 | | South Africa | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 2003/15513 | | 09/04/2003 | | 2003/15513 | | 09/02/2008 | | 09/04/2023 |
SCAKE 456 | | South Africa | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 79/0682 | | 02/12/1979 | | 79/0682 | | 07/11/1980 | | 02/12/2019 |
SCAKE 458 | | South Africa | | STRAWBERRY SHORTCAKE LOGO (WELCOME) | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 81/4852 | | 07/09/1981 | | 81/4852 | | 08/12/1983 | | 07/09/2021 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
88
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 468 | | Spain | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16 | | 902344 | | 02/27/1979 | | 902344 | | 09/05/1979 | | 02/27/2019 |
SCAKE 467 | | Spain | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 902345 | | 02/27/1979 | | 902345 | | 09/05/1979 | | 02/27/2019 |
SCAKE 469 | | Spain | | TARTA DE FRESA | | | | Registered | | Shortcake IP Holdings LLC | | 9, 14, 16, 18, 24, 25, 28 | | 2.563.483 | | 10/23/2003 | | 2.563.483 | | 05/21/2004 | | 10/23/2023 |
SCAKE 472 | | Sweden | | JORDGUBBS LISA | | | | Registered | | Shortcake IP Holdings LLC | | 9, 16, 28 | | 2005/07329 | | 10/05/2005 | | 378529 | | 02/10/2006 | | 02/10/2026 |
SCAKE 471 | | Sweden | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | 0780/79 | | 02/13/1979 | | 168151 | | 06/15/1979 | | 06/15/2019 |
SCAKE 473 | | Sweden | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9, 41 | | 2009/07164 | | 09/18/2009 | | 408104 | | 12/04/2009 | | 12/04/2019 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
89
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 470 | | Sweden | | STRAWBERRY SHORTCAKE LOGO (WELCOME) | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 81-3641 | | 07/09/1981 | | 179195 | | 11/27/1981 | | 11/27/2021 |
SCAKE 477 | | Switzerland | | | | | | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | 822 | | 02/14/1979 | | 301045 | | 12/11/1979 | | 02/14/2019 |
SCAKE 550 | | Switzerland | | CHARLOTTE AUX FRAISES | | | | Registered | | Shortcake IP Holdings LLC | | 41 | | 61121/2016 | | 09/09/2016 | | 699711 | | 03/10/2017 | | 09/09/2026 |
SCAKE 475 | | Switzerland | | LEMON MERINGUE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 3886/1981 | | 07/17/1981 | | 326743 | | 12/28/1983 | | 07/17/2021 |
SCAKE 474 | | Switzerland | | ORANGE BLOSSOM | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 3887/1981 | | 07/17/1981 | | 326744 | | 12/28/1983 | | 07/17/2021 |
SCAKE 476 | | Switzerland | | RASPBERRY TART | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 3889/1981 | | 07/17/1981 | | 326746 | | 12/28/1983 | | 07/17/2021 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
90
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 480 | | Switzerland | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 21 | | 57490/2004 | | 11/02/2004 | | 528876 | | 01/05/2005 | | 11/02/2024 |
SCAKE 549 | | Switzerland | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 41 | | 60889/2016 | | 09/02/2016 | | 698284 | | 01/31/2017 | | 09/02/2026 |
SCAKE 479 | | Switzerland | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9, 18, 24, 25 | | 54422/2003 | | 11/07/2003 | | 516635 | | 12/17/2003 | | 11/07/2023 |
SCAKE 478 | | Switzerland | | STRAWBERRY SHORTCAKE LOGO (WELCOME) | |  | | Registered | | Shortcake IP Holdings LLC | | 16, 28 | | 3890 | | 07/17/1981 | | 326899 | | 01/03/1984 | | 07/17/2021 |
SCAKE 482 | | Taiwan | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9, 16, 24, 28 | | 93-35656 | | 08/02/2004 | | 1150107 | | 04/16/2005 | | 04/15/2025 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
