Exhibit 10.30(b)
Signature Page to Securities Purchase Agreement -- Additional Investment
These signature pages are dated as of October 28, 2002 and constitute a
legally binding supplement to the Securities Purchase Agreement dated as of
October 10, 2002 between Superconductor Technologies Inc. and the Initial
Investors named therein (the "Agreement"). Capitalized terms have the meanings
assigned to them in the Agreement, and section references herein refer to
sections of the Agreement. All representation and warranties are made as of the
original date of the Agreement.
The Agreement contemplates an aggregate investment in the Company
between $15,000,000 and $20,000,000 on the Closing Date. The Initial Investors
committed on October 10, 2002 to invest approximately $15.0 million on the
Closing Date. Section 9.1 permits the sale of an additional $5.0 million of
securities at the same price and on the same terms under the Agreement to a
limited number of Additional Investors by having them execute these signature
pages to the Agreement. Such sales are subject to certain conditions described
in Section 9.1 and a right of first refusal described in Section 9.2.
The Initial Investors and Additional Investors listed below desire to
purchase, and the Company desires to issue and sell, upon the terms and
conditions set forth in the Agreement, the following additional securities: (1)
an aggregate of 5,263,317 shares of Common Stock and (2) Warrants to purchase up
to an aggregate of 1,315,830 shares of Common Stock. These securities are in
addition to, and not lieu of, the securities subscribed for by the Initial
Investors on October 10, 2002.
The Company represents and warrants that the sale of the foregoing
securities complies with the conditions in Section 9.1. The Initial Investors
have elected to subscribe for most of the remaining securities available under
the Agreement (as set forth below opposite their names) and hereby waive the
procedures concerning their right of first refusal in Section 9.2 with respect
to the sale of securities to the Additional Investors as set forth below.
IN WITNESS WHEREOF, the undersigned Initial Investors, Additional
Investors and the Company have caused these signature pages to the Agreement to
be duly executed in accordance with the provisions of Section 9 of the
Agreement.
"COMPANY"
SUPERCONDUCTOR TECHNOLOGIES INC.
By:
---------------------------------------
M. Peter Thomas
President and Chief Executive Officer
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"ADDITIONAL INVESTORS"
RESIDENCE: California JUPITER PARTNERS
Investment Amount: $525,000
-----------
Common Shares: 552,632
---------------
Warrant Shares: 138,158 By:
-------------- --------------------------------
Alan R. Brudos, Partner
Address for Notice:
Jupiter Partners
c/o Bryan & Edwards
600 Montgomery St., 35th Floor
San Francisco, CA 94111
RESIDENCE: California
WILLIAM C. EDWARDS TRUST UA 9/22/88
Investment Amount: $200,000
------------
Common Shares: 210,526
----------------
Warrant Shares: 52,632
---------------
-----------------------------------
Address for Notice: William C. Edwards, Trustee
William C. Edwards
3000 Sand Hill Road
Bldg.1 -- Suite 190
Menlo Park, CA 94025
RESIDENCE: California CREE ADAMS EDWARDS, TRUSTEE, CREE
& JENNIFEREDWARDS FAMILY TRUST
Investment Amount: $24,985
----------
Common Shares: 26,300 By: Palo Alto Investors LLC
-------------- Title: Investment Advisor
Warrant Shares: 6,575
-------------
Address for Notice: By: Palo Alto Investors
Mr. Will Edwards Title: Manager
Palo Alto Investors
470 University Avenue
Palo Alto, CA 94301 By:
--------------------------------
Name: William L. Edwards
Title: President
S-15
WILLIAM H. DRAPER REVOCABLE TRUST
RESIDENCE: California
By: Palo Alto Investors LLC
Investment Amount: $15,200 Title: Investment Advisor
----------
Common Shares: 16,000
--------------
Warrant Shares: 4,000 By: Palo Alto Investors
------------- Title: Manager
Address for Notice:
Mr. Will Edwards
Palo Alto Investors By:
470 University Avenue -----------------------------
Palo Alto, CA 94301 Name: William L. Edwards
Title: President
RESIDENCE: California FRED M. GIBBONS
Investment Amount: $25,460 By: Palo Alto Investors LLC
----------- Title: Investment Advisor
Common Shares: 26,800
---------------
Warrant Shares: 6,700
--------------
By: Palo Alto Investors
Title: Manager
Address for Notice:
Mr. Will Edwards
Palo Alto Investors
470 University Avenue By:
Palo Alto, CA 94301 ------------------------------
Name: William L. Edwards
Title: President
RESIDENCE: California PAUL C. EDWARDS
Investment Amount: $24,985 By: Palo Alto Investors LLC
------------- Title: Investment Advisor
Common Shares: 26,300
-----------------
Warrant Shares: 6,575
----------------
By: Palo Alto Investors
Title: Manager
Address for Notice:
Mr. Will Edwards
Palo Alto Investors
470 University Avenue By:
Palo Alto, CA 94301 ------------------------------
Name: William L. Edwards
Title: President
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UBTI FREE, L.P.
