SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
----------------------
SCHEDULE 13D/A
(RULE 13D-101)
INFORMATION TO BE INCLUDED IN STATEMENTS
FILED PURSUANT TO RULE 13D-1(A) AND
AMENDMENTS THERETO FILED PURSUANT TO RULE 13D-2(A)
(AMENDMENT NO. 2)
GLOBIX CORPORATION
--------------------------------------------------------------------------------
(Name of Issuer)
COMMON STOCK, $0.01 PAR VALUE
--------------------------------------------------------------------------------
(Title of Class of Securities)
37957F200
--------------------------------------------------------------------------------
(CUSIP Number)
THOMAS O. HICKS
200 CRESCENT COURT, SUITE 1600
DALLAS, TEXAS 75201
(214) 740-7300
Copies to:
Glenn D. West
Weil, Gotshal & Manges LLP
100 Crescent Court, Suite 1300
Dallas, Texas 75201
(214) 746-7700
--------------------------------------------------------------------------------
(Name, address and telephone number of person
authorized to receive notices and communications)
APRIL 8, 2002
--------------------------------------------------------------------------------
(Date of event which requires filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(e), (f) or (g), check the following box. [ ]
Note, Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See Rule 13d-7 for other parties
to whom copies are to be sent.
(Continued on following pages)
CUSIP NO. 37957F200 13D/A PAGE 2 OF 66
========== ========================================================================================================================
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
MR. THOMAS O. HICKS
---------- ------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
---------- ------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------- ------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
N/A
---------- ------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES
--------------------------------------------------- --------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
--------------------------------------------------- --------- ---------------------------------------------------------------------
8 SHARED VOTING POWER*
2,304,400
--------------------------------------------------- --------- ---------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------- --------- ---------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER*
2,304,400
---------- ------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,304,400
---------- ------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES CERTAIN SHARES
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
14.0%
---------- ------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
========== ========================================================================================================================
*THE REPORTING PERSON EXPRESSLY DISCLAIMS (A) THE EXISTENCE OF ANY GROUP AND (B)
BENEFICIAL OWNERSHIP WITH RESPECT TO ANY SHARES OTHER THAN THE SHARES OWNED OF
RECORD BY SUCH REPORTING PERSON.
2
CUSIP NO. 37957F200 13D/A PAGE 3 OF 66
========== ========================================================================================================================
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
HM4 GLOBIX QUALIFIED FUND, LLC
---------- ------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
---------- ------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------- ------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
---------- ------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
--------------------------------------------------- --------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
--------------------------------------------------- --------- ---------------------------------------------------------------------
8 SHARED VOTING POWER*
2,092,487
--------------------------------------------------- --------- ---------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------- --------- ---------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER*
2,092,487
---------- ------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,092,487
---------- ------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES CERTAIN SHARES
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
12.7%
---------- ------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
========== ========================================================================================================================
*THE REPORTING PERSON EXPRESSLY DISCLAIMS (A) THE EXISTENCE OF ANY GROUP AND (B)
BENEFICIAL OWNERSHIP WITH RESPECT TO ANY SHARES OTHER THAN THE SHARES OWNED OF
RECORD BY SUCH REPORTING PERSON.
3
CUSIP NO. 37957F200 13D/A PAGE 4 OF 66
========== ========================================================================================================================
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
HMTF EQUITY FUND IV (1999), L.P.
---------- ------------------------------------------------------------------------------------------------------------------------
Q CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
---------- ------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------- ------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
---------- ------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
TEXAS
--------------------------------------------------- --------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
--------------------------------------------------- --------- ---------------------------------------------------------------------
8 SHARED VOTING POWER*
2,092,487
--------------------------------------------------- --------- ---------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------- --------- ---------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER*
2,092,487
---------- ------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,092,487
---------- ------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES CERTAIN SHARES
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
12.7%
---------- ------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
========== ========================================================================================================================
*THE REPORTING PERSON EXPRESSLY DISCLAIMS (A) THE EXISTENCE OF ANY GROUP AND (B)
BENEFICIAL OWNERSHIP WITH RESPECT TO ANY SHARES OTHER THAN THE SHARES OWNED OF
RECORD BY SUCH REPORTING PERSON.
4
CUSIP NO. 37957F200 13D/A PAGE 5 OF 66
========== ========================================================================================================================
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
HM4 GLOBIX PRIVATE FUND, LLC
---------- ------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
---------- ------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------- ------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
---------- ------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
--------------------------------------------------- --------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
--------------------------------------------------- --------- ---------------------------------------------------------------------
8 SHARED VOTING POWER*
14,831
--------------------------------------------------- --------- ---------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------- --------- ---------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER*
14,831
---------- ------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
14,831
---------- ------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES CERTAIN SHARES
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
0.1%
---------- ------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
========== ========================================================================================================================
*THE REPORTING PERSON EXPRESSLY DISCLAIMS (A) THE EXISTENCE OF ANY GROUP AND (B)
BENEFICIAL OWNERSHIP WITH RESPECT TO ANY SHARES OTHER THAN THE SHARES OWNED OF
RECORD BY SUCH REPORTING PERSON.
5
CUSIP NO. 37957F200 13D/A PAGE 6 OF 66
========== ========================================================================================================================
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
HMTF PRIVATE EQUITY FUND IV (1999), L.P.
---------- ------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
---------- ------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------- ------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
---------- ------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
TEXAS
--------------------------------------------------- --------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
--------------------------------------------------- --------- ---------------------------------------------------------------------
8 SHARED VOTING POWER*
14,831
--------------------------------------------------- --------- ---------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------- --------- ---------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER*
14,831
---------- ------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
14,831
---------- ------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES CERTAIN SHARES
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
0.1%
---------- ------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
========== ========================================================================================================================
*THE REPORTING PERSON EXPRESSLY DISCLAIMS (A) THE EXISTENCE OF ANY GROUP AND (B)
BENEFICIAL OWNERSHIP WITH RESPECT TO ANY SHARES OTHER THAN THE SHARES OWNED OF
RECORD BY SUCH REPORTING PERSON.
6
CUSIP NO. 37957F200 13D/A PAGE 7 OF 66
========== ========================================================================================================================
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
HM4/GP (1999) PARTNERS, L.P.
---------- ------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
---------- ------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------- ------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
---------- ------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
TEXAS
--------------------------------------------------- --------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
--------------------------------------------------- --------- ---------------------------------------------------------------------
8 SHARED VOTING POWER*
2,107,318
--------------------------------------------------- --------- ---------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------- --------- ---------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER*
2,107,318
---------- ------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,107,318
---------- ------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES CERTAIN SHARES
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
12.8%
---------- ------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
========== ========================================================================================================================
*THE REPORTING PERSON EXPRESSLY DISCLAIMS (A) THE EXISTENCE OF ANY GROUP AND (B)
BENEFICIAL OWNERSHIP WITH RESPECT TO ANY SHARES OTHER THAN THE SHARES OWNED OF
RECORD BY SUCH REPORTING PERSON.
7
CUSIP NO. 37957F200 13D/A PAGE 8 OF 66
========== ========================================================================================================================
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
HM 4-EQ GLOBIX COINVESTORS, LLC
---------- ------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
---------- ------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------- ------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
---------- ------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
--------------------------------------------------- --------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
--------------------------------------------------- --------- ---------------------------------------------------------------------
8 SHARED VOTING POWER*
34,177
--------------------------------------------------- --------- ---------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------- --------- ---------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER*
34,177
---------- ------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
34,177
---------- ------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES CERTAIN SHARES
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
0.2%
---------- ------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
========== ========================================================================================================================
*THE REPORTING PERSON EXPRESSLY DISCLAIMS (A) THE EXISTENCE OF ANY GROUP AND (B)
BENEFICIAL OWNERSHIP WITH RESPECT TO ANY SHARES OTHER THAN THE SHARES OWNED OF
RECORD BY SUCH REPORTING PERSON.
