UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE

Transcription

1 Case PJW Doc 246 Filed 03/02/13 Page 1 of 10 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE x : In re: : Chapter 11 : PENSON WORLDWIDE INC., et al., 1 : Case No (PJW) : Debtors. : Jointly Administered : x AFFIDAVIT OF SERVICE I, Michael J. Hill, depose and say that I am employed by Kurtzman Carson Consultants LLC ( KCC ), the claims and noticing agent for the Debtors in the above-captioned cases. On February 21, 2013, at my direction and under my supervision, employees of KCC caused to be served the following documents via Overnight mail on the service lists attached hereto as Exhibit A and Exhibit B: Debtors' Motion for Entry of (I) an Order (A) Approving and Authorizing Bidding Procedures in Connection with the Sale of Substantially all the Assets Related to the Direct Access Trading Technology and Online Brokerage Solutions of Penson Worldwide, Inc. and Nexa Technologies, Inc., (B) Approving the Stalking Horse Bid Protections, (C) Scheduling the Related Auction and Hearing to Consider Approval of the Sale, (D) Approving Procedures Related to the Assumption and Assignment of Certain of the Debtors; Executory Contracts and Unexpired Leases, (E) Approving the Form and Manner of Notice thereof and (F) Granting Related Relief; and (II) an Order Approving and Authorizing (A) the Sale of Substantially all of the Assets Related to the Direct Access Trading Technology and Online Brokerage Solutions of Penson Worldwide, Inc. and Nexa Technologies, Inc. Free and Clear of All Liens, CLaims, Encumbrances and Other Interest, (B) Approving the Asset Purchase Agreement, (C) Authorizing and Approving the Assumption and Assignment of Executory COntracts and Unexpired Leases as Part of the Sale, and (D) Granting Related Relief [Docket No. 207] [THIS SPACE INTENTIONALLY LEFT BLANK] 1 The Debtors in these cases, along with the last four digits of each Debtor s federal tax identification number, are: Penson Worldwide, Inc. (6356); SAI Holdings, Inc. (3657); Penson Financial Services, Inc. (3990); Penson Financial Futures, Inc. (6207); Penson Holdings, Inc. (4821); Penson Execution Services, Inc. (9338); Nexa Technologies, Inc. (7424); GHP1, Inc. (1377); GHP2, LLC (1374); and Penson Futures (6207). The Debtors mailing address is 800 Klien Road, Suite 200, Plano, TX

2 Case PJW Doc 246 Filed 03/02/13 Page 2 of 10 Debtors' Motion for an Order Scheduling a Hearing and Shortening the Time for Notice of the Hearing to COnsider Order (A) Approving and Authorizing Bidding Procedures in Connection with the Sale of Substantially all the Assets Related tot he Direct Access Trading Technology and Online Brokerage Solutions of Penson Worldwide, Inc. and Nexa Technologies, Inc., (B) Approving the Stalking Horse Bid Protections, (C) Scheduling the Related Auction and Hearing to Consider Approval of the Sale, (D) Approving Procedures Related to the Assumption and Assignment of Certain of the Debtors' Executory Contracts and Unexpired Leases, (E) Approving the Form and Manner of Notice thereof, and (F) Granting Related Relief [Docket No. 208] Furthermore, on February 22, 2013, at my direction and under my supervision, employees of KCC caused to be served the following documents via Overnight mail on the service list attached hereto as Exhibit C: Debtors' Motion for Entry of (I) an Order (A) Approving and Authorizing Bidding Procedures in Connection with the Sale of Substantially all the Assets Related to the Direct Access Trading Technology and Online Brokerage Solutions of Penson Worldwide, Inc. and Nexa Technologies, Inc., (B) Approving the Stalking Horse Bid Protections, (C) Scheduling the Related Auction and Hearing to Consider Approval of the Sale, (D) Approving Procedures Related to the Assumption and Assignment of Certain of the Debtors; Executory Contracts and Unexpired Leases, (E) Approving the Form and Manner of Notice thereof and (F) Granting Related Relief; and (II) an Order Approving and Authorizing (A) the Sale of Substantially all of the Assets Related to the Direct Access Trading Technology and Online Brokerage Solutions of Penson Worldwide, Inc. and Nexa Technologies, Inc. Free and Clear of All Liens, CLaims, Encumbrances and Other Interest, (B) Approving the Asset Purchase Agreement, (C) Authorizing and Approving the Assumption and Assignment of Executory COntracts and Unexpired Leases as Part of the Sale, and (D) Granting Related Relief [Docket No. 207] [THIS SPACE INTENTIONALLY LEFT BLANK] 2