RESIDENCE: California
By: Palo Alto Investors LLC
Investment Amount: $ 47,025 Title: Investment Advisor
------------
Common Shares: 49,500
----------------
Warrant Shares: 12,375 By: Palo Alto Investors
--------------- Title: Manager
Address for Notice:
Mr. Will Edwards
Palo Alto Investors By:
470 University Avenue ------------------------------------
Palo Alto, CA 94301 Name: William L. Edwards
Title: President
RESIDENCE: California WILLIAM C. EDWARDS REVOCABLE
TRUST, U/A 9/22/88
Investment Amount: $172,345.20
-------------
Common Shares: 181,416 By: Palo Alto Investors LLC
----------------- Title: Investment Advisor
Warrant Shares: 45,354
----------------
Address for Notice: By: Palo Alto Investors
Mr. Will Edwards Title: Manager
Palo Alto Investors
470 University Avenue
Palo Alto, CA 94301 By:
-----------------------------------
Name: William L. Edwards
Title: President
"INITIAL INVESTORS"
RESIDENCE: California ALLOY VENTURES 2002, L.P.
Investment Amount: $1,601,752.25
--------------
Common Shares: 1,686,055
------------------
Warrant Share 421,514 By:
----------------- -----------------------------------
Alloy Ventures 2002, LLC
Address for Notice: Title: General Partner
John F. Shoch, Ph.D.
Alloy Ventures Managing Member of
480 Cowper Street, 2nd Floor Alloy Ventures 2002, LLC
Palo Alto, CA 94301
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RESIDENCE: California ALLOY PARTNERS 2002, L.P.
Investment Amount: $43,247.80
------------
Common Shares: 45,524
----------------
Warrant Shares: 11,381 By:
--------------- --------------------------------
Alloy Ventures 2002, LLC
Address for Notice: Title: General Partner
John F. Shoch, Ph.D.
Alloy Ventures Managing Member of
480 Cowper Street, 2nd Floor Alloy Ventures 2002, LLC
Palo Alto, CA 94301
RESIDENCE: Delaware WILMINGTON SECURITIES, INC.
Investment Amount: $ 0
------------
Common Shares: 0
----------------
Warrant Shares: 0 By:
--------------- --------------------------------
Andrew H. McQuarrie, President
Address for Notice:
Wilmington Securities, Inc.
824 Market Street, Suite 900
Wilmington, DE 19801
Attn: Andrew H. McQuarrie
RESIDENCE: Pennsylvania HENRY L. HILLMAN, ELSIE HILLIARD
HILLMAN AND C.G. GREFENSTETTE,
Investment Amount: $810,000 TRUSTEES OF THE HENRY L.HILLMAN
------------- TRUST U/A/T DATED NOVEMBER 18, 1985
Common Shares: 852,632
-----------------
Warrant Shares: 213,158
----------------
Address for Notice: By:
c/o Maurice J. White --------------------------------
The Hillman Company C.G. Grefenstette, Trustee
1800 Grant Building
Pittsburgh, PA 15219
shares and warrants
S-15
RESIDENCE: Pennsylvania C.G. GREFENSTETTE AND L.M. WAGNER,
TRUSTEES U/A/T DATED DECEMBER 30,
Investment Amount: $0 1976 FOR THE CHILDREN OF JULIET LEA
----------- HILLMAN SIMONDS
Common Shares: 0
--------------
Warrant Shares: 0
-------------
By:
Address for Notice: ---------------------------------
c/o Maurice J. White C.G. Grefenstette, Trustee
The Hillman Company
1800 Grant Building By:
Pittsburgh, PA 15219 --------------------------------
L.M. Wagner, Trustee
RESIDENCE: Pennsylvania C.G. GREFENSTETTE AND L.M. WAGNER,
TRUSTEES U/A/T DATED DECEMBER 30, 1976
Investment Amount: $0 FOR THE CHILDREN OF AUDREY HILLMAN
-------- FISHER
Common Shares: 0
------------
Warrant Shares: 0
------------
Address for Notice: By:
c/o Maurice J. White ---------------------------------
The Hillman Company C.G. Grefenstette, Trustee
1800 Grant Building
Pittsburgh, PA 15219 By:
--------------------------------
L.M. Wagner, Trustee
RESIDENCE: Pennsylvania C.G. GREFENSTETTE AND L.M. WAGNER,
TRUSTEES U/A/T DATED DECEMBER 30, 1976
Investment Amount: $0 FOR THE CHILDREN OF HENRY LEA
----------- HILLMAN, JR.