8
CUSIP NO. 37957F200 13D/A PAGE 9 OF 66
========== ========================================================================================================================
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
HM 4-EQ (1999) COINVESTORS, L.P.
---------- ------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
---------- ------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------- ------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
---------- ------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
TEXAS
--------------------------------------------------- --------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
--------------------------------------------------- --------- ---------------------------------------------------------------------
8 SHARED VOTING POWER*
34,177
--------------------------------------------------- --------- ---------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------- --------- ---------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER*
34,177
---------- ------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
34,177
---------- ------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES CERTAIN SHARES
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
0.2%
---------- ------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
========== ========================================================================================================================
*THE REPORTING PERSON EXPRESSLY DISCLAIMS (A) THE EXISTENCE OF ANY GROUP AND (B)
BENEFICIAL OWNERSHIP WITH RESPECT TO ANY SHARES OTHER THAN THE SHARES OWNED OF
RECORD BY SUCH REPORTING PERSON.
9
CUSIP NO. 37957F200 13D/A PAGE 10 OF 66
========== ========================================================================================================================
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
HM 4-SBS GLOBIX COINVESTORS, LLC
---------- ------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
---------- ------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------- ------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
---------- ------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
--------------------------------------------------- --------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
--------------------------------------------------- --------- ---------------------------------------------------------------------
8 SHARED VOTING POWER*
51,475
--------------------------------------------------- --------- ---------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------- --------- ---------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER*
51,475
---------- ------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
51,475
---------- ------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES CERTAIN SHARES
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
0.3%
---------- ------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
========== ========================================================================================================================
*THE REPORTING PERSON EXPRESSLY DISCLAIMS (A) THE EXISTENCE OF ANY GROUP AND (B)
BENEFICIAL OWNERSHIP WITH RESPECT TO ANY SHARES OTHER THAN THE SHARES OWNED OF
RECORD BY SUCH REPORTING PERSON.
10
CUSIP NO. 37957F200 13D/A PAGE 11 OF 66
========== ========================================================================================================================
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
HM 4-SBS (1999) COINVESTORS, L.P.
---------- ------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
---------- ------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------- ------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
---------- ------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
TEXAS
--------------------------------------------------- --------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
--------------------------------------------------- --------- ---------------------------------------------------------------------
8 SHARED VOTING POWER*
51,475
--------------------------------------------------- --------- ---------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------- --------- ---------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER*
51,475
---------- ------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
51,475
---------- ------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES CERTAIN SHARES
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
0.3%
---------- ------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
========== ========================================================================================================================
*THE REPORTING PERSON EXPRESSLY DISCLAIMS (A) THE EXISTENCE OF ANY GROUP AND (B)
BENEFICIAL OWNERSHIP WITH RESPECT TO ANY SHARES OTHER THAN THE SHARES OWNED OF
RECORD BY SUCH REPORTING PERSON.
11
CUSIP NO. 37957F200 13D/A PAGE 12 OF 66
========== ========================================================================================================================
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
HICKS, MUSE GP (1999) PARTNERS IV, L.P.
---------- ------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
---------- ------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------- ------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
---------- ------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
TEXAS
--------------------------------------------------- --------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
--------------------------------------------------- --------- ---------------------------------------------------------------------
8 SHARED VOTING POWER*
2,192,970
--------------------------------------------------- --------- ---------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------- --------- ---------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER*
2,192,970
---------- ------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,192,970
---------- ------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES CERTAIN SHARES
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
13.3%
---------- ------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
========== ========================================================================================================================
*THE REPORTING PERSON EXPRESSLY DISCLAIMS (A) THE EXISTENCE OF ANY GROUP AND (B)
BENEFICIAL OWNERSHIP WITH RESPECT TO ANY SHARES OTHER THAN THE SHARES OWNED OF
RECORD BY SUCH REPORTING PERSON.
12
CUSIP NO. 37957F200 13D/A PAGE 13 OF 66
========== ========================================================================================================================
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
HICKS, MUSE (1999) FUND IV, LLC
---------- ------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
---------- ------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------- ------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
---------- ------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
TEXAS
--------------------------------------------------- --------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
--------------------------------------------------- --------- ---------------------------------------------------------------------
8 SHARED VOTING POWER*
2,192,970
--------------------------------------------------- --------- ---------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------- --------- ---------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER*
2,192,970
---------- ------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,192,970
---------- ------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES CERTAIN SHARES
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
13.3%
---------- ------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
========== ========================================================================================================================
*THE REPORTING PERSON EXPRESSLY DISCLAIMS (A) THE EXISTENCE OF ANY GROUP AND (B)
BENEFICIAL OWNERSHIP WITH RESPECT TO ANY SHARES OTHER THAN THE SHARES OWNED OF
RECORD BY SUCH REPORTING PERSON.
13
CUSIP NO. 37957F200 13D/A PAGE 14 OF 66
========== ========================================================================================================================
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
HM PG-IV GLOBIX, LLC
---------- ------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
---------- ------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------- ------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
---------- ------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
--------------------------------------------------- --------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
--------------------------------------------------- --------- ---------------------------------------------------------------------
8 SHARED VOTING POWER*
111,430
--------------------------------------------------- --------- ---------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------- --------- ---------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER*
111,430
---------- ------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
111,430
---------- ------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES CERTAIN SHARES
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
0.7%
---------- ------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
========== ========================================================================================================================
*THE REPORTING PERSON EXPRESSLY DISCLAIMS (A) THE EXISTENCE OF ANY GROUP AND (B)
BENEFICIAL OWNERSHIP WITH RESPECT TO ANY SHARES OTHER THAN THE SHARES OWNED OF
RECORD BY SUCH REPORTING PERSON.
14
CUSIP NO. 37957F200 13D/A PAGE 15 OF 66
========== ========================================================================================================================
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
HICKS, MUSE PG-IV (1999), C.V.
---------- ------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
---------- ------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------- ------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
---------- ------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
NETHERLANDS
--------------------------------------------------- --------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
--------------------------------------------------- --------- ---------------------------------------------------------------------
8 SHARED VOTING POWER*
111,430
--------------------------------------------------- --------- ---------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------- --------- ---------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER*
111,430
---------- ------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
111,430
---------- ------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES CERTAIN SHARES
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
0.7%
---------- ------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
========== ========================================================================================================================
*THE REPORTING PERSON EXPRESSLY DISCLAIMS (A) THE EXISTENCE OF ANY GROUP AND (B)
BENEFICIAL OWNERSHIP WITH RESPECT TO ANY SHARES OTHER THAN THE SHARES OWNED OF
RECORD BY SUCH REPORTING PERSON.
15
CUSIP NO. 37957F200 13D/A PAGE 16 OF 66
========== ========================================================================================================================
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
HM EQUITY FUND IV/GP PARTNERS (1999), C.V.
