2
3
1. | Delivering a written notice to the corporate secretary of Applica before such special meeting that states that he or she revokes his or her proxy; | ||
2. | Delivering a signed and later dated new proxy card before such special meeting in accordance with the instructions included with the proxy card; or | ||
3. | Attending the special meeting and voting in person. |
Exhibit |
||
No. | Document | |
(a)(1)
|
Letter to Applicas shareholders dated December 19, 2006 (incorporated by reference to exhibit (a)(1) of Applicas Solicitation/Recommendation Statement on Schedule 14D-9 filed with the SEC on December 19, 2006) | |
(a)(2)
|
Press release issued by Applica on December 19, 2006 (incorporated by reference to exhibit (a)(2) of Applicas Solicitation/Recommendation Statement on Schedule 14D-9 filed with the SEC on December 19, 2006)* | |
(a)(3)
|
Applicas Definitive Proxy Statement on Schedule 14A relating to the Special Meeting of Shareholders to consider the Harbinger merger, as supplemented on December 15, 2006, December 22, 2006, December 28, 2006 and January 5, 2007 (filed with the SEC on December 4, 2006, as supplemented on December 15, 2006, December 22, 2006, December 28, 2006 and January 5, 2007, and incorporated by reference) | |
(a)(4)
|
Press release issued by Applica on December 21, 2006 (incorporated by reference to exhibit 99.1 of Applicas Current Report on Form 8-K filed with the SEC on December 21, 2006)* | |
(a)(5)
|
Letter to Applicas shareholders dated December 22, 2006 (incorporated by reference to exhibit (a)(5) of Amendment No. 2 to Applicas Solicitation/ Recommendation Statement on Schedule 14D-9/A filed with the SEC on December 22, 2006) | |
(a)(6)
|
Press release issued by Applica on December 22, 2006 (incorporated by reference to exhibit 99.1 of Applicas Current Report on Form 8-K filed with the SEC December 22, 2006)* | |
(a)(7)
|
Letter to Applicas shareholders dated December 28, 2006 (incorporated by reference to exhibit (a)(7) of Amendment No. 3 to Applicas Solicitation/Recommendation Statement on Schedule 14D-9/A filed with the SEC on December 28, 2006) | |
(a)(8)
|
Press release issued by Applica on December 27, 2006 (incorporated by reference to exhibit 99.1 of Applicas Current Report on Form 8-K filed December 27, 2006)* | |
(a)(9)
|
Press release issued by Applica on December 28, 2006 (incorporated by reference to Applicas Schedule 14A filed with the SEC on December 28, 2006)* | |
(a)(10)
|
Press release issued by Applica on January 3, 2007 (incorporated by reference to exhibit 99.1 of Applicas Current Report on Form 8-K filed with the SEC on January 3, 2007)* | |
(a)(11)
|
Letter to Applicas shareholders dated January 4, 2007 (incorporated by reference to exhibit (a)(11) of Amendment No. 6 to Applicas Solicitation/ Recommendation Statement on Schedule 14D-9/A filed with the SEC on January 4, 2007) |
4
(a)(12)
|
Press release issued by Applica on January 4, 2007 (incorporated by reference to Applicas Schedule 14A filed with the SEC on January 4, 2007) | |
(a)(13)
|
Press release issued by Applica on January 9, 2007+ | |
(a)(14)
|
Press release issued by Applica on January 10, 2007+ | |
(e)(1)
|
Excerpts from Applicas Definitive Proxy Statement on Schedule 14A filed March 31, 2006 relating to the Applica 2006 Annual Meeting of Shareholders (incorporated by reference to exhibit (e)(1) of Applicas Solicitation/Recommendation Statement on Schedule 14D-9 filed with the SEC on December 19, 2006) | |
(e)(2)
|
Excerpts from Applicas Definitive Proxy Statement on Schedule 14A filed relating to the Special Meeting of Shareholders to consider Applicas proposed merger with Harbinger Capital Partners (incorporated by reference to exhibit (e)(2) of Applicas Solicitation/Recommendation Statement on Schedule 14D-9 filed with the SEC on December 19, 2006) | |
(e)(3)
|
Employment Agreement dated May 1, 2004 between Applica and Harry D. Schulman (incorporated by reference to Applicas Current Report on Form 8-K filed with the SEC on October 15, 2004) | |
(e)(4)
|
First Amendment to Employment Agreement dated August 2, 1999 between Applica and Harry D. Schulman (incorporated by reference to exhibit 10.1 of Applicas Current Report on Form 8-K filed with the SEC on October 15, 2004) | |
(e)(5)
|
Employment Agreement dated July 1, 2000 between Applica and Terry Polistina (incorporated by reference to Exhibit 10.9 of Applicas Quarterly Report on Form 10-Q for the quarter ended September 30, 2000 filed with the SEC on November 14, 2000) | |
(e)(6)
|
First Amendment to Employment Agreement dated July 1, 2000 between Applica and Terry Polistina (incorporated by reference to exhibit 10.2 of Applicas Current Report on Form 8-K filed with the SEC on April 19, 2006) | |
(e)(7)
|
Employment Agreement dated September 16, 2004 between Applica and Brian Guptill (incorporated by reference to exhibit 10.4 of Applicas Annual Report on Form 10-K filed with the SEC on March 16, 2005) | |
(e)(8)
|
First Amendment to Employment Agreement dated September 16, 2004 between Applica and Brian Guptill (incorporated by reference to exhibit 10.1 to Applicas Current Report on Form 8-K filed with the SEC on April 19, 2006) | |
(e)(9)
|