91
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 481 | | Taiwan | | STRAWBERRY SHORTCAKE and Chinese transliteration Logo | |  | | Registered | | Shortcake IP Holdings LLC | | 9, 14, 16, 18, 21, 25, 28, 41, 42 | | 102027755 | | 05/23/2013 | | 1644623 | | 05/16/2014 | | 05/15/2024 |
SCAKE 484 | | Taiwan | | Strawberry Shortcake standing on right foot, one arm stretched up and one arm stretched down pose | |  | | Registered | | Shortcake IP Holdings LLC | | 9, 16, 18, 20, 25, 28, 41 | | 99060264 | | 12/03/2010 | | 1483372 | | 11/01/2011 | | 10/31/2021 |
SCAKE 483 | | Taiwan | | STRAWBERRY SHORTCAKE with Design | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 95-62451 | | 12/15/2006 | | 1275256 | | 08/16/2007 | | 08/15/2017 |
SCAKE 485 | | Thailand | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 28 | | 561580 | | 08/06/2004 | | TM213487 | | 08/06/2004 | | 08/05/2024 |
SCAKE 488 | | Thailand | | STRAWBERRY SHORTCAKE with design | |  | | Registered | | Shortcake IP Holdings LLC | | 24 | | 563152 | | 08/23/2004 | | TM233669 | | 08/23/2004 | | 08/22/2024 |
SCAKE 487 | | Thailand | | STRAWBERRY SHORTCAKE with design | |  | | Registered | | Shortcake IP Holdings LLC | | 25 | | 563153 | | 08/23/2004 | | TM230639 | | 08/23/2004 | | 08/22/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
92
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 533 | | Thailand | | STRAWBERY SHORTCAKE & Device | |  | | Registered | | Shortcake IP Holdings LLC | | 16 | | 563151 | | 08/23/2004 | | TM228594 | | 08/23/2004 | | 08/22/2024 |
SCAKE-544 | | Turkey | | CILEK KIZ | | | | Registered | | Shortcake IP Holdings LLC | | 9, 28 | | 2008/70704 | | 12/13/2008 | | 2008/70704 | | 04/21/2011 | | 12/31/2018 |
SCAKE 492 | | Turkey | | CILEK KIZ and Design | | | | Registered | | Shortcake IP Holdings LLC | | 9, 28, 41 | | 2010/20635 | | 03/03/2010 | | 2010/20635 | | 11/15/2012 | | 03/31/2020 |
SCAKE 491 | | Turkey | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 41 | | 2009/49438 | | 09/16/2009 | | 2009/49438 | | 11/30/2011 | | 09/30/2019 |
SCAKE 489 | | Turkey | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 9, 14, 16, 21, 24, 25, 28 | | 2004/20916 | | 07/07/2004 | | 2004/20916 | | 07/07/2004 | | 07/31/2024 |
SCAKE 490 | | Turkey | | STRAWBERRY SHORTCAKE CILEK KIZ and Design | |  | | Registered | | Shortcake IP Holdings LLC | | 9, 16, 18, 24, 25, 28, 41 | | 2012/23384 | | 03/12/2012 | | 2012/23384 | | 01/22/2014 | | 03/31/2022 |
SCAKE 500 | | Uruguay | | FRUTILLITA | | | | Registered | | Shortcake IP Holdings LLC | | 9, 14, 16, 18, 21, 24, 25, 28 | | 345849 | | 02/24/2003 | | 451706 | | 01/12/2004 | | 01/12/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
93
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 499 | | Uruguay | | FRUTILLITAS with design | |  | | Registered | | Shortcake IP Holdings LLC | | 3, 16, 18, 24, 28 | | 216998 | | 04/07/1987 | | 440875 | | 11/09/1992 | | 11/09/2022 |
SCAKE 501 | | Uruguay | | STRAWBERRY SHORTCAKE | | | | Registered | | Shortcake IP Holdings LLC | | 25 | | 350587 | | 10/10/2003 | | 455334 | | 05/24/2004 | | 05/24/2024 |
SCAKE 503 | | Uruguay | | STRAWBERRY SHORTCAKE with Circle Strawberry | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 382626 | | 07/03/2007 | | 382626 | | 06/11/2008 | | 06/11/2018 |
SCAKE 502 | | Uruguay | | STRAWBERRY SHORTCAKE with Design 2 | |  | | Registered | | Shortcake IP Holdings LLC | | 28 | | 382627 | | 07/03/2007 | | 382627 | | 06/11/2008 | | 06/11/2018 |