---------- ------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
---------- ------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------- ------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
---------- ------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
NETHERLANDS
--------------------------------------------------- --------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
--------------------------------------------------- --------- ---------------------------------------------------------------------
8 SHARED VOTING POWER*
111,430
--------------------------------------------------- --------- ---------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------- --------- ---------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER*
111,430
---------- ------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
111,430
---------- ------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES CERTAIN SHARES
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
0.7%
---------- ------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
========== ========================================================================================================================
*THE REPORTING PERSON EXPRESSLY DISCLAIMS (A) THE EXISTENCE OF ANY GROUP AND (B)
BENEFICIAL OWNERSHIP WITH RESPECT TO ANY SHARES OTHER THAN THE SHARES OWNED OF
RECORD BY SUCH REPORTING PERSON.
16
CUSIP NO. 37957F200 13D/A PAGE 17 OF 66
========== ========================================================================================================================
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
HM GP PARTNERS IV CAYMAN, L.P.
---------- ------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
---------- ------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------- ------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
---------- ------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
CAYMAN ISLANDS
--------------------------------------------------- --------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
--------------------------------------------------- --------- ---------------------------------------------------------------------
8 SHARED VOTING POWER*
111,430
--------------------------------------------------- --------- ---------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------- --------- ---------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER*
111,430
---------- ------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
111,430
---------- ------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES CERTAIN SHARES
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
0.7%
---------- ------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
========== ========================================================================================================================
*THE REPORTING PERSON EXPRESSLY DISCLAIMS (A) THE EXISTENCE OF ANY GROUP AND (B)
BENEFICIAL OWNERSHIP WITH RESPECT TO ANY SHARES OTHER THAN THE SHARES OWNED OF
RECORD BY SUCH REPORTING PERSON.
17
CUSIP NO. 37957F200 13D/A PAGE 18 OF 66
========== ========================================================================================================================
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
HM FUND IV CAYMAN LLC
---------- ------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
---------- ------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------- ------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
---------- ------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
CAYMAN ISLANDS
--------------------------------------------------- --------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
--------------------------------------------------- --------- ---------------------------------------------------------------------
8 SHARED VOTING POWER*
111,430
--------------------------------------------------- --------- ---------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------- --------- ---------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER*
111,430
---------- ------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
111,430
---------- ------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES CERTAIN SHARES
[ ]
---------- ------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
0.7%
---------- ------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
========== ========================================================================================================================
*THE REPORTING PERSON EXPRESSLY DISCLAIMS (A) THE EXISTENCE OF ANY GROUP AND (B)
BENEFICIAL OWNERSHIP WITH RESPECT TO ANY SHARES OTHER THAN THE SHARES OWNED OF
RECORD BY SUCH REPORTING PERSON.
18
This Statement constitutes Amendment No. 2 to the Schedule 13D
originally filed with the Securities and Exchange Commission on December 13,
1999 and amended by that certain Amendment No. 1 filed July 18, 2000 (as
amended, the "Schedule 13D"). The Schedule 13D originally related to the Common
Stock, par value $.01 per share, authorized prior to the confirmation of the
Plan (hereinafter defined), of Globix Corporation, a Delaware corporation (the
"Issuer"). As amended by this Amendment No. 2, the Schedule 13D relates to the
Common Stock, par value $0.01 per share, of Issuer authorized upon the
confirmation of the Plan. The item numbers and responses thereto below are in
accordance with the requirements of Schedule 13D.
Capitalized terms used herein and not defined have the meaning set
forth in the Schedule 13D.
Items 1 through 6 of the Schedule 13D are hereby amended and restated
to read in their entirety as follows:
ITEM 1. SECURITY AND ISSUER
The class of equity securities to which this Schedule 13D relates is
the Common Stock, par value $0.01 per share, of Issuer authorized upon the
confirmation of the Plan (hereinafter defined) (the "Common Stock"). The address
of the Issuer's principal executive offices is 139 Centre Street, New York, New
York 10013.
ITEM 2. IDENTITY AND BACKGROUND
(a) Name of Person(s) Filing this Statement (the "Reporting Persons"):
------------------------------------------------------------------
Mr. Thomas O. Hicks;
HM4 Globix Qualified Fund, LLC, a Delaware limited liability company
("Qualified LLC");
HMTF Equity Fund IV (1999), L.P., a Texas limited partnership
("Equity L.P.");
HM4 Globix Private Fund, LLC, a Delaware limited liability company
("Private LLC");
HMTF Private Equity Fund IV (1999), L.P., a Texas limited
partnership ("Private L.P.");
HM4/GP (1999) Partners, L.P., a Texas limited partnership ("HM4/GP
Partners");
HM 4-EQ Globix Coinvestors, LLC, a Delaware limited liability
company ("4-EQ LLC");
HM 4-EQ (1999) Coinvestors, L.P., a Texas limited partnership ("4-EQ
L.P.");
HM 4-SBS Globix Coinvestors, LLC, a Delaware limited liability
company ("4-SBS LLC");
HM 4-SBS (1999) Coinvestors, L.P., a Texas limited partnership
("4-SBS L.P.");
Hicks, Muse GP (1999) Partners IV, L.P., a Texas limited partnership
("Hicks GP Partners");
Hicks, Muse (1999) Fund IV, LLC, a Texas limited liability company
("Fund IV LLC");
HM PG-IV Globix, LLC, a Delaware limited liability company ("PG-IV
LLC");
19
Hicks, Muse PG-IV (1999), C.V., a limited partnership organized
under the laws of the Netherlands ("PG-IV C.V.");
HM Equity Fund IV/GP Partners (1999), C.V., a limited partnership
organized under the laws of the Netherlands ("HM Equity C.V.");
HM GP Partners IV Cayman, L.P., a Cayman Islands exempted limited
partnership ("GP Cayman L.P."); and
HM Fund IV Cayman LLC, an exempted Cayman Islands limited liability
company ("Fund IV Cayman LLC").
(b) - (c)
Mr. Thomas O. Hicks
Mr. Thomas O. Hicks is chief executive officer of Hicks, Muse, Tate &
Furst Incorporated ("Hicks, Muse"), a private investment firm primarily engaged
in leveraged acquisitions, recapitalizations and other investment activities.
Mr. Hicks is also the sole member and sole manager of Fund IV LLC, which is the
sole general partner of Hicks GP Partners, which is the sole general partner of
HM4/GP Partners, which is the sole general partner of each of Equity L.P. and
Private L.P. Equity L.P. is the sole member of Qualified LLC, and Private L.P.
is the sole member of Private LLC. Hicks GP Partners is also the sole general
partner of each of 4-SBS L.P. and 4-EQ L.P. 4-SBS L.P. is the sole member of
4-SBS LLC, and 4-EQ L.P. is the sole member of 4-EQ LLC. Mr. Hicks is also the
sole member of Fund IV Cayman LLC, which is the sole general partner of GP
Cayman L.P., which is the sole general partner of HM Equity C.V., which is the
sole general partner of PG-IV C.V. PG-IV C.V. is the sole member of PG-IV LLC.
The business address of Mr. Hicks and Hicks, Muse is 200 Crescent Court, Suite
1600, Dallas, Texas 75201-6950.
Qualified LLC
Qualified LLC is a Delaware limited liability company formed to
invest in the Series A 7.5% Convertible Preferred Stock of the Issuer authorized
prior to the confirmation of the Plan (the "Preferred Stock") and is maintained
to hold an investment in the Common Stock. The business address of Qualified
LLC, which also serves as its principal office, is 200 Crescent Court, Suite
1600, Dallas, Texas 75201-6950. Pursuant to Instruction C to Schedule 13D of the
Securities Exchange Act of 1934, as amended (the "Exchange Act"), information
with respect to Equity L.P., the sole member of Qualified LLC, is set forth
below.
