Delaware | 06-1169696 | |
(State or other jurisdiction of
incorporation or organization) |
(I.R.S. Employer Identification Number) |
Proposed Maximum | Proposed Maximum | Amount of | ||||||||||
Title of Each Class of | Amount to be | Offering | Aggregate | Registration | ||||||||
Securities to be Registered | Registered | Price per Security | Offering Price(1) | Fee | ||||||||
113/4% Senior
Subordinated Notes due 2013(2)
|
$205,000,000 | 100% | $205,000,000 | $21,935(3) | ||||||||
Guarantees of the
113/4% Senior
Subordinated Notes due 2013(4)
|
N/A | N/A | N/A | N/A | ||||||||
(1) | Estimated solely for the purposes of calculating the registration fee in accordance with Rule 457(f)(2) under the Securities Act of 1933, as amended. |
(2) | The 113/4% Senior Subordinated Notes due 2013 will be the obligations of SS&C Technologies, Inc. |
(3) | Previously paid. |
(4) | Each of Cogent Management Inc., Financial Models Company Ltd., Financial Models Holdings Inc., SS&C Fund Administration Services LLC, OMR Systems Corporation and Open Information Systems, Inc. will guarantee fully and unconditionally the obligations of SS&C Technologies, Inc. under the 113/4% Senior Subordinated Notes due 2013. No separate consideration will be received for the guarantees, and no separate fee is payable, pursuant to Rule 457(n) under the Securities Act of 1933, as amended. The guarantees are not traded separately. |
State or Other | Primary Standard | |||||||||
Jurisdiction of | Industrial | I.R.S. Employer | ||||||||
Incorporation or | Classification | Identification | ||||||||
Exact Name of Registrant Guarantor as specified in its Charter | Organization | Code Number | Number | |||||||
Cogent Management Inc.
|
New York | 7372 | 22-3112774 | |||||||
Financial Models Company Ltd.
|
New York | 7372 | 13-3524411 | |||||||
Financial Models Holdings Inc.
|
Delaware | 7372 | 13-3519741 | |||||||
SS&C Fund Administration Services LLC
|
New York | 7372 | 52-2438361 | |||||||
OMR Systems Corporation
|
New Jersey | 7372 | 22-2597983 | |||||||
Open Information Systems, Inc.
|
Connecticut | 7372 | 06-1532764 |
Item 20. | Indemnification of Directors and Officers |
II-1
II-2
II-3
II-4
Item 21. | Exhibits and Financial Statement Schedules |
(a) | Exhibits |
Exhibit | ||||
Number | Description of Exhibit | |||
2 | .1 | Acquisition Agreement, dated February 25, 2005, by and between SS&C Technologies, Inc. and Financial Models Company Inc. is incorporated herein by reference to Exhibit 2.1 to SS&C Technologies, Inc.s Current Report on Form 8-K, filed on March 2, 2005 (File No. 000-28430) | ||
2 | .2 | Purchase Agreement, dated February 28, 2005, by and among SS&C Technologies, Inc., EisnerFast LLC and EHS, LLC is incorporated herein by reference to Exhibit 2.1 to SS&C Technologies, Inc.s Current Report on Form 8-K, filed on March 3, 2005 (File No. 000-28430) | ||
2 | .3 | Agreement and Plan of Merger, dated as of July 28, 2005, by and among Sunshine Acquisition Corporation, Sunshine Merger Corporation and SS&C Technologies, Inc. is incorporated herein by reference to Exhibit 2.1 to SS&C Technologies, Inc.s Current Report on Form 8-K, filed on July 28, 2005 (File No. 000-28430) | ||
2 | .4 | Amendment No. 1 to Agreement and Plan of Merger, dated as of August 25, 2005, by among Sunshine Acquisition Corporation, Sunshine Merger Corporation and SS&C Technologies, Inc. is incorporated herein by reference to Exhibit 2.1 to SS&C Technologies, Inc.s Current Report on Form 8-K, filed on August 30, 2005 (File No. 000-28430) | ||
3 | .1* | Restated Certificate of Incorporation of SS&C Technologies, Inc. | ||
3 | .2* | Bylaws of SS&C Technologies, Inc. | ||