Common Shares: 0
---------------
Warrant Shares: 0
---------------
Address for Notice: By:
c/o Maurice J. White ---------------------------------
The Hillman Company C.G. Grefenstette, Trustee
1800 Grant Building
Pittsburgh, PA 15219 By:
--------------------------------
L.M. Wagner, Trustee
S-16
RESIDENCE: Pennsylvania C.G. GREFENSTETTE AND L.M. WAGNER,
TRUSTEES U/A/T DATED DECEMBER 30,
Investment Amount: $0 1976 FORTHE CHILDREN OF WILLIAM
-------- TALBOTT HILLMAN
Common Shares: 0
------------
Warrant Shares: 0
----------- By:
---------------------------------
Address for Notice: C.G. Grefenstette, Trustee
c/o Maurice J. White
The Hillman Company By: ---------------------------------
1800 Grant Building L.M. Wagner, Trustee
Pittsburgh, PA 15219
RESIDENCE: New York SPECIAL SITUATIONS FUND III, L.P.
Investment Amount: $446,880
----------
Common Shares: 470,400
---------------
Warrant Shares: 117,600 By:
--------------- ----------------------------------
Name: David Greenhouse
Address for Notice: Title: General Partner
153 E. 53rd Street, 51st Floor
New York, NY 10022
RESIDENCE: New York SPECIAL SITUATIONS FUND CAYMAN, L.P.
Investment Amount: $214,130
-----------
Common Shares: 225,400
---------------
Warrant Shares: 56,350 By:
-------------- ---------------------------------
Name: David Greenhouse
Address for Notice: Title: General Partner
153 E. 53rd Street, 51st Floor
New York, NY 10022
RESIDENCE: New York SPECIAL SITUATIONS PRIVATE EQUITY
FUND, L.P.
Investment Amount: $148,960
------------
Common Shares: 156,800
----------------
Warrant Shares: 39,200 By:
--------------- ----------------------------------
Name: David Greenhouse
Address for Notice: Title: General Partner
153 E. 53rd Street, 51st Floor
New York, NY 10022
S-17
RESIDENCE: New York SPECIAL SITUATIONS TECHNOLOGY
FUND, L.P.
Investment Amount: $0
------
Common Shares: 0
----------
Warrant Shares: 0 By:
--------- -----------------------------------
Name: David Greenhouse
Address for Notice: Title: General Partner
153 E. 53rd Street, 51st Floor
New York, NY 10022
RESIDENCE: California MICRO CAP PARTNERS, L.P.