Equity L.P.
Equity L.P. is a Texas limited partnership, the principal business of
which is to invest directly or indirectly in various companies. The business
address of Equity L.P., which also serves as its principal office, is 200
Crescent Court, Suite 1600, Dallas, Texas 75201-6950. Pursuant to Instruction C
to Schedule 13D of the Exchange Act, information with respect to HM4/GP
Partners, the sole general partner of Equity L.P., is set forth below.
20
Private LLC
Private LLC is a Delaware limited liability company formed to invest
in the Preferred Stock and is maintained to hold an investment in the Common
Stock. The business address of Private LLC, which also serves as its principal
office, is 200 Crescent Court, Suite 1600, Dallas, Texas 75201-6950. Pursuant to
Instruction C to Schedule 13D of the Exchange Act, information with respect to
Private L.P., the sole member of Private LLC, is set forth below.
Private L.P.
Private L.P. is a Texas limited partnership, the principal business
of which is to invest directly or indirectly in various companies. The business
address of Private L.P., which also serves as its principal office, is 200
Crescent Court, Suite 1600, Dallas, Texas 75201-6950. Pursuant to Instruction C
to Schedule 13D of the Exchange Act, information with respect to HM4/GP
Partners, the sole general partner of Private L.P., is set forth below.
HM4/GP Partners
HM4/GP Partners is a Texas limited partnership, the principal
business of which is serving as the sole general partner of various limited
partnerships whose principal business is to serve as partners in various
investment partnerships. The principal business address of HM4/GP Partners,
which also serves as its principal office, is 200 Crescent Court, Suite 1600,
Dallas, Texas 75201-6950. Pursuant to Instruction C to Schedule 13D of the
Exchange Act, information with respect to Hicks GP Partners, the sole general
partner of HM4/GP Partners, is set forth below.
4-EQ LLC
4-EQ LLC is a Delaware limited liability company formed to invest in
the Preferred Stock and is maintained to hold an investment in the Common Stock.
The business address of 4-EQ LLC, which also serves as its principal office, is
200 Crescent Court, Suite 1600, Dallas, Texas 75201-6950. Pursuant to
Instruction C to Schedule 13D of the Exchange Act, information with respect to
4-EQ L.P., the sole member of 4-EQ LLC, is set forth below.
4-EQ L.P.
4-EQ L.P. is a Texas limited partnership, the principal business of
which is to invest directly or indirectly in various companies. The business
address of 4-EQ L.P., which also serves as its principal office, is 200 Crescent
Court, Suite 1600, Dallas, Texas 75201-6950. Pursuant to Instruction C to
Schedule 13D of the Exchange Act, information with respect to Hicks GP Partners,
the sole general partner of 4-EQ L.P., is set forth below.
4-SBS LLC
4-SBS LLC is a Delaware limited liability company formed to invest in
the Preferred Stock and is maintained to hold an investment in the Common Stock.
The business address of 4-SBS LLC, which also serves as its principal office, is
200 Crescent Court, Suite 1600, Dallas, Texas 75201-6950. Pursuant to
Instruction C to Schedule 13D of the Exchange Act, information with respect to
4-SBS L.P., the sole member of 4-SBS LLC, is set forth below.
21
4-SBS L.P.
4-SBS L.P. is a Texas limited partnership, the principal business of
which is to invest directly or indirectly in various companies. The business
address of 4-SBS L.P., which also serves as its principal office, is 200
Crescent Court, Suite 1600, Dallas, Texas 75201-6950. Pursuant to Instruction C
to Schedule 13D of the Exchange Act, information with respect to Hicks GP
Partners, the sole general partner of 4-SBS L.P., is set forth below.
Hicks GP Partners
Hicks GP Partners is a Texas limited partnership, the principal
business of which is serving as the sole general partner of various limited
partnerships whose principal business is to serve as partners in various
investment partnerships. The principal business address of Hicks GP Partners,
which also serves as its principal office, is 200 Crescent Court, Suite 1600,
Dallas, Texas 75201-6950. Pursuant to Instruction C to Schedule 13D of the
Exchange Act, information with respect to Fund IV LLC, the sole general partner
of Hicks GP Partners, is set forth below.
Fund IV LLC
Fund IV LLC is a Texas limited liability company, the principal
business of which is serving as the sole general partner in various limited
partnerships whose principal business is to serve as partners in various
investment partnerships. The business address of Fund IV LLC, which also serves
as its principal office, is 200 Crescent Court, Suite 1600, Dallas, Texas
75201-6950. Pursuant to Instruction C to Schedule 13D of the Exchange Act,
information with respect to Mr. Thomas O. Hicks, the sole member of Fund IV LLC,
is set forth above.
PG-IV LLC
PG-IV LLC is a Delaware limited liability company formed to invest in
the Preferred Stock. The business address of PG-IV LLC, which also serves as its
principal office, is 200 Crescent Court, Suite 1600, Dallas, Texas 75201-6950.
Pursuant to Instruction C to Schedule 13D of the Exchange Act, information with
respect to PG-IV C.V., the sole member of PG-IV LLC, is set forth below.
PG-IV C.V.
PG-IV C.V. is a limited partnership organized under the laws of the
Netherlands, the principal business of which is to invest directly or indirectly
in various companies. The business address of PG-IV C.V., which also serves as
its principal office, is 200 Crescent Court, Suite 1600, Dallas, Texas
75201-6950. Pursuant to Instruction C to Schedule 13D of the Exchange Act,
information with respect to HM Equity C.V., the sole general partner of PG-IV
C.V., is set forth below.
HM Equity C.V.
HM Equity C.V. is a limited partnership organized under the laws of
the Netherlands, the principal business of which is serving as the sole general
partner of various limited partnerships whose principal business is to serve as
partners in various investment partnerships. The principal business address of
HM Equity C.V., which also serves as its principal office, is 200 Crescent
Court, Suite 1600, Dallas, Texas 75201-6950. Pursuant to Instruction C to
22
Schedule 13D of the Exchange Act, information with respect to GP Cayman L.P.,
the sole general partner of HM Equity C.V., is set forth below.
GP Cayman L.P.
GP Cayman L.P. is a Cayman Islands exempted limited partnership, the
principal business of which is serving as the sole general partner of various
limited partnerships whose principal business is to serve as partners in various
investment partnerships. The business address of GP Cayman L.P., which also
serves as its principal office, is 200 Crescent Court, Suite 1600, Dallas, Texas
75201-6950. Pursuant to Instruction C to Schedule 13D of the Exchange Act,
information with respect to Fund IV Cayman LLC, the sole general partner of GP
Cayman L.P., is set forth below.
Fund IV Cayman LLC
Fund IV Cayman LLC is an exempted Cayman Islands limited liability
company, the principal business of which is serving as the sole general partner
in various limited partnerships whose principal business is to serve as partners
in various investment partnerships. The business address of Fund IV Cayman LLC,
which also serves as its principal office, is 200 Crescent Court, Suite 1600,
Dallas, Texas 75201-6950. Pursuant to Instruction C to Schedule 13D of the
Exchange Act, information with respect to Mr. Thomas O. Hicks, the sole member
of Fund IV Cayman LLC, is set forth above.
(d) None of the Reporting Persons has, during the last five years,
been convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors).
(e) None of the Reporting Persons has, during the last five years,
been a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction and as a result of such proceeding was or is subject to a
judgment, decree or final order enjoining future violations of, or prohibiting
or mandating activities subject to, Federal or State securities laws or finding
any violations with respect to such laws.