3 | .3* | Certificate of Incorporation of Financial Models Company Ltd. | ||
3 | .4* | By-Laws of Financial Models Company Ltd. |
II-5
Exhibit | ||||
Number | Description of Exhibit | |||
3 | .5* | Certificate of Incorporation of Financial Models Holdings Inc. | ||
3 | .6* | Bylaws of Financial Models Holdings Inc. | ||
3 | .7* | Certificate of Restated Articles of Organization of SS&C Fund Administration Services LLC | ||
3 | .8* | Amended and Restated Operating Agreement of SS&C Fund Administration Services LLC | ||
3 | .9* | Certificate of Incorporation, as amended, of OMR Systems Corporation | ||
3 | .10* | Bylaws of OMR Systems Corporation | ||
3 | .11* | Certificate of Incorporation, as amended, of Open Information Systems, Inc. | ||
3 | .12* | Bylaws of Open Information Systems, Inc. | ||
3 | .13* | Certificate of Incorporation, as amended, of Cogent Management Inc. | ||
3 | .14* | By-Laws of Cogent Management Inc. | ||
4 | .1* | Indenture, dated as of November 23, 2005, among Sunshine Acquisition II, Inc., SS&C Technologies, Inc., the Guarantors named on the signature pages thereto, and Wells Fargo Bank, National Association, as Trustee, relating to the 113/4% Senior Subordinated Notes due 2013, including the form of 113/4% Senior Subordinated Note due 2013 | ||
4 | .2* | First Supplemental Indenture, dated as of April 27, 2006, among Cogent Management Inc., SS&C Technologies, Inc. and Wells Fargo Bank, National Association, as Trustee, relating to the 113/4% Senior Subordinated Notes due 2013 | ||
4 | .3* | Guarantee of 113/4% Senior Subordinated Notes due 2013 by Financial Models Company Ltd., Financial Models Holdings Inc., SS&C Fund Administration Services LLC, OMR Systems Corporation and Open Information Systems, Inc. | ||
4 | .4* | Guarantee of 113/4% Senior Subordinated Notes due 2013 by Cogent Management Inc. | ||
4 | .5* | Registration Rights Agreement, dated as of November 23, 2005, among Sunshine Acquisition II, Inc., SS&C Technologies, Inc. and the Guarantors named therein, as Issuers, and Wachovia Capital Markets, LLC, J.P. Morgan Securities Inc. and Banc of America Securities LLC, as Initial Purchasers | ||
4 | .6* | Purchase Agreement, dated as of November 17, 2005, between Sunshine Acquisition II, Inc. and the Initial Purchasers named in Schedule I thereto | ||
4 | .7* | Joinder Agreement, dated as of November 23, 2005, executed by SS&C Technologies, Inc., Financial Models Company Ltd., Financial Models Holdings Inc., SS&C Fund Administration Services LLC, OMR Systems Corporation and Open Information Systems, Inc. | ||
4 | .8* | Joinder Agreement, dated as of April 27, 2006, executed by Cogent Management Inc. | ||
5 | .1** | Opinion of Wilmer Cutler Pickering Hale and Dorr LLP | ||
5 | .2*** | Opinion of Day, Berry & Howard LLP | ||
5 | .3** | Opinion of Fox Rothschild LLP | ||
10 | .1* | Credit Agreement, dated as of November 23, 2005, among Sunshine Acquisition II, Inc., SS&C Technologies, Inc., SS&C Technologies Canada Corp., the several lenders from time to time parties thereto, JPMorgan Chase Bank, N.A., as Administrative Agent, JPMorgan Chase Bank, N.A., Toronto Branch, as Canadian Administrative Agent, Wachovia Bank, National Association, as Syndication Agent, and Bank of America, N.A., as Documentation Agent | ||
10 | .2* | Guarantee and Collateral Agreement, dated as of November 23, 2005, made by Sunshine Acquisition Corporation, Sunshine Acquisition II, Inc., SS&C Technologies, Inc. and certain of its subsidiaries in favor of JPMorgan Chase Bank, N.A., as Administrative Agent | ||
10 | .3* | CDN Guarantee and Collateral Agreement, dated as of November 23, 2005, made by SS&C Technologies Canada Corp. and 3105198 Nova Scotia Company in favor of JPMorgan Chase Bank, N.A., Toronto Branch, as Canadian Administrative Agent | ||