SCAKE 507 | | Venezuela | | CUSTARD | | | | Registered | | Those Characters From Cleveland, Inc. | | 22 | | 7737/82 | | 09/14/1982 | | 117308F | | 04/21/1986 | | 04/21/2026 |
SCAKE 512 | | Venezuela | | FRESITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 9 | | 693-2003 | | 01/28/2003 | | P251392 | | 04/12/2004 | | 04/12/2029 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
94
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 513 | | Venezuela | | FRESITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 14 | | 694-2003 | | 01/28/2003 | | P251393 | | 04/12/2004 | | 04/12/2029 |
SCAKE 509 | | Venezuela | | FRESITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 16 | | 9301/83 | | 11/18/1983 | | 121516F | | 05/08/1986 | | 05/08/2026 |
SCAKE 505 | | Venezuela | | FRESITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 16 | | 9300/83 | | 11/18/1983 | | 121515F | | 05/08/1986 | | 05/08/2026 |
SCAKE 514 | | Venezuela | | FRESITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 18 | | 695-2003 | | 01/28/2003 | | P254302 | | 09/04/2004 | | 09/04/2029 |
SCAKE 515 | | Venezuela | | FRESITA | | | | Registered | | Those Characters From Cleveland, Inc. | | 28 | | 13448- 2003 | | 09/19/2003 | | 255899 | | 11/01/2004 | | 11/01/2029 |
SCAKE 506 | | Venezuela | | PUPCAKE | | | | Registered | | Those Characters From Cleveland, Inc. | | 22 | | 7738/82 | | 09/14/1982 | | 117309F | | 04/21/1986 | | 04/21/2026 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
95
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 518 | | Venezuela | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. | | 9 | | 18703- 2009 | | 11/11/2009 | | P307200 | | 01/26/2011 | | 01/26/2026 |
SCAKE 508 | | Venezuela | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. | | 22 | | 6804/81 | | 08/04/1981 | | 110819F | | 09/21/1984 | | 09/21/2024 |
SCAKE 504 | | Venezuela | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. | | 38 | | 6803/81 | | 08/04/1981 | | 110818F | | 09/21/1984 | | 09/21/2024 |
SCAKE 519 | | Venezuela | | STRAWBERRY SHORTCAKE | | | | Registered | | Those Characters From Cleveland, Inc. | | 41 | | 18704- 2009 | | 11/11/2009 | | S047285 | | 01/26/2011 | | 01/26/2026 |
SCAKE 510 | | Venezuela | | STRAWBERRY SHORTCAKE LOGO WITH FRESITA IN CIRCLE | |  | | Registered | | Those Characters From Cleveland, Inc. | | 16 | | 2780/80 | | 05/06/1980 | | 111172F | | 10/19/1984 | | 10/19/2024 |
SCAKE 511 | | Venezuela | | STRAWBERRY SHORTCAKE LOGO WITH FRESITA IN CIRCLE | |  | | Registered | | Those Characters From Cleveland, Inc. | | 22 | | 2776/80 | | 05/06/1980 | | 111146F | | 10/18/1984 | | 10/18/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
96
SELLERS DISCLOSURE LETTER - SECTION 4.13(a)
| | | | | | | | | | | | | | | | | | | | | | |
WHE Ref. | | Country | | Mark | | Design | | Status | | Owner of Record | | Class(es) | | App. No. | | App. Date | | Reg. No. | | Reg. Date | | Renewal |
SCAKE 517 | | Venezuela | | STRAWBERRY SHORTCAKE with Circle Strawberry | |  | | Registered | | Those Characters From Cleveland, Inc. | | 28 | | 18083- 2007 | | 07/30/2007 | | P296513 | | 07/22/2009 | | 07/22/2024 |
SCAKE 516 | | Venezuela | | STRAWBERRY SHORTCAKE with Design 2 | |  | | Registered | | Those Characters From Cleveland, Inc. | | 28 | | 2007- 18082 | | 07/30/2007 | | P292403 | | 03/03/2009 | | 03/03/2024 |
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
97
PURCHASER DISCLOSURE LETTER
TO THE
MEMBERSHIP INTEREST PURCHASE AGREEMENT
BY AND AMONG
IBG BORROWER LLC,
ICONIX BRAND GROUP, INC.
DHX MEDIA LTD.