(f) Mr. Hicks is a United States citizen.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
As more fully described in Item 6 below, on December 3, 1999,
Qualified LLC, Private LLC, 4-EQ LLC, 4-SBS LLC, PG-IV LLC and HMTF Bridge
Globix, LLC, a Delaware limited liability company ("Bridge LLC") each purchased
from the Issuer the number of shares of Preferred Stock set forth opposite their
respective names below at the purchase price set forth opposite their respective
names below.
23
----------------------- ---------------------------- ---------------------------
NUMBER OF
NAME OF ENTITY SHARES PURCHASE PRICE
PURCHASED
----------------------- ---------------------------- ---------------------------
Qualified LLC 54,483 $ 54,483,300
----------------------- ---------------------------- ---------------------------
Private LLC 386 $ 386,000
----------------------- ---------------------------- ---------------------------
4-EQ LLC 890 $ 890,000
----------------------- ---------------------------- ---------------------------
4-SBS LLC 1,340 $ 1,340,000
----------------------- ---------------------------- ---------------------------
PG-IV LLC 2,901 $ 2,901,000
----------------------- ---------------------------- ---------------------------
Bridge LLC 20,000 $ 20,000,000
----------------------- ---------------------------- ---------------------------
As more fully described in Item 4 below, on June 26, 2000, Bridge LLC
sold its shares of Preferred Stock to Qualified LLC, Private LLC, 4-EQ LLC,
4-SBS LLC and PG-IV LLC.
Qualified LLC obtained funds for the purchase price of its shares of
Preferred Stock (including the shares subsequently purchased from Bridge LLC)
from capital contributions provided by Equity L.P.; Equity L.P. obtained such
funds from capital contributions provided by its limited partners and HM4/GP
Partners; HM4/GP Partners obtained such funds from capital contributions
provided by its limited partners and Hicks GP Partners; and Hicks GP Partners
obtained such funds from capital contributions provided by its limited partners
and Fund IV LLC. Fund IV LLC obtained such funds from capital contributions
provided by Mr. Thomas O. Hicks, who obtained such funds from personal funds.
Private LLC obtained funds for the purchase price of its shares of
Preferred Stock (including the shares subsequently purchased from Bridge LLC)
from capital contributions provided by Private L.P.; Private L.P. obtained such
funds from capital contributions provided by its limited partners and HM4/GP
Partners; HM4/GP Partners obtained such funds from capital contributions
provided by its limited partners and Hicks GP Partners; and Hicks GP Partners
obtained such funds from capital contributions provided by its limited partners
and Fund IV LLC. Fund IV LLC obtained such funds from capital contributions
provided by Mr. Thomas O. Hicks, who obtained such funds from personal funds.
4-EQ LLC obtained funds for the purchase price of its shares of
Preferred Stock (including the shares subsequently purchased from Bridge LLC)
from capital contributions provided by 4-EQ L.P.; 4-EQ L.P. obtained such funds
from capital contributions provided by its limited partners and Hicks GP
Partners, and Hicks GP Partners obtained such funds from capital contributions
provided by its limited partners and Fund IV LLC. Fund IV LLC obtained such
funds from capital contributions provided by Mr. Thomas O. Hicks, who obtained
such funds from personal funds.
4-SBS LLC obtained funds for the purchase price of its shares of
Preferred Stock (including the shares subsequently purchased from Bridge LLC)
from capital contributions provided by 4-SBS L.P.; 4-SBS L.P. obtained such
funds from capital contributions provided by its limited partners and Hicks GP
Partners, and Hicks GP Partners obtained such funds from capital contributions
provided by its limited partners and Fund IV LLC. Fund IV LLC obtained such
24
funds from capital contributions provided by Mr. Thomas O. Hicks, who obtained
such funds from personal funds.
PG-IV LLC obtained funds for the purchase price of its shares of
Preferred Stock (including the shares subsequently purchased from Bridge LLC)
from capital contributions provided by PG-IV C.V.; PG-IV C.V. obtained such
funds from capital contributions provided by its limited partners and HM Equity
C.V.; HM Equity C.V. obtained such funds from capital contributions provided by
its limited partners and G.P. Cayman L.P.; and G.P. Cayman L.P. obtained such
funds from capital contributions provided by its limited partners and Fund IV
Cayman LLC. Fund IV Cayman LLC obtained such funds from capital contributions
provided by Mr. Thomas O. Hicks, who obtained such funds from personal funds.
Bridge LLC obtained funds for the purchase price of its shares of
Preferred Stock from capital contributions provided by HMTF Bridge Partners,
L.P., a Delaware limited partnership ("Bridge Partners L.P."); Bridge Partners
L.P. obtained $604,493 of such funds from capital contributions provided by its
general partner, HMTF Bridge Partners, LLC, a Texas limited company ("Bridge
Partners LLC"), and its limited partners, and it obtained the remainder of the
funds, $19,680,507, from a portion of a credit facility from a bank, as defined
in Section 3(a)(6) of the Securities Exchange Act of 1934, as amended. Such
funds include amounts allocated to fees and expenses. This credit facility was
replaced by a credit agreement dated December 28, 1999, among HMTF Bridge
Partners, L.P. and HM/Europe Coinvestors, C.V., as Initial Borrowers, and any
Future Borrowers from time to time parties thereto, the Lenders from time to
time parties thereto, the Issuing Bank, the Chase Manhattan Bank, as
Administrative Agent, and Bank of America, N.A., as Syndication Agent (the
"Credit Agreement"). On June 26, 2000, Bridge Partners L.P. repaid the borrowing
under the Credit Agreement with the proceeds of the sale of its shares of
Preferred Stock to Qualified LLC, Private LLC, 4-EQ LLC, 4-SBS LLC and PG-IV
LLC.
Bridge Partners LLC obtained the funds it contributed to Bridge
Partners L.P. from capital contributions provided by Mr. Thomas O. Hicks, who
obtained such funds from personal funds.
On December 31, 2000, March 31, 2001, June 30, 2001 and September 30,
2001, the Issuer declared stock dividends on the Preferred Stock. From such
dividends, the following Reporting Persons received an aggregate of the
following corresponding numbers of shares of Preferred Stock:
-------------------------------------- -----------------------------------------
NAME OF ENTITY NUMBER OF SHARES OF
PREFERRED STOCK
-------------------------------------- -----------------------------------------
Qualified LLC 5,604
-------------------------------------- -----------------------------------------
Private LLC 40
-------------------------------------- -----------------------------------------
PG-IV LLC 299
-------------------------------------- ----------------------------------------
4-EQ LLC 92
-------------------------------------- -----------------------------------------
4-SBS LLC 138
-------------------------------------- -----------------------------------------
25
On March 1, 2002, the Issuer filed a voluntary petition under Chapter
11 of the U.S. Bankruptcy Code, together with a prepackaged Plan of
Reorganization (the "Plan"), with the United States Bankruptcy Court for the
District of Delaware. On April 8, 2002 (the "Effective Date"), the bankruptcy
court confirmed the Plan. As of the Effective Date, all securities of the
Issuer, including all shares of Preferred Stock, were cancelled and each of the
following Reporting Persons became entitled to, and exercised its right to,
receive, in exchange for its claims in respect of its shares of Preferred Stock
held immediately before the Effective Date, the following number of shares of
Common Stock:
-------------------------------------- -----------------------------------------
NAME OF ENTITY NUMBER OF SHARES OF
COMMON STOCK
-------------------------------------- -----------------------------------------
Qualified LLC 2,092,487
-------------------------------------- -----------------------------------------
Private LLC 14,831
-------------------------------------- -----------------------------------------
PG-IV LLC 111,430
-------------------------------------- -----------------------------------------
4-EQ LLC 34,117
-------------------------------------- -----------------------------------------
4-SBS LLC 51,475
-------------------------------------- -----------------------------------------
ITEM 4. PURPOSE OF TRANSACTION
The Reporting Persons consummated the transactions described herein
in order to acquire an interest in the Issuer for investment purposes. The
Reporting Persons intend to review continuously their position in the Issuer.