10 | .4* | Assumption Agreement, dated as of April 27, 2006, made by Cogent Management Inc., in favor of JPMorgan Chase Bank, N.A., as Administrative Agent |
II-6
Exhibit | ||||
Number | Description of Exhibit | |||
10 | .5* | Stockholders Agreement of Sunshine Acquisition Corporation, dated as of November 23, 2005, by and among Sunshine Acquisition Corporation, Carlyle Partners IV, L.P., CP IV Coinvestment, L.P., William C. Stone and Other Executive Stockholders (as defined therein) | ||
10 | .6* | Registration Rights Agreement, dated as of November 23, 2005, by and among Sunshine Acquisition Corporation, Carlyle Partners IV, L.P., CP IV Coinvestment, L.P., William C. Stone and Other Executive Investors (as defined therein) | ||
10 | .7* | Form of Service Provider Stockholders Agreement of Sunshine Acquisition Corporation by and among Sunshine Acquisition Corporation, Carlyle Partners IV, L.P., CP IV Coinvestment, L.P. and the Service Provider Stockholders (as defined therein) | ||
10 | .8* | Management Agreement, dated as of November 23, 2005, between Sunshine Acquisition Corporation, William C. Stone and TC Group, L.L.C. | ||
10 | .9* | SS&C Technologies, Inc. Management Rights Agreement, dated as of November 23, 2005, by and among Carlyle Partners IV, L.P., CP IV Coinvestment, L.P., Sunshine Acquisition Corporation and SS&C Technologies, Inc. | ||
10 | .10* | 1998 Stock Incentive Plan, including form of stock option agreement | ||
10 | .11* | 1999 Non-Officer Employee Stock Incentive Plan, including form of stock option agreement | ||
10 | .12* | Form of Option Assumption Notice for 1998 Stock Incentive Plan and 1999 Non-Officer Employee Stock Incentive Plan | ||
10 | .13* | Employment Agreement, dated as of November 23, 2005, by and between William C. Stone and Sunshine Acquisition Corporation | ||
10 | .14 | Contract of Employment between Kevin Milne and SS&C Technologies, Inc., effective as of June 9, 2004, is incorporated herein by reference to Exhibit 10.4 to SS&C Technologies, Inc.s Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2005 (File No. 000-28430) | ||
10 | .15* | Description of Executive Officer and Director Compensation Arrangements | ||
10 | .16 | Lease Agreement, dated September 23, 1997, by and between SS&C Technologies, Inc. and Monarch Life Insurance Company, as amended by First Amendment to Lease dated as of November 18, 1997, is incorporated herein by reference to Exhibit 10.15 to SS&C Technologies, Inc.s Annual Report on Form 10-K for the year ended December 31, 1997 (File No. 000-28430) | ||
10 | .17 | Second Amendment to Lease, dated as of April 1999, between SS&C Technologies, Inc. and New Boston Lamberton Limited Partnership is incorporated herein by reference to Exhibit 10.12 to SS&C Technologies, Inc.s Annual Report on Form 10-K for the year ended December 31, 2004 (File No. 000-28430) (the 2004 10-K) | ||
10 | .18 | Third Amendment to Lease, effective as of July 1, 1999, between SS&C Technologies, Inc. and New Boston Lamberton Limited Partnership is incorporated herein by reference to Exhibit 10.13 to the 2004 10-K | ||
10 | .19 | Fourth Amendment to Lease, effective as of June 7, 2005, between SS&C Technologies, Inc. and New Boston Lamberton Limited Partnership, is incorporated herein by reference to Exhibit 10.5 to SS&C Technologies, Inc.s Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2005 (File No. 000-28430) (the Q2 2005 10-Q) | ||
