Case 13-10061-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. 13-10061 (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 75074.
Case 13-10061-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
Case 13-10061-PJW Doc 246 Filed 03/02/13 Page 3 of 10
Case 13-10061-PJW Doc 246 Filed 03/02/13 Page 4 of 10 Exhibit A
Case 13-10061-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 19899 Brown Stone Nimeroff, LLC Jami Nimeroff 901 North Market, Suite 1300 Wilmington DE 19801 Buchalter Nemer APC Shawn M Christianson 55 Second St 17th Fl San Francisco CA 94105-3493 Burton Lippman Law Group, P.C. Dean P. Sperling 201 East Sandpointe, Suite 220 Santa Ana CA 92707-5742 Cousins Chipman & Brown, LLP William E. Chipman, Jr. & Ann M. Kashishian 1007 North Orange Street, Suite 1110 Wilmington DE 19801 Dilworth Paxson LLP Jesse N. Silverman 1500 Market Street, Suite 3500E Philadelphia PA 19102 Dilworth Paxson LLP Robert V. Cornish 655 15th Street NW Washington DC 20005 DLA Piper Chris L Dickerson 203 North LaSalle Street Chicago IL 60601 DLA Piper LLP Gabriella L. Zborovsky 1251 Avenue of the Americas New York NY 10020 DLA Piper LLP Gregg M. Galardi 919 North Market Street, 15th Floor Wilmington DE 19801 DLA Piper LLP Stuart Brown 919 N. Market Street, Suite 1500 Wilmington DE 19801 Hahn & Hessen, LLP Mark T. Power & Janine M. Figueirdo 488 Madison Avenue New York NY 10022 Insolvency Section Internal Revenue Service 2970 Market Street PO Box 7346 Philadelphia PA 19101 Kaplan Fox & Kilsheimer LLP Frederic S. Fox Jeffrey P. Campisi 850 Third Avenue New York NY 10022 Kaplan Fox & Kilsheimer LLP Laurence D. King 350 Sansome Street, Suite 400 San Francisco CA 94104 Kessler & Collins Howard C. Rubin 2100 Ross Avenue, Suite 750 Dallas TX 75201 Linebarger Goggan Blair & Sampson, LLP Elizabeth Weller 2323 Bryan Street, Suite 1600 Dallas TX 75201 Lowenstein Sandler PC Michael S. Etkin & Ira M. Levee & Vincent Dagostino 65 Livingston Avenue Roseland NJ 07068 Office of the United States Trustee Mark S. Kenney 844 N. King Street, Suite 2207 Lock Box 35 Wilmington DE 19801 Richards, Layton & Finger, P.A. Michael J. Merchant & Christopher M. Samis One Rodney Square 920 North King Street Wilmington DE 19801 Riddell Williams P.S. Joseph E. Shickich 1001 4th Avenue, Suite 4500 Seattle WA 98154 Satterlee Stephens Burke & Burke LLP Christopher R. Belmonte & Pamela A. Bosswick 230 Park Avenue New York NY 10169 Second Lien Noteholders Committee Gary Tisdale c/o Fried, Frank, Harris, Shriver & Jacobson LLP One New York Plaza New York NY 10004 Secretary of State Franchise Tax Division of Corporations 401 Federal Street PO Box 898 Dover DE 19903 Secretary of Treasury Attn: Officer, Managing Agent or General Agent 820 Silverlakd Blvd., Suite 100 Dover DE 19904 Securities & Exchange Commission New York Regional Office Attn: George S. Canellos, Regional Director 3 World Financial Center, Suite 400 New York NY 10281-1022 Securities & Exchange Commission SEC Headquarters Attn: Office of the General Counsel (Bankruptcy) 100 F Street, NE Washington DC 20549 Sidley Austin LLP Bojan Guzina One South Dearborn Chicago IL 60603 Squire Sanders (US) LLP Stephen D. Lerner 30 Rockefeller Plaza New York NY 10112 tw telecom inc. Ms. Linda Boyle 10475 Park Meadows Drive, #400 Littleton CO 80124 In re Penson Worldwide, Inc. Case No. 13-10061 (PJW) Jointly Administered Page 1 of 1 3/1/2013