Depending upon future evaluations of the business prospects of the Issuer and
upon other developments, including, but not limited to, general economic and
business conditions and stock market conditions, the Reporting Persons may
retain or from time to time increase their holdings or dispose of all or a
portion of their holdings subject to any applicable legal and contractual
restrictions on their ability to do so.
In addition, the matters set forth in Item 6 are incorporated in this
Item 4 by reference as if fully set forth herein.
On June 26, 2000, Bridge LLC sold its shares of Preferred Stock to
Qualified LLC, Private LLC, 4-EQ LLC, 4-SBS LLC and PG-IV LLC, and such
companies purchased such shares, as set forth below:
26
--------------------------------------- ----------------------------------------
NAME OF ENTITY NUMBER OF SHARES OF PREFERRED
STOCK PURCHASED
--------------------------------------- ----------------------------------------
Qualified LLC 18,161
--------------------------------------- ----------------------------------------
Private LLC 129
--------------------------------------- ----------------------------------------
4-EQ LLC 296
--------------------------------------- ----------------------------------------
4-SBS LLC 447
--------------------------------------- ----------------------------------------
PG-IV LLC 967
--------------------------------------- ----------------------------------------
The purchase price for the shares of Preferred Stock sold by Bridge
LLC was equal to the original purchase price paid therefor by Bridge LLC
together with an allocable portion of the interest and other expenses incurred
by Bridge LLC under the Credit Agreement referred to in item 3.
On December 31, 2000, March 31, 2001, June 30, 2001 and September 30,
2001, the Issuer declared stock dividends on the Preferred Stock. From such
dividends, the following Reporting Persons received an aggregate of the
following corresponding numbers of shares of Preferred Stock:
----------------------------------- --------------------------------------------
NAME OF ENTITY NUMBER OF SHARES OF
PREFERRED STOCK
----------------------------------- --------------------------------------------
Qualified LLC 5,604
----------------------------------- --------------------------------------------
Private LLC 40
----------------------------------- --------------------------------------------
PG-IV LLC 299
----------------------------------- --------------------------------------------
4-EQ LLC 92
----------------------------------- --------------------------------------------
4-SBS LLC 138
----------------------------------- --------------------------------------------
On March 1, 2002, the Issuer filed a voluntary petition under Chapter
11 of the U.S. Bankruptcy Code, together with the Plan, with the United States
Bankruptcy Court for the District of Delaware. On the Effective Date, the
bankruptcy court confirmed the Plan. As of the Effective Date, all securities of
the Issuer, including all shares of Preferred Stock, were cancelled and, each of
the following Reporting Persons became entitled to, and exercised its right to,
receive, in exchange for its claims in respect of its shares of Preferred Stock
held immediately before the Effective Date, the following number of shares of
Common Stock:
27
--------------------------------------- ----------------------------------------
NAME OF ENTITY NUMBER OF SHARES
OF COMMON STOCK
--------------------------------------- ----------------------------------------
Qualified LLC 2,092,487
--------------------------------------- ----------------------------------------
Private LLC 14,831
--------------------------------------- ----------------------------------------
PG-IV LLC 111,430
--------------------------------------- ----------------------------------------
4-EQ LLC 34,117
--------------------------------------- ----------------------------------------
4-SBS LLC 51,475
--------------------------------------- ----------------------------------------
In connection with the confirmation of the Plan, the Issuer,
Qualified LLC, Private LLC, PG-IV LLC, 4-EQ LLC, 4-SBS LLC, and certain other
security holders of Issuer, entered into a Registration Rights Agreement dated
April 23, 2002 (the "Registration Rights Agreement"). Pursuant to the
Registration Rights Agreement, the Issuer agreed, among other things, to
prepare, file with the Securities and Exchange Commission within 90 days after
the Effective Date, and use its reasonable best efforts to cause to be declared
effective as promptly as practicable, a "shelf" registration statement for an
offering to be made on a continuous basis pursuant to Rule 415 under the
Securities Act 1933, as amended (the "Securities Act") on Form S-1 or Form S-3
or any other appropriate form (or any successor form) under the Securities Act
covering the resale of the Common Stock held by Qualified LLC, Private LLC,
PG-IV LLC, 4-EQ LLC and 4-SBS LLC.
On July 25, 2002, the issuer filed a registration statement on Form
S-1 pursuant to the Registration Rights Agreement, which has not been declared
effective.
Except as set forth in this Item 4 (including the matters described
in Item 6 below which are incorporated in this Item 4 by reference), the
Reporting Persons have no present plans or proposals that relate to or that
would result in any of the actions specified in clauses (a) through (j) of Item
4 of Schedule 13D of the Exchange Act.
ITEM 5. INTEREST IN SECURITIES OF ISSUER
(a)(1) Qualified LLC is the record and beneficial owner of 2,092,487
shares of Common Stock, which represents approximately 12.7% of the outstanding
shares of Common Stock.
(2) Equity L.P., in its capacity as sole member of Qualified LLC,
may, pursuant to Rule 13d-3 of the Exchange Act, be deemed to be the beneficial
owner of 2,092,487 shares of Common Stock, which represents approximately 12.7%
of the outstanding shares of Common Stock.
(3) Private LLC is the record and beneficial owner of 14,831 shares
of Common Stock, which represents approximately 0.1% of the outstanding shares
of Common Stock.
(4) Private L.P., in its capacity as sole member of Private LLC, may,
pursuant to Rule 13d-3 of the Exchange Act, be deemed to be the beneficial owner
of 14,831 shares of Common Stock, which represents approximately 0.1% of the
outstanding shares of Common Stock.
28
(5) HM4/GP Partners, in its capacity as the sole general partner of
each of Equity L.P. and Private L.P., may, pursuant to Rule 13d-3 of the
Exchange Act, be deemed to be the beneficial owner of 2,107,318 shares of Common
Stock, which represents approximately 12.8% of the outstanding shares of Common
Stock.
(6) 4-EQ LLC is the record and beneficial owner of 34,177 shares of
Common Stock, which represents approximately 0.2% of the outstanding shares of
Common Stock.
(7) 4-EQ L.P., in its capacity as sole member of 4-EQ LLC, may,
pursuant to Rule 13d-3 of the Exchange Act, be deemed to be the beneficial owner
of 34,177 shares of Common Stock, which represents approximately 0.2% of the
outstanding shares of Common Stock.
(8) 4-SBS LLC is the record and beneficial owner of 51,475 shares of
Common Stock, which represents approximately 0.3% of the outstanding shares of
Common Stock.
(9) 4-SBS L.P., in its capacity as sole member of 4-SBS LLC, may,
pursuant to Rule 13d-3 of the Exchange Act, be deemed to be the beneficial owner
of 51,475 shares of Common Stock, which represents approximately 0.3% of the
outstanding shares of Common Stock.