10 | .20 | Lease Agreement, dated January 6, 1998, by and between Financial Models Company Inc. and Polaris Realty (Canada) Limited, as amended by First Amendment of Lease, dated as of June 24, 1998, and as amended by Second Lease Amending Agreement, dated as of November 13, 1998, is incorporated herein by reference to Exhibit 10.6 to the Q2 20005 10-Q | ||
12* | Statement of Computation of Ratio of Earnings to Fixed Charges | |||
21* | Subsidiaries of SS&C Technologies, Inc. | |||
23 | .1** | Consent of Wilmer Cutler Pickering Hale and Dorr LLP (included in Exhibit 5.1) | ||
23 | .2*** | Consent of Day, Berry & Howard LLP (included in Exhibit 5.2) | ||
23 | .3** | Consent of Fox Rothschild LLP (included in Exhibit 5.3) |
II-7
Exhibit | ||||
Number | Description of Exhibit | |||
23 | .4** | Consent of PricewaterhouseCoopers LLP | ||
23 | .5** | Consent of PricewaterhouseCoopers LLP | ||
23 | .6** | Consent of KPMG LLP | ||
24* | Powers of Attorney (included in the signature pages to the registration statement) | |||
25* | Statement of Eligibility of Trustee and Qualification under the Trust Indenture Act of 1939 of Wells Fargo Bank, National Association, as Trustee, on Form T-1, relating to the 113/4% Senior Subordinated Notes due 2013 | |||
99 | .1* | Form of Letter of Transmittal | ||
99 | .2* | Form of Notice of Guaranteed Delivery | ||
99 | .3* | Form of Letter to DTC Participants | ||
99 | .4* | Form of Letter to Beneficial Holders | ||
99 | .5* | Form of Tax Guidelines |
* | Previously filed as an exhibit to the Registrants Registration Statement on Form S-4 (File No. 333-135139) filed with the Securities and Exchange Commission on June 19, 2006. |
** | Previously filed as an exhibit to Amendment No. 1 to the Registrants Registration Statement on Form S-4 (File No. 333-135139) filed with the Securities and Exchange Commission on July 26, 2006. |
*** | Filed herewith. |
| The Registrant hereby agrees to furnish supplementally a copy of any omitted schedules to this agreement to the Securities and Exchange Commission upon its request. |
(b) | Financial Statement Schedules |
Item 22. | Undertakings |
(a) To file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement: |
(i) To include any prospectus required by Section 10(a)(3) of the Securities Act of 1933; | |
(ii) To reflect in the prospectus any facts or events arising after the effective date of the registration statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the registration statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than 20 percent change in the maximum aggregate offering price set forth in the Calculation of Registration Fee table in the effective registration statement; and | |
(iii) To include any material information with respect to the plan of distribution not previously disclosed in the registration statement or any material change to such information in the registration statement. |
(b) That, for the purpose of determining any liability under the Securities Act of 1933, each such post-effective amendment shall be deemed to be a new registration statement relating to the |
II-8
securities offered therein, and the offering of such securities at the time shall be deemed to be the initial bona fide offering thereof. | |
(c) To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering. | |
(d) That, for the purpose of determining liability of the registrant under the Securities Act to any purchaser in the initial distribution of the securities: |
(i) Any preliminary prospectus or prospectus of the undersigned registrant relating to the offering required to be filed pursuant to Rule 424; | |
(ii) Any free writing prospectus relating to the offering prepared by or on behalf of the undersigned registrant or used or referred to by the undersigned registrant; | |