3 Case PJW Doc 246 Filed 03/02/13 Page 3 of 10

4 Case PJW Doc 246 Filed 03/02/13 Page 4 of 10 Exhibit A

5 Case PJW Doc 246 Filed 03/02/13 Page 5 of 10 Exhibit A Core / 2002 List Company Contact Address 1 Address 2 City State Zip Ashby & Geddes, P.A. Ricardo Palacio 500 Delaware Avenue, 8th Floor Wilmington DE Brown Stone Nimeroff, LLC Jami Nimeroff 901 North Market, Suite 1300 Wilmington DE Buchalter Nemer APC Shawn M Christianson 55 Second St 17th Fl San Francisco CA Burton Lippman Law Group, P.C. Dean P. Sperling 201 East Sandpointe, Suite 220 Santa Ana CA Cousins Chipman & Brown, LLP William E. Chipman, Jr. & Ann M. Kashishian 1007 North Orange Street, Suite 1110 Wilmington DE Dilworth Paxson LLP Jesse N. Silverman 1500 Market Street, Suite 3500E Philadelphia PA Dilworth Paxson LLP Robert V. Cornish th Street NW Washington DC DLA Piper Chris L Dickerson 203 North LaSalle Street Chicago IL DLA Piper LLP Gabriella L. Zborovsky 1251 Avenue of the Americas New York NY DLA Piper LLP Gregg M. Galardi 919 North Market Street, 15th Floor Wilmington DE DLA Piper LLP Stuart Brown 919 N. Market Street, Suite 1500 Wilmington DE Hahn & Hessen, LLP Mark T. Power & Janine M. Figueirdo 488 Madison Avenue New York NY Insolvency Section Internal Revenue Service 2970 Market Street PO Box 7346 Philadelphia PA Kaplan Fox & Kilsheimer LLP Frederic S. Fox Jeffrey P. Campisi 850 Third Avenue New York NY Kaplan Fox & Kilsheimer LLP Laurence D. King 350 Sansome Street, Suite 400 San Francisco CA Kessler & Collins Howard C. Rubin 2100 Ross Avenue, Suite 750 Dallas TX Linebarger Goggan Blair & Sampson, LLP Elizabeth Weller 2323 Bryan Street, Suite 1600 Dallas TX Lowenstein Sandler PC Michael S. Etkin & Ira M. Levee & Vincent Dagostino 65 Livingston Avenue Roseland NJ Office of the United States Trustee Mark S. Kenney 844 N. King Street, Suite 2207 Lock Box 35 Wilmington DE Richards, Layton & Finger, P.A. Michael J. Merchant & Christopher M. Samis One Rodney Square 920 North King Street Wilmington DE Riddell Williams P.S. Joseph E. Shickich th Avenue, Suite 4500 Seattle WA Satterlee Stephens Burke & Burke LLP Christopher R. Belmonte & Pamela A. Bosswick 230 Park Avenue New York NY Second Lien Noteholders Committee Gary Tisdale c/o Fried, Frank, Harris, Shriver & Jacobson LLP One New York Plaza New York NY Secretary of State Franchise Tax Division of Corporations 401 Federal Street PO Box 898 Dover DE Secretary of Treasury Attn: Officer, Managing Agent or General Agent 820 Silverlakd Blvd., Suite 100 Dover DE Securities & Exchange Commission New York Regional Office Attn: George S. Canellos, Regional Director 3 World Financial Center, Suite 400 New York NY Securities & Exchange Commission SEC Headquarters Attn: Office of the General Counsel (Bankruptcy) 100 F Street, NE Washington DC Sidley Austin LLP Bojan Guzina One South Dearborn Chicago IL Squire Sanders (US) LLP Stephen D. Lerner 30 Rockefeller Plaza New York NY tw telecom inc. Ms. Linda Boyle Park Meadows Drive, #400 Littleton CO In re Penson Worldwide, Inc. Case No (PJW) Jointly Administered Page 1 of 1 3/1/2013