(10) Hicks GP Partners, in its capacity as sole general partner of
each of HM4/GP Partners, 4-EQ L.P. and 4-SBS L.P., may, pursuant to Rule 13d-3
of the Exchange Act, be deemed to be the beneficial owner of 2,192,970 shares of
Common Stock, which represents approximately 13.3% of the outstanding shares of
Common Stock.
(11) Fund IV LLC, in its capacity as the sole general partner of
Hicks GP Partners, may, pursuant to Rule 13d-3 of the Exchange Act, be deemed to
be the beneficial owner of 2,192,970 shares of Common Stock, which represents
approximately 13.3% of the outstanding shares of Common Stock.
(12) PG-IV LLC is the record and beneficial owner of 111,430 shares
of Common Stock, which represents approximately 0.7% of the outstanding shares
of Common Stock.
(13) PG-IV C.V., in its capacity as sole member of PG-IV LLC, may,
pursuant to Rule 13d-3 of the Exchange Act, be deemed to be the beneficial owner
of 111,430 shares of Common Stock, which represents approximately 0.7% of the
outstanding shares of Common Stock.
(14) HM Equity C.V., in its capacity as sole general partner of PG-IV
C.V., may, pursuant to Rule 13d-3 of the Exchange Act, be deemed to be the
beneficial owner of 111,430 shares of Common Stock, which represents
approximately 0.7% of the outstanding shares of Common Stock.
(15) GP Cayman L.P., in its capacity as sole general partner of HM
Equity C.V., may, pursuant to Rule 13d-3 of the Exchange Act, be deemed to be
the beneficial owner of 111,430 shares of Common Stock, which represents
approximately 0.7% of the outstanding shares of Common Stock.
(16) Fund IV Cayman LLC, in its capacity as the sole general partner
of GP Cayman L.P. may, pursuant to Rule 13d-3 of the Exchange Act, be deemed to
29
be the beneficial owner of 111,430 shares of Common Stock, which represents
approximately 0.7% of the outstanding shares of Common Stock.
(17) Mr. Thomas O. Hicks, in his capacity as sole member of Fund IV
LLC and Fund IV Cayman LLC, may, pursuant to Rule 13d-3 of the Exchange Act, be
deemed to be the beneficial owner of 2,304,400 shares of Common Stock, which
represents approximately 14.0% of the outstanding shares of Common Stock.
The Reporting Persons expressly disclaim (a) the existence of any
group and (b) beneficial ownership with respect to any shares other than the
shares owned of record by such Reporting Person.
(b) The information set forth in Items 7 through 11 of the cover
pages hereto is incorporated herein by reference.
(c) Except as set forth herein, none of the persons named in response
to paragraph (a) has effected any transactions in shares of Common Stock during
the past 60 days.
(d) The right to receive dividends on, and proceeds from the sale of,
the shares of Common Stock which may be beneficially owned by the persons
described in (a) above is governed by the limited liability company agreements
and limited partnership agreements of each such entity, and such dividends or
proceeds may be distributed with respect to numerous member interests and
general and limited partnership interests.
ITEM 6.
The matters set forth in Item 2 are incorporated in this Item 6 by
reference as if fully set forth herein.
Stock Purchase Agreement
Pursuant to the Stock Purchase Agreement, the Issuer agreed to sell
to HMTF-IV, and HMTF-IV agreed to purchase from the Issuer, 80,000 shares of
Preferred Stock for a purchase price of $80,000,000.
Prior to the issuance of the shares of Preferred Stock at the Closing
(as defined below), pursuant to an Assignment of Rights Under Stock Purchase
Agreement dated November 9, 1999 (the "Initial Assignment Agreement"), HMTF-IV
assigned all of its rights, titles, interests and obligations in, to and under
the Stock Purchase Agreement to Qualified LLC, Private LLC, 4-EQ LLC, 4-SBS LLC
and PG-IV LLC (the "Assignees"). Following the execution and delivery of the
Initial Assignment Agreement, pursuant to an Assignment of Rights Under Stock
Purchase Agreement dated November 16, 1999 (the "Second Assignment Agreement"),
each Assignee assigned 25% of its rights, titles, interests and obligations in,
to and under the Stock Purchase Agreement to Bridge LLC. In addition, on
November 16, 1999, Qualified LLC, Private LLC, 4-EQ LLC, 4-SBS LLC, PG-IV LLC
and Bridge LLC entered into an Agreement to be Bound, whereby each entity agreed
to be bound by the terms of the Stock Purchase Agreement.
30
On December 3, 1999, at the closing held pursuant to the Stock
Purchase Agreement (the "Closing"), the Issuer sold to each of the persons
listed below (the "HMTF Holders") the number of shares of Preferred Stock set
forth opposite each person's name below in exchange for the purchase price set
forth opposite such person's name below.
--------------------- --------------------------- ------------------------------
NUMBER OF
NAME OF ENTITY SHARES PURCHASE PRICE
PURCHASED
--------------------- --------------------------- ------------------------------
Qualified LLC 54,483 $ 54,483,300
--------------------- --------------------------- ------------------------------
Private LLC 386 $ 386,000
--------------------- --------------------------- ------------------------------
4-EQ LLC 890 $ 890,000
--------------------- --------------------------- ------------------------------
4-SBS LLC 1,340 $ 1,340,000
--------------------- --------------------------- ------------------------------
PG-IV LLC 2,901 $ 2,901,000
--------------------- --------------------------- ------------------------------
Bridge LLC 20,000 $ 20,000,000
--------------------- --------------------------- ------------------------------
The foregoing description of the Stock Purchase Agreement is not, and
does not purport to be, complete and is qualified in its entirety by reference
to the Stock Purchase Agreement, a copy of which is filed as Exhibit 10.1 to the
Schedule 13D and is incorporated herein by reference.
On June 26, 2000, Bridge LLC sold its shares of Preferred Stock to
Qualified LLC, Private LLC, 4-EQ LLC, 4-SBS LLC and PG-IV LLC, and such
companies purchased such shares, as set forth below:
----------------------------------- --------------------------------------------
NAME OF ENTITY NUMBER OF SHARES OF
PREFERRED STOCK
PURCHASED
----------------------------------- --------------------------------------------
Qualified LLC 18,161
----------------------------------- --------------------------------------------
Private LLC 129
----------------------------------- --------------------------------------------
4-EQ LLC 296
----------------------------------- --------------------------------------------
4-SBS LLC 447
----------------------------------- --------------------------------------------
PG-IV LLC 967
----------------------------------- --------------------------------------------
On June 26, 2000, Bridge Partners L.P. repaid the borrowing under the
Credit Agreement referred to in Item 3 with the proceeds of the sale of its
shares of Preferred Stock to Qualified LLC, Private LLC, 4-EQ LLC, 4-SBS LLC and
PG-IV LLC, as set forth above.
Chapter 11 Plan
On March 1, 2002, the Issuer filed a voluntary petition under Chapter
11 of the U.S. Bankruptcy Code, together with the Plan, with the United States
Bankruptcy Court for the District of Delaware. On the Effective Date, the
bankruptcy court confirmed the Plan. As of the Effective Date, all securities of
31
the Issuer, including all shares of Preferred Stock, were cancelled and, each of
the following Reporting Persons became entitled to, and exercised its right to,
receive, in exchange for its claims in respect of its shares of Preferred Stock
held immediately before the Effective Date, the following number of share of
Common Stock, par value $0.01 per share of the issuer ("Common Stock"):
------------------------------ -------------------------------------
NAME OF ENTITY NUMBER OF SHARES
------------------------------ -------------------------------------
Qualified LLC 2,092,487
------------------------------ -------------------------------------
Private LLC 14,831
------------------------------ -------------------------------------
PG-IV LLC 111,430
------------------------------ -------------------------------------
4-EQ LLC 34,117
------------------------------ -------------------------------------
4-SBS LLC 51,475
------------------------------ -------------------------------------
The foregoing description of the Plan is not, and does not purport to
be, complete and is qualified in its entirety by reference to the Plan, a copy
of which is filed as Exhibit 2.1 to the Schedule 13D and is incorporated herein
by reference.