(iii) The portion of any other free writing prospectus relating to the offering containing material information about the undersigned registrant or its securities provided by or on behalf of the undersigned registrant; and | |
(iv) Any other communication that is an offer in the offering made by the undersigned registrant to the purchaser. |
II-9
SS&C TECHNOLOGIES, INC. |
By: | /s/ Patrick J. Pedonti |
|
|
Patrick J. Pedonti | |
Senior Vice President and Chief Financial Officer |
Signatures | Title | Date | ||||
* |
Chairman of the Board and Chief Executive Officer (Principal Executive Officer) |
August 4, 2006 | ||||
/s/ Patrick J. Pedonti |
Senior Vice President and Chief Financial Officer (Principal Financial and Accounting Officer) |
August 4, 2006 | ||||
* |
Director | August 4, 2006 | ||||
* |
Director | August 4, 2006 | ||||
* |
Director | August 4, 2006 | ||||
* |
Director | August 4, 2006 | ||||
* |
Director | August 4, 2006 | ||||
*By: |
/s/ Patrick J. Pedonti Attorney-in-Fact |
II-10
COGENT MANAGEMENT INC. |
By: | /s/ Patrick J. Pedonti |
|
|
Patrick J. Pedonti | |
Director, Senior Vice President and Treasurer |
Signatures | Title | Date | ||||
* |
President and Chief Executive Officer (Principal Executive Officer) | August 4, 2006 | ||||
/s/ Patrick J. Pedonti |
Director, Senior Vice President and Treasurer (Principal Financial and Accounting Officer) | August 4, 2006 | ||||
* |
Chairman of the Board | August 4, 2006 | ||||
*By: |
/s/ Patrick J. Pedonti Attorney-in-Fact |
II-11
FINANCIAL MODELS COMPANY LTD. |
By: | /s/ Patrick J. Pedonti |
|
|
Patrick J. Pedonti | |
Director, Vice President and Treasurer |
Signatures | Title | Date | ||||
* |
President (Principal Executive Officer) |
August 4, 2006 | ||||
/s/ Patrick J. Pedonti |
Director, Senior Vice President and Treasurer (Principal Financial and Accounting Officer) | August 4, 2006 | ||||
* |
Chairman of the Board | August 4, 2006 | ||||
*By: |
/s/ Patrick J. Pedonti Attorney-in-Fact |
II-12
FINANCIAL MODELS HOLDINGS INC. |
By: | /s/ Patrick J. Pedonti |
|
|
Patrick J. Pedonti | |
Director, Senior Vice President and Treasurer |
Signatures | Title | Date | ||||
* |
President (Principal Executive Officer) |
August 4, 2006 | ||||
/s/ Patrick J. Pedonti |
Director, Senior Vice President and Treasurer (Principal Financial and Accounting Officer) | August 4, 2006 | ||||
* |
Chairman of the Board | August 4, 2006 | ||||
*By: |
/s/ Patrick J. Pedonti Attorney-in-Fact |
II-13
SS&C FUND ADMINISTRATION SERVICES LLC |
By: | /s/ Patrick J. Pedonti |
|
|
Patrick J. Pedonti | |
Senior Vice President and Treasurer |
Signatures | Title | Date | ||||
* |
President and Director of Sole Member (Principal Executive Officer) | August 4, 2006 | ||||
/s/ Patrick J. Pedonti |
Senior Vice President and Treasurer (Principal Financial and Accounting Officer) | August 4, 2006 | ||||
* |
Chairman and Director of Sole Member | August 4, 2006 | ||||
* |
Director of Sole Member | August 4, 2006 | ||||
* |
Director of Sole Member | August 4, 2006 | ||||
* |
Director of Sole Member | August 4, 2006 | ||||
* |
Director of Sole Member | August 4, 2006 | ||||
*By: |
/s/ Patrick J. Pedonti Attorney-in-Fact |
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OMR SYSTEMS CORPORATION |
By: | /s/ Patrick J. Pedonti |
|
|
Patrick J. Pedonti | |
Director, Senior Vice President and Treasurer |
Signatures | Title | Date | ||||
* |
President (Principal Executive Officer) |
August 4, 2006 | ||||
/s/ Patrick J. Pedonti |
Director, Senior Vice President and Treasurer (Principal Financial and Accounting Officer) | August 4, 2006 | ||||
* |
Chairman of the Board | August 4, 2006 | ||||
*By: |
/s/ Patrick J. Pedonti Attorney-in-Fact |
II-15
OPEN INFORMATION SYSTEMS, INC. |
By: | /s/ Patrick J. Pedonti |