AND
DHX SSP HOLDINGS LLC
DATED MAY 9, 2017
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
This document constitutes the Purchaser Disclosure Letter (the “Purchaser Disclosures”) referenced in the Membership Interest Purchase Agreement (the “Agreement”), dated May 9, 2017, by and among IBG Borrower LLC, a limited liability company organized under the Laws of Delaware (“Seller”), and, solely for purposes of Section 3.4 of the Agreement, Iconix Brand Group, Inc. a corporation organized under the laws of the State of Delaware, on the one hand, and, solely for purposes of Section 3.3 of the Agreement, DHX Media Ltd., a corporation organized under the Laws of Canada, and DHX SSP Holdings LLC, a limited liability company organized under the Laws of Delaware (“Purchaser”), on the other hand. Capitalized terms used herein and not otherwise defined shall have the respective meanings ascribed to such terms in the Agreement.
Matters reflected in the Purchaser Disclosures are not necessarily limited to matters required by the Agreement to be reflected in the Purchaser Disclosures. Purchaser may, at its option, include in the Purchaser Disclosures items that are not material in order to avoid any misunderstanding, and such inclusion shall not be deemed to be an acknowledgment or representation that such items are material, to establish any standard of materiality or to define further the meaning of such terms for purposes of the Agreement, the Purchaser Disclosures or otherwise. To the extent any such additional matters are included, they are included for informational purposes and do not necessarily include other matters of a similar nature. In no event shall any disclosure of additional matters be deemed or interpreted to broaden or otherwise amend any of the covenants or representations or warranties in the Agreement. The disclosure of any matter or item in the Purchaser Disclosures shall not be deemed to constitute an acknowledgment that such matter or item is material to a representation or warranty set forth in the Agreement and shall not be used as a basis for interpreting the terms “material,” “materially” or “materiality” or any word or phrase of similar import, and does not mean that such matter or item would, alone or together with any other matter or item, reasonably be expected to be material. Headings and subheadings have been inserted in the Purchaser Disclosures for convenience of reference only and shall to no extent have the effect of amending or changing the express description thereof as set forth in the Agreement, or modifying any of the representations and warranties contained in the Agreement or any of the qualifications or exceptions set forth in the Agreement relating to such representations and warranties, including, without limitation, any qualifications based on knowledge. All references to “Sections” in the Purchaser Disclosures shall be deemed to refer to the provisions of the Agreement, unless the context requires otherwise. Disclosure of any fact or item in any Schedule referenced by a particular Section in the Agreement shall be deemed to have been disclosed with respect to every other Section in the Agreement to the extent that it is reasonably apparent from the face of such disclosure that such disclosure would apply to such other Sections.
The specification of any dollar amount or the inclusion of any item in the Purchaser Disclosures is not intended to imply that the amounts, or higher or lower amounts, or the items so included, or other items, are or are not required to be disclosed (including whether such amounts or items are required to be disclosed as material or threatened) or are within or outside of the ordinary course of business, and no party to the Agreement shall use the fact of the setting of the amounts or the fact of the inclusion of any item in the Purchaser Disclosures in any dispute or controversy between the parties as to whether any obligation, item or matter not described or included in the Purchaser Disclosures is or is not required to be disclosed (including whether the amount or items are required to be disclosed as material or threatened) or is within or outside of the ordinary course of business for purposes of the Purchaser Disclosures and the Agreement.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
2
The information contained in the Purchaser Disclosures is disclosed solely for purposes of the Agreement, and no information contained herein or therein shall be deemed to be an admission by any party to the Agreement to any third party of any matter whatsoever (including any violation of any Law or Order or breach of contract). The parties to the Agreement do not assume any responsibility to any Person that is not a party to the Agreement for the accuracy of any information set forth in the Purchaser Disclosures. The information set forth in the Purchaser Disclosures was not prepared or disclosed with a view to its potential disclosure to others. Subject to applicable Law, such information is disclosed in confidence for the purposes contemplated in the Agreement and is subject to the confidentiality provisions of the Confidentiality Agreement. Moreover, in disclosing the information in the Purchaser Disclosures, each party to the Agreement expressly does not waive any attorney-client privilege associated with such information or any protection afforded by the work-product doctrine with respect to any of the matters disclosed or discussed herein.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
3
Section 5.3
Consents and Approvals
[***]
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |
Section 5.6
Finders; Brokers
None.
*** | Confidential treatment has been requested for redacted portions of this exhibit. This copy omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been provided separately to the Securities and Exchange Commission. |