Registration Rights
In connection with the confirmation of the Plan, the Issuer,
Qualified LLC, Private LLC, PG-IV LLC, 4-EQ LLC, 4-SBS LLC, and certain other
security holders of Issuer, entered into the Registration Rights Agreement.
Pursuant to the Registration Rights Agreement, the Issuer agreed to prepare,
file with the Securities and Exchange Commission within 90 days after the
Effective Date, and use its reasonable best efforts to cause to be declared
effective as promptly as practicable, a "shelf" registration statement for an
offering to be made on a continuous basis pursuant to Rule 415 under the
Securities Act 1933, as amended (the "Securities Act") on Form S-1 or Form S-3
or any other appropriate form (or any successor form) under the Securities Act
covering the resale of the Common Stock held by Qualified LLC, Private LLC,
PG-IV LLC, 4-EQ LLC and 4-SBS LLC.
On July 25, 2002, the issuer filed a registration statement on Form
S-1 pursuant to the Registration Rights Agreement, which has not been declared
effective.
The foregoing description of the Registration Rights Agreement is
not, and does not purport to be, complete and is qualified in its entirety by
reference to the Registration Rights Agreement, a copy of which is filed as
Exhibit 10.5 to the Schedule 13D and is incorporated herein by reference.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
Item 7 of the Schedule 13D is hereby amended by adding the following:
2.1 Amended Joint Prepackaged Plan of the Issuer and certain of the
Issuer's subsidiaries, dated April 8, 2002.
32
10.6 Registration Rights Agreement dated April 23, 2002 among Issuer,
Qualified LLC, Private LLC, PG-IV LLC, 4-EQ LLC, 4-SBS LLC, and the other
security holders of Issuer signatory thereto.
33
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
4/16/03 By: *
-------------------------- -----------------------------------------------
Date Thomas O. Hicks
*By: /s/David W. Knickel
----------------------------------------------
David W. Knickel
Attorney-in-Fact
34
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
4/16/03 HM4 GLOBIX QUALIFIED FUND, LLC
-------------------------
Date
By: /s/David W. Knickel
--------------------------------
David W. Knickel
Vice President
35
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
4/16/03 HMTF EQUITY FUND IV (1999), L.P.
--------------------------
Date
By: HM4/GP (1999) Partners, L.P., its
General Partner
By: Hicks, Muse GP (1999) Partners IV, L.P., its
General Partner
By: Hicks, Muse (1999) Fund IV, LLC, its
General Partner
By: /s/David W. Knickel
------------------------------------
David W. Knickel
Vice President
36
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
4/16/03 HM4 GLOBIX PRIVATE FUND, LLC
---------------------------------
Date
By: /s/David W. Knickel
---------------------------------
David W. Knickel
Vice President
37
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
4/16/03 HMTF PRIVATE EQUITY FUND IV (1999), L.P.
------------------------------
Date
By: HM4/GP (1999) Partners, L.P., its
General Partner
By: Hicks, Muse GP (1999) Partners IV, L.P., its
General Partner
By: Hicks, Muse (1999) Fund IV, LLC, its
General Partner
By: /s/David W. Knickel
----------------------------------------
David W. Knickel
Vice President
38
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
4/16/03 HM4/GP (1999) PARTNERS, L.P.
---------------------------
Date
By: Hicks, Muse GP (1999) Partners IV, L.P., its
General Partner
By: Hicks, Muse (1999) Fund IV, LLC, its
General Partner
By: /s/David W. Knickel
-----------------------------------------
David W. Knickel
Vice President
39
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
4/16/03 HM 4-EQ GLOBIX COINVESTORS, LLC
------------------------
Date
By: /s/David W. Knickel
-------------------------------------
David W. Knickel
Vice President
40
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
4/16/03 HM 4-EQ (1999) COINVESTORS, L.P.
-------------------------
Date
By: Hicks, Muse GP (1999) Partners IV, its General
Partner
By: Hicks, Muse (1999) Fund IV, LLC, its General
Partner
By: /s/David W. Knickel
--------------------------------------
David W. Knickel
Vice President
41
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
4/16/03 HM 4-SBS GLOBIX COINVESTORS, LLC,
----------------------------
Date
By: /s/David W. Knickel
----------------------------------------
David W. Knickel
Vice President
42
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
4/16/03 HM 4-SBS (1999) COINVESTORS, L.P.
-------------------------
Date
By: Hicks, Muse GP (1999) Partners IV, L.P., its
General Partner
By: Hicks, Muse (1999) Fund IV, LLC, its
General Partner
By: /s/David W. Knickel
------------------------------------------
David W. Knickel
Vice President
43
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
4/16/03 HICKS, MUSE GP (1999) PARTNERS IV, L.P.
------------------------------
Date
By: Hicks, Muse (1999) Fund IV, LLC, its
General Partner
By: /s/David W. Knickel
------------------------------------
David W. Knickel
Vice President
44
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
4/16/03 HICKS, MUSE (1999) FUND IV, LLC
-------------------------
Date
By: /s/David W. Knickel
--------------------------------------
David W. Knickel
Vice President
45
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
4/16/03 HM PG-IV GLOBIX, LLC
----------------------------
Date
By: /s/David W. Knickel
--------------------------------
David W. Knickel
Vice President
46
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
4/16/03 HICKS, MUSE PG-IV (1999), C.V.
-----------------------------
Date
By: HM Equity Fund IV/GP Partners (1999),
C.V., its General Partner
By: HM GP Partners IV Cayman, L.P., its General
Partner
By: HM Fund IV Cayman LLC, its General
Partner
By: /s/David W. Knickel
------------------------------------
David W. Knickel
Vice President
47
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
4/16/03 HM EQUITY FUND IV/GP PARTNERS (1999),
--------------------------
Date C.V.
By: HM GP Partners IV Cayman, L.P., its General
Partner
By: HM Fund IV Cayman LLC, its General
Partner
By: /s/David W. Knickel
----------------------------------------
David W. Knickel
Vice President
48
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
4/16/03 HM GP PARTNERS IV CAYMAN, L.P.
-------------------------
Date
By: HM Fund IV Cayman LLC, its General Partner
By: /s/David W. Knickel
----------------------------------------
David W. Knickel
Vice President
49
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
4/16/03 HM FUND IV CAYMAN LLC
-------------------------
Date
By: /s/David W. Knickel
--------------------------------------
David W. Knickel
Vice President
50
EXHIBIT INDEX
2.1 Amended Joint Prepackaged Plan of the Issuer and certain of the
Issuer's subsidiaries, dated April 8, 2002.(1)
6.5 Registration Rights Agreement dated April 23, 2002 among Issuer,
Qualified LLC, Private LLC, PG-IV LLC, 4-EQ LLC, 4-SBS LLC, and the
other security holders of Issuer signatory thereto.*
* Filed herewith.
(1) Incorporated by reference to the Issuer's Report on Form 8-K filed
April 23, 2002.