|
|
Patrick J. Pedonti | |
Director, Senior Vice President and Treasurer |
Signatures | Title | Date | ||||
* |
President (Principal Executive Officer) |
August 4, 2006 | ||||
/s/ Patrick J. Pedonti |
Director, Senior Vice President and Treasurer (Principal Financial and Accounting Officer) | August 4, 2006 | ||||
* |
Chairman of the Board | August 4, 2006 | ||||
*By: |
/s/ Patrick J. Pedonti Attorney-in-Fact |
II-16
Exhibit | ||||
Number | Description of Exhibit | |||
2 | .1 | Acquisition Agreement, dated February 25, 2005, by and between SS&C Technologies, Inc. and Financial Models Company Inc. is incorporated herein by reference to Exhibit 2.1 to SS&C Technologies, Inc.s Current Report on Form 8-K, filed on March 2, 2005 (File No. 000-28430) | ||
2 | .2 | Purchase Agreement, dated February 28, 2005, by and among SS&C Technologies, Inc., EisnerFast LLC and EHS, LLC is incorporated herein by reference to Exhibit 2.1 to SS&C Technologies, Inc.s Current Report on Form 8-K, filed on March 3, 2005 (File No. 000-28430) | ||
2 | .3 | Agreement and Plan of Merger, dated as of July 28, 2005, by and among Sunshine Acquisition Corporation, Sunshine Merger Corporation and SS&C Technologies, Inc. is incorporated herein by reference to Exhibit 2.1 to SS&C Technologies, Inc.s Current Report on Form 8-K, filed on July 28, 2005 (File No. 000-28430) | ||
2 | .4 | Amendment No. 1 to Agreement and Plan of Merger, dated as of August 25, 2005, by among Sunshine Acquisition Corporation, Sunshine Merger Corporation and SS&C Technologies, Inc. is incorporated herein by reference to Exhibit 2.1 to SS&C Technologies, Inc.s Current Report on Form 8-K, filed on August 30, 2005 (File No. 000-28430) | ||
3 | .1* | Restated Certificate of Incorporation of SS&C Technologies, Inc. | ||
3 | .2* | Bylaws of SS&C Technologies, Inc. | ||
3 | .3* | Certificate of Incorporation of Financial Models Company Ltd. | ||
3 | .4* | By-Laws of Financial Models Company Ltd. | ||
3 | .5* | Certificate of Incorporation of Financial Models Holdings Inc. | ||
3 | .6* | Bylaws of Financial Models Holdings Inc. | ||
3 | .7* | Certificate of Restated Articles of Organization of SS&C Fund Administration Services LLC | ||
3 | .8* | Amended and Restated Operating Agreement of SS&C Fund Administration Services LLC | ||
3 | .9* | Certificate of Incorporation, as amended, of OMR Systems Corporation | ||
3 | .10* | Bylaws of OMR Systems Corporation | ||
3 | .11* | Certificate of Incorporation, as amended, of Open Information Systems, Inc. | ||
3 | .12* | Bylaws of Open Information Systems, Inc. | ||
3 | .13* | Certificate of Incorporation, as amended, of Cogent Management Inc. | ||
3 | .14* | By-Laws of Cogent Management Inc. | ||
4 | .1* | Indenture, dated as of November 23, 2005, among Sunshine Acquisition II, Inc., SS&C Technologies, Inc., the Guarantors named on the signature pages thereto, and Wells Fargo Bank, National Association, as Trustee, relating to the 113/4% Senior Subordinated Notes due 2013, including the form of 113/4% Senior Subordinated Note due 2013 | ||
4 | .2* | First Supplemental Indenture, dated as of April 27, 2006, among Cogent Management Inc., SS&C Technologies, Inc. and Wells Fargo Bank, National Association, as Trustee, relating to the 113/4% Senior Subordinated Notes due 2013 | ||
4 | .3* | Guarantee of 113/4% Senior Subordinated Notes due 2013 by Financial Models Company Ltd., Financial Models Holdings Inc., SS&C Fund Administration Services LLC, OMR Systems Corporation and Open Information Systems, Inc. | ||
4 | .4* | Guarantee of 113/4% Senior Subordinated Notes due 2013 by Cogent Management Inc. | ||