Case 13-10061-PJW Doc 246 Filed 03/02/13 Page 6 of 10 Exhibit B
Case 13-10061-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 95814 Attorney Generals Office Attn Bankruptcy Department 900 East Main Street Richmond VA 23219 Attorney Generals Office Attn Bankruptcy Department P.O. Box 12548 Capitol Station Austin TX 78711-2548 CALIFORNIA STATE CONTROLLER PO BOX 942850 UNCLAIMED PROPERTY DIVISION SACRAMENTO CA 94250 Cisco Systems Capital Corporation 1111 Old Eagle School Road Wayne PA 19087 DALLAS COUNTY TAX OFFICE JOHN R. AMES, CTA PO BOX 139066 DALLAS TX 75313-9066 DC OFFICE OF FIN & TREASURY 1101 4TH ST NW SUITE W800B WASHINGTON DC 20024 Department of the Treasury Internal Revenue Service Center Ogden UT 84201-0012 Department of the Treasury - Internal Revenue Service Internal Revenue Service PO Box 7346 Philadelphia PA 19101-7346 Department of Treasury Internal Revenue Service Philadelphia PA 19255-0035 Environmental Protection Agency 1200 Pennsylvania Ave NW Ariel Rios Building Washington DC 20460 Internal Revenue Service 31 Hopkins Plaza Rm 1150 Baltimore MD 21201 IRS - 36-3326207 Internal Revenue Service Philadelphia PA 19255-0633 IRS - 56-1673990 Internal Revenue Service Philadelphia PA 19255-0633 IRS ATTN OPINION LETTER PO BOX 27603 MCPHERSON STATION WASHINGTON DC 20038 IRS GROUP 7521 550 MAIN ST ROOM 5106 PO BOX 2508 CINCINNATI OH 45202 KENNETH L. MAUN TAX ASSESSOR COLLECTOR COLLIN COUNTY P.O. BOX 8006 MCKINNEY TX 75070-8006 Kenneth L. Maun Tax Assessor Collin County PO Box 8006 Mckinney TX 75070-8006 ORANGE COUNTY TAX COLLECTOR P.O. BOX 1438 SANTA ANA CA 92702-1438 Penson Financial Services Inc 800 Klein Rd Suite 200 Plano TX 75074 Regions Equipment Finance Ltd 1900 5th Avenue North Suite 2400 Birmingham AL 35203 SAN FRANCISCO TAX COLLECTOR BUSINESS TAX SECTION PO BOX 7425 SAN FRANSISCO CA 94120-7425 STATE COMPTROLLER PO BOX 12247 AUSTIN TX 78711-2247 TEXAS COMPTROLLER OF PUBLIC ACCOUNTS UNCLAIMED PROP DIV 111 EAST 17TH STREET AUSTIN TX 78774 TEXAS COMPTROLLER OF PUBLIC ACCOUNTS UNCLAIMED PROPERTY HO PO BOX 12019 AUSTIN TX 78711-2019 Texas Franchise Tax Comptroller of Public Accounts PO Box 149348 Austin TX 78714-9348 Travis County Tax Office Nelda W Spears Tax Collector PO Box 149328 Austin TX 78714-9328 TRAVIS COUNTY TAX OFFICE NELDA W SPEARS, TAX COLLECTOR PO BOX 149328 AUSTIN TX 78714-9328 In re Penson Worldwide, Inc. Case No. 13-10061 (PJW) Jointly Administered Page 1 of 2 3/1/2013
Case 13-10061-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 23218-2478 UNITED STATES TREASURY INTERNAL REVENUE SERVICE PO BOX 71052 PHILADELPHIA PA 19176-6052 US Bank NA as Indenture Trustee One New York Plaza New York NY 10004 VIRGINIA DEPT OF TAXATION PO BOX 1500 RICHMOND VA 23218-1500 VIRGINIA DEPT OF TAXATION PO BOX 27264 RICHMOND VA 23236-7264 In re Penson Worldwide, Inc. Case No. 13-10061 (PJW) Jointly Administered Page 2 of 2 3/1/2013
Case 13-10061-PJW Doc 246 Filed 03/02/13 Page 9 of 10 Exhibit C
Case 13-10061-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. 13-10061 (PJW) Jointly Administered Page 1 of 1 3/1/2013