6 Case PJW Doc 246 Filed 03/02/13 Page 6 of 10 Exhibit B

7 Case PJW Doc 246 Filed 03/02/13 Page 7 of 10 Exhibit B Affected Parties List Company Contact Address 1 Address 2 City State Zip Attorney Generals Office Attn Bankruptcy Department 1300 I St Ste 1740 Sacramento CA Attorney Generals Office Attn Bankruptcy Department 900 East Main Street Richmond VA Attorney Generals Office Attn Bankruptcy Department P.O. Box Capitol Station Austin TX CALIFORNIA STATE CONTROLLER PO BOX UNCLAIMED PROPERTY DIVISION SACRAMENTO CA Cisco Systems Capital Corporation 1111 Old Eagle School Road Wayne PA DALLAS COUNTY TAX OFFICE JOHN R. AMES, CTA PO BOX DALLAS TX DC OFFICE OF FIN & TREASURY TH ST NW SUITE W800B WASHINGTON DC Department of the Treasury Internal Revenue Service Center Ogden UT Department of the Treasury - Internal Revenue Service Internal Revenue Service PO Box 7346 Philadelphia PA Department of Treasury Internal Revenue Service Philadelphia PA Environmental Protection Agency 1200 Pennsylvania Ave NW Ariel Rios Building Washington DC Internal Revenue Service 31 Hopkins Plaza Rm 1150 Baltimore MD IRS Internal Revenue Service Philadelphia PA IRS Internal Revenue Service Philadelphia PA IRS ATTN OPINION LETTER PO BOX MCPHERSON STATION WASHINGTON DC IRS GROUP MAIN ST ROOM 5106 PO BOX 2508 CINCINNATI OH KENNETH L. MAUN TAX ASSESSOR COLLECTOR COLLIN COUNTY P.O. BOX 8006 MCKINNEY TX Kenneth L. Maun Tax Assessor Collin County PO Box 8006 Mckinney TX ORANGE COUNTY TAX COLLECTOR P.O. BOX 1438 SANTA ANA CA Penson Financial Services Inc 800 Klein Rd Suite 200 Plano TX Regions Equipment Finance Ltd th Avenue North Suite 2400 Birmingham AL SAN FRANCISCO TAX COLLECTOR BUSINESS TAX SECTION PO BOX 7425 SAN FRANSISCO CA STATE COMPTROLLER PO BOX AUSTIN TX TEXAS COMPTROLLER OF PUBLIC ACCOUNTS UNCLAIMED PROP DIV 111 EAST 17TH STREET AUSTIN TX TEXAS COMPTROLLER OF PUBLIC ACCOUNTS UNCLAIMED PROPERTY HO PO BOX AUSTIN TX Texas Franchise Tax Comptroller of Public Accounts PO Box Austin TX Travis County Tax Office Nelda W Spears Tax Collector PO Box Austin TX TRAVIS COUNTY TAX OFFICE NELDA W SPEARS, TAX COLLECTOR PO BOX AUSTIN TX In re Penson Worldwide, Inc. Case No (PJW) Jointly Administered Page 1 of 2 3/1/2013

8 Case PJW Doc 246 Filed 03/02/13 Page 8 of 10 Exhibit B Affected Parties List TREASURER OF VIRGINIA DIVISION OF UNCLAIMED PROPERTY PO BOX 2478 MONROE BLDG 4TH FL RICHMOND VA UNITED STATES TREASURY INTERNAL REVENUE SERVICE PO BOX PHILADELPHIA PA US Bank NA as Indenture Trustee One New York Plaza New York NY VIRGINIA DEPT OF TAXATION PO BOX 1500 RICHMOND VA VIRGINIA DEPT OF TAXATION PO BOX RICHMOND VA In re Penson Worldwide, Inc. Case No (PJW) Jointly Administered Page 2 of 2 3/1/2013

9 Case PJW Doc 246 Filed 03/02/13 Page 9 of 10 Exhibit C

10 Case PJW Doc 246 Filed 03/02/13 Page 10 of 10 Exhibit C Affected Parties List Company Contact Address 1 Address 2 City State Zip In re Penson Worldwide, Inc. Case No (PJW) Jointly Administered Page 1 of 1 3/1/2013