4 | .5* | Registration Rights Agreement, dated as of November 23, 2005, among Sunshine Acquisition II, Inc., SS&C Technologies, Inc. and the Guarantors named therein, as Issuers, and Wachovia Capital Markets, LLC, J.P. Morgan Securities Inc. and Banc of America Securities LLC, as Initial Purchasers | ||
4 | .6* | Purchase Agreement, dated as of November 17, 2005, between Sunshine Acquisition II, Inc. and the Initial Purchasers named in Schedule I thereto |
Exhibit | ||||
Number | Description of Exhibit | |||
4 | .7* | Joinder Agreement, dated as of November 23, 2005, executed by SS&C Technologies, Inc., Financial Models Company Ltd., Financial Models Holdings Inc., SS&C Fund Administration Services LLC, OMR Systems Corporation and Open Information Systems, Inc. | ||
4 | .8* | Joinder Agreement, dated as of April 27, 2006, executed by Cogent Management Inc. | ||
5 | .1** | Opinion of Wilmer Cutler Pickering Hale and Dorr LLP | ||
5 | .2*** | Opinion of Day, Berry & Howard LLP | ||
5 | .3** | Opinion of Fox Rothschild LLP | ||
10 | .1* | Credit Agreement, dated as of November 23, 2005, among Sunshine Acquisition II, Inc., SS&C Technologies, Inc., SS&C Technologies Canada Corp., the several lenders from time to time parties thereto, JPMorgan Chase Bank, N.A., as Administrative Agent, JPMorgan Chase Bank, N.A., Toronto Branch, as Canadian Administrative Agent, Wachovia Bank, National Association, as Syndication Agent, and Bank of America, N.A., as Documentation Agent | ||
10 | .2* | Guarantee and Collateral Agreement, dated as of November 23, 2005, made by Sunshine Acquisition Corporation, Sunshine Acquisition II, Inc., SS&C Technologies, Inc. and certain of its subsidiaries in favor of JPMorgan Chase Bank, N.A., as Administrative Agent | ||
10 | .3* | CDN Guarantee and Collateral Agreement, dated as of November 23, 2005, made by SS&C Technologies Canada Corp. and 3105198 Nova Scotia Company in favor of JPMorgan Chase Bank, N.A., Toronto Branch, as Canadian Administrative Agent | ||
10 | .4* | Assumption Agreement, dated as of April 27, 2006, made by Cogent Management Inc., in favor of JPMorgan Chase Bank, N.A., as Administrative Agent | ||
10 | .5* | Stockholders Agreement of Sunshine Acquisition Corporation, dated as of November 23, 2005, by and among Sunshine Acquisition Corporation, Carlyle Partners IV, L.P., CP IV Coinvestment, L.P., William C. Stone and Other Executive Stockholders (as defined therein) | ||
10 | .6* | Registration Rights Agreement, dated as of November 23, 2005, by and among Sunshine Acquisition Corporation, Carlyle Partners IV, L.P., CP IV Coinvestment, L.P., William C. Stone and Other Executive Investors (as defined therein) | ||
10 | .7* | Form of Service Provider Stockholders Agreement of Sunshine Acquisition Corporation by and among Sunshine Acquisition Corporation, Carlyle Partners IV, L.P., CP IV Coinvestment, L.P. and the Service Provider Stockholders (as defined therein) | ||
10 | .8* | Management Agreement, dated as of November 23, 2005, between Sunshine Acquisition Corporation, William C. Stone and TC Group, L.L.C. | ||
10 | .9* | SS&C Technologies, Inc. Management Rights Agreement, dated as of November 23, 2005, by and among Carlyle Partners IV, L.P., CP IV Coinvestment, L.P., Sunshine Acquisition Corporation and SS&C Technologies, Inc. | ||
10 | .10* | 1998 Stock Incentive Plan, including form of stock option agreement | ||
10 | .11* | 1999 Non-Officer Employee Stock Incentive Plan, including form of stock option agreement | ||
10 | .12* | Form of Option Assumption Notice for 1998 Stock Incentive Plan and 1999 Non-Officer Employee Stock Incentive Plan | ||
10 | .13* | Employment Agreement, dated as of November 23, 2005, by and between William C. Stone and Sunshine Acquisition Corporation | ||