Investment Amount: $0 By: Palo Alto Investors LLC
-------- Title: General Partner
Common Shares: 0
------------
Warrant Shares: 0
-----------
By: Palo Alto Investors
Address for Notice: Title: Manager
Mr. Will Edwards
Palo Alto Investors
470 University Avenue By:
Palo Alto, CA 94301 ----------------------------------
Name: William L. Edwards
Title: President
RESIDENCE: British Columbia Her Majesty the Queen in Right of the
Province British Columbia
Investment Amount: $0
---------
Common Shares: 0 By: Wellington Management Company, LLP
------------- Title: Investment Adviser
Warrant Shares: 0
------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento
75 State Street By:
Boston, MA 02109 ----------------------------------
Name: Julie A. Jenkins
Title: Vice President and Counsel
S-18
RESIDENCE: Michigan The Dow Chemical Employees' Retirement
Plan
Investment Amount: $57,000
--------------- By: Wellington Management Company, LLP
Common Shares: 60,000 Title: Investment Adviser
-------------------
Warrant Shares: 15,000
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento By:
75 State Street ---------------------------------------
Boston, MA 02109 Name: Julie A. Jenkins
Title: Vice President and Counsel
RESIDENCE: New York The Retirement Program Plan for Employees
of Union Carbide Corporation
Investment Amount: $47,500
---------------
Common Shares: 50,000 By: Wellington Management Company, LLP
------------------- Title: Investment Adviser
Warrant Shares: 12,500
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento
75 State Street By:
Boston, MA 02109 ------------------------------------------
Name: Julie A. Jenkins
Title: Vice President and Counsel
RESIDENCE: Singapore Government of Singapore Investment
Corporation Pte Ltd
Investment Amount: $ 0
---------------
Common Shares: 0 By: Wellington Management Company, LLP
------------------- Title: Investment Adviser
Warrant Shares: 0
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento
75 State Street By:
Boston, MA 02109 ---------------------------------------
Name: Julie A. Jenkins
Title: Vice President and Counsel
S-19
RESIDENCE: Maryland Howard Hughes Medical Institute
Investment Amount: $61,750 By: Wellington Management Company, LLP
--------------- Title: Investment Adviser
Common Shares: 65,000
-------------------
Warrant Shares: 16,250
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento By:
75 State Street -----------------------------------
Boston, MA 02109 Name: Julie A. Jenkins
Title: Vice President and Counsel
RESIDENCE: New York New York State Nurses Association
Pension Plan
Investment Amount: $41,800
--------------- By: Wellington Management Company, LLP
Common Shares: 44,000 Title: Investment Adviser
-------------------
Warrant Shares: 11,000
-----------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento By:
75 State Street ----------------------------------
Boston, MA 02109 Name: Julie A. Jenkins
Title: Vice President and Counsel
RESIDENCE: Ohio Ohio Carpenters' Pension Fund
Investment Amount: $109,250 By: Wellington Management Company, LLP
---------------
Common Shares: 115,000 Title: Investment Adviser
-------------------
Warrant Shares: 28,750
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento By:
75 State Street ----------------------------------
Boston, MA 02109 Name: Julie A. Jenkins
Title: Vice President and Counsel
S-20
RESIDENCE: Ohio Laborers' District Council and
Contractors' of Ohio Pension Fund
Investment Amount: $71,250
---------------
Common Shares: 75,000 By: Wellington Management Company, LLP
------------------- Title: Investment Adviser
Warrant Shares: 18,750
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento
75 State Street By:
Boston, MA 02109 --------------------------------------
Name: Julie A. Jenkins
Title: Vice President and Counsel
RESIDENCE: Oregon Oregon Investment Council
Investment Amount: $ 0 By: Wellington Management Company, LLP
--------------- Title: Investment Adviser
Common Shares: 0
-------------------
Warrant Shares: 0
-------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento By:
75 State Street --------------------------------------
Boston, MA 02109 Name: Julie A. Jenkins
Title: Vice President and Counsel
RESIDENCE: New Jersey The Robert Wood Johnson Foundation
Investment Amount: $66,500 By: Wellington Management Company, LLP
--------------- Title: Investment Adviser
Common Shares: 70,000
-------------------
Warrant Shares: 17,500
-------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento By:
75 State Street ---------------------------------------
Boston, MA 02109 Name: Julie A. Jenkins
Title: Vice President and Counsel
S-21
RESIDENCE: Massachusetts WTC-CIF Emerging Companies Portfolio
Investment Amount: $ 0 By: Wellington Management Company, LLP
--------------- Title: Investment Adviser
Common Shares: 0
-------------------
Warrant Shares: 0
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento By:
75 State Street -----------------------------------
Boston, MA 02109 Name: Julie A. Jenkins
Title: Vice President and Counsel
RESIDENCE: Massachusetts WTC-CTF Emerging Companies Portfolio