10 | .14 | Contract of Employment between Kevin Milne and SS&C Technologies, Inc., effective as of June 9, 2004, is incorporated herein by reference to Exhibit 10.4 to SS&C Technologies, Inc.s Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2005 (File No. 000-28430) | ||
10 | .15* | Description of Executive Officer and Director Compensation Arrangements | ||
10 | .16 | Lease Agreement, dated September 23, 1997, by and between SS&C Technologies, Inc. and Monarch Life Insurance Company, as amended by First Amendment to Lease dated as of November 18, 1997, is incorporated herein by reference to Exhibit 10.15 to SS&C Technologies, Inc.s Annual Report on Form 10-K for the year ended December 31, 1997 (File No. 000-28430) |
Exhibit | ||||
Number | Description of Exhibit | |||
10 | .17 | Second Amendment to Lease, dated as of April 1999, between SS&C Technologies, Inc. and New Boston Lamberton Limited Partnership is incorporated herein by reference to Exhibit 10.12 to SS&C Technologies, Inc.s Annual Report on Form 10-K for the year ended December 31, 2004 (File No. 000-28430) (the 2004 10-K) | ||
10 | .18 | Third Amendment to Lease, effective as of July 1, 1999, between SS&C Technologies, Inc. and New Boston Lamberton Limited Partnership is incorporated herein by reference to Exhibit 10.13 to the 2004 10-K | ||
10 | .19 | Fourth Amendment to Lease, effective as of June 7, 2005, between SS&C Technologies, Inc. and New Boston Lamberton Limited Partnership, is incorporated herein by reference to Exhibit 10.5 to SS&C Technologies, Inc.s Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2005 (File No. 000-28430) (the Q2 2005 10-Q) | ||
10 | .20 | Lease Agreement, dated January 6, 1998, by and between Financial Models Company Inc. and Polaris Realty (Canada) Limited, as amended by First Amendment of Lease, dated as of June 24, 1998, and as amended by Second Lease Amending Agreement, dated as of November 13, 1998, is incorporated herein by reference to Exhibit 10.6 to the Q2 20005 10-Q | ||
12* | Statement of Computation of Ratio of Earnings to Fixed Charges | |||
21* | Subsidiaries of SS&C Technologies, Inc. | |||
23 | .1** | Consent of Wilmer Cutler Pickering Hale and Dorr LLP (included in Exhibit 5.1) | ||
23 | .2*** | Consent of Day, Berry & Howard LLP (included in Exhibit 5.2) | ||
23 | .3** | Consent of Fox Rothschild LLP (included in Exhibit 5.3) | ||
23 | .4** | Consent of PricewaterhouseCoopers LLP | ||
23 | .5** | Consent of PricewaterhouseCoopers LLP | ||
23 | .6** | Consent of KPMG LLP | ||
24* | Powers of Attorney (included in the signature pages to the registration statement) | |||
25* | Statement of Eligibility of Trustee and Qualification under the Trust Indenture Act of 1939 of Wells Fargo Bank, National Association, as Trustee, on Form T-1, relating to the 113/4% Senior Subordinated Notes due 2013 | |||
99 | .1* | Form of Letter of Transmittal | ||
99 | .2* | Form of Notice of Guaranteed Delivery | ||
99 | .3* | Form of Letter to DTC Participants | ||
99 | .4* | Form of Letter to Beneficial Holders | ||
99 | .5* | Form of Tax Guidelines |
* | Previously filed as an exhibit to the Registrants Registration Statement on Form S-4 (File No. 333-135139) filed with the Securities and Exchange Commission on June 19, 2006. |
** | Previously filed as an exhibit to Amendment No. 1 to the Registrants Registration Statement on Form S-4 (File No. 333-135139) filed with the Securities and Exchange Commission on July 26, 2006. |
*** | Filed herewith. |
| The Registrant hereby agrees to furnish supplementally a copy of any omitted schedules to this agreement to the Securities and Exchange Commission upon its request. |