Investment Amount: $ 0 By: Wellington Management Company, LLP
--------------- Title: Investment Adviser
Common Shares: 0
-------------------
Warrant Shares: 0
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento By:
75 State Street ----------------------------------
Boston, MA 02109 Name: Julie A. Jenkins
Title: Vice President and Counsel
RESIDENCE: Australia Australian Retirement Fund
Investment Amount: $ 9,500 By: Wellington Management Company, LLP
--------------- Title: Investment Adviser
Common Shares: 10,000
-------------------
Warrant Shares: 2,500
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento By:
75 State Street -----------------------------------
Boston, MA 02109 Name: Julie A. Jenkins
Title: Vice President and Counsel
S-22
RESIDENCE: Alberta, Canada TELUS Corporation
Investment Amount: $ 0 By: Wellington Management Company, LLP
--------------- Title: Investment Adviser
Common Shares: 0
-------------------
Warrant Shares: 0
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento By:
75 State Street ------------------------------------
Boston, MA 02109 Name: Julie A. Jenkins
Title: Vice President and Counsel
RESIDENCE: Australia JB Were Global Small Companies Fund
Investment Amount: $66,500 By: Wellington Management Company, LLP
--------------- Title: Investment Adviser
Common Shares: 70,000
-------------------
Warrant Shares: 17,500
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento By:
75 State Street -------------------------------------
Boston, MA 02109 Name: Julie A. Jenkins
Title: Vice President and Counsel
RESIDENCE: New Zealand NZ Funds Global Small Companies Trust
Investment Amount: $ 0 By: Wellington Management Company, LLP
--------------- Title: Investment Adviser
Common Shares: 0
-------------------
Warrant Shares: 0
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento By:
75 State Street ------------------------------------
Boston, MA 02109 Name: Julie A. Jenkins
Title: Vice President and Counsel
S-23
RESIDENCE: Australia Retail Employees' Superannuation Pty Ltd
Investment Amount: $0 By: Wellington Management Company, LLP
--------------- Title: Investment Adviser
Common Shares: 0
-------------------
Warrant Shares: 0
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento By:
75 State Street ------------------------------------
Boston, MA 02109 Name: Julie A. Jenkins
Title: Vice President and Counsel
RESIDENCE: Pennsylvania SEI Institutional Investment Trust,
Small Cap Growth Fund
Investment Amount: $66,500
---------------
Common Shares: 70,000 By: Wellington Management Company, LLP
------------------- Title: Investment Adviser
Warrant Shares: 17,500
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento
75 State Street By:
Boston, MA 02109 ------------------------------------
Name: Julie A. Jenkins
Title: Vice President and Counsel
RESIDENCE: Pennsylvania SEI Institutional Managed Trust,
Small Cap Growth Fund
Investment Amount: $ 95,000
---------------
Common Shares: 100,000 By: Wellington Management Company, LLP
------------------- Title: Investment Adviser
Warrant Shares: 25,000
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento
75 State Street By:
Boston, MA 02109 ------------------------------------
Name: Julie A. Jenkins
Title: Vice President and Counsel
S-24
RESIDENCE: Alberta, Canada TELUS Foreign Equity Active Pool
Investment Amount: $7,600 By: Wellington Management Company, LLP
--------------- Title: Investment Adviser
Common Shares: 8,000
-------------------
Warrant Shares: 2,000
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento By:
75 State Street -------------------------------------
Boston, MA 02109 Name: Julie A. Jenkins
Title: Vice President and Counsel
RESIDENCE: Australia Telstra Super Pty Ltd
Investment Amount: $ 0 By: Wellington Management Company, LLP
--------------- Title: Investment Adviser
Common Shares: 0
-------------------
Warrant Shares: 0
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento By:
75 State Street -------------------------------------
Boston, MA 02109 Name: Julie A. Jenkins
Title: Vice President and Counsel
RESIDENCE: Ireland WMP (Dublin) -- Global Smaller Companies
Equity
Investment Amount: $ 0
---------------
Common Shares: 0 By: Wellington Management Company, LLP
------------------- Title: Investment Adviser
Warrant Shares: 0
------------------
Address for Notice:
Wellington Management Company, LLP
Attn: Gina Di Mento
75 State Street By:
Boston, MA 02109 -------------------------------------
Name: Julie A. Jenkins
Title: Vice President and Counsel
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Approval of Additional Investors
Pursuant to Section 9.1 of the Agreement, the following Initial
Investors hereby consent to the sale of securities to the Additional Investors
listed on these signature pages at the price and on the terms set forth in the
Agreement.
ALLOY VENTURES 2002, LLC
By:
------------------------------------
Name: John F. Shoch
Title: Managing Member
WELLINGTON MANAGEMENT COMPANY, LLP
By:
------------------------------------
Name: Julie A. Jenkins
Title: Vice President and Counsel
S-26