Agreement and Plan of Merger by and between HB-PS Holding Company, Inc. and Applica Incorporated and joined in by NACCO Industries, Inc. dated July 23, 2006 (incorporated by reference to exhibit 2.1 of Applicas Current Report on Form 8-K filed with the SEC on July 26, 2006) | |
(e)(10)
|
Agreement and Plan of Merger, dated as of October 19, 2006 by and among APN Holding Company, Inc., APN Mergersub, Inc., and Applica Incorporated (incorporated by reference to exhibit 2.1 of Applicas Current Report on Form 8-K filed with the SEC on October 20, 2006) | |
(e)(11)
|
Amendment No. 1, dated December 14, 2006, to Agreement and Plan of Merger, dated as of October 19, 2006 by and among APN Holding Company, Inc., APN Mergersub, Inc., and Applica Incorporated (incorporated by reference to exhibit 2.1 of Applicas Current Report on Form 8-K filed with the SEC on December 15, 2006) | |
(e)(12)
|
Amendment No. 2, dated December 22, 2006, to Agreement and Plan of Merger, dated as of October 19, 2006 by and among APN Holding Company, Inc., APN Mergersub, Inc., and Applica Incorporated (incorporated by reference to exhibit 2.1 of Applicas Current Report on Form 8-K filed with the SEC on December 22, 2006) | |
(e)(13)
|
Amendment No. 3, dated December 27, 2006, to Agreement and Plan of Merger, dated as of October 19, 2006 by and among APN Holding Company, Inc., APN Mergersub, Inc., and Applica Incorporated (incorporated by reference to exhibit 2.1 of Applicas Current Report on Form 8-K filed with the SEC on December 27, 2006) |
5
(e)(14)
|
Excerpts from the Third Supplement to Applicas Definitive Proxy Statement on Schedule 14A filed with the SEC on December 28, 2006 (incorporated by reference to exhibit (e)(14) of Amendment No. 3 to Applicas Solicitation/Recommendation Statement on Schedule 14D-9 filed with the SEC on December 28, 2006) | |
(e)(15)
|
Amendment No. 4, dated January 3, 2007, to Agreement and Plan of Merger, dated as of October 19, 2006 by and among APN Holding Company, Inc., APN Mergersub, Inc., and Applica Incorporated (incorporated by reference to exhibit 2.1 of Applicas Current Report on Form 8-K filed with the SEC on January 3, 2007) | |
(e)(16)
|
Excerpts from the Fourth Supplement to Applicas Definitive Proxy Statement on Schedule 14A filed with the SEC on January 5, 2007 (incorporated by reference to exhibit (e)(16) of Amendment No. 6 to Applicas Solicitation/ Recommendation Statement on Schedule 14D-9/A filed with the SEC on January 5, 2007) | |
(g)
|
Inapplicable |
* | This press release contains a legend that makes reference to the protections afforded by the Private Securities Litigation Reform Act of 1995. Please note that the protections afforded by the Private Securities Litigation Reform Act of 1995 do not extend to forward-looking statements made in connection with the NACCO offer. | |
+ | Filed as an exhibit hereto and included in the Amendment No. 7 to Schedule 14D-9 mailed to Applicas shareholders. |
6
APPLICA INCORPORATED |
||||
By: | /s/ Harry D. Schulman | |||
Name: | Harry D. Schulman | |||
Title: | Chairman of the Board, President and Chief Executive Officer |
7
Exhibit |
||
No. | Document | |
(a)(1)
|
Letter to Applicas shareholders dated December 19, 2006 (incorporated by reference to exhibit (a)(1) of Applicas Solicitation/Recommendation Statement on Schedule 14D-9 filed with the SEC on December 19, 2006) | |
(a)(2)
|
Press release issued by Applica on December 19, 2006 (incorporated by reference to exhibit (a)(2) of Applicas Solicitation/Recommendation Statement on Schedule 14D-9 filed with the SEC on December 19, 2006)* | |
(a)(3)
|
Applicas Definitive Proxy Statement on Schedule 14A relating to the Special Meeting of Shareholders to consider the Harbinger merger, as supplemented on December 15, 2006, December 22, 2006, December 28, 2006 and January 5, 2007 (filed with the SEC on December 4, 2006, as supplemented on December 15, 2006, December 22, 2006, December 28, 2006 and January 5, 2007, and incorporated by reference) | |
(a)(4)
|
Press release issued by Applica on December 21, 2006 (incorporated by reference to exhibit 99.1 of Applicas Current Report on Form 8-K filed with the SEC on December 21, 2006)* | |
(a)(5)
|
Letter to Applicas shareholders dated December 22, 2006 (incorporated by reference to exhibit (a)(5) of Amendment No. 2 to Applicas Solicitation/ Recommendation Statement on Schedule 14D-9/A filed with the SEC on December 22, 2006) | |
(a)(6)
|
Press release issued by Applica on December 22, 2006 (incorporated by reference to exhibit 99.1 of Applicas Current Report on Form 8-K filed with the SEC December 22, 2006)* | |
(a)(7)
|
Letter to Applicas shareholders dated December 28, 2006 (incorporated by reference to exhibit (a)(7) of Amendment No. 3 to Applicas Solicitation/Recommendation Statement on Schedule 14D-9/A filed with the SEC on December 28, 2006) | |
(a)(8)
|
Press release issued by Applica on December 27, 2006 (incorporated by reference to exhibit 99.1 of Applicas Current Report on Form 8-K filed December 27, 2006)* | |
(a)(9)
|
Press release issued by Applica on December 28, 2006 (incorporated by reference to Applicas Schedule 14A filed with the SEC on December 28, 2006)* | |
(a)(10)
|
Press release issued by Applica on January 3, 2007 (incorporated by reference to exhibit 99.1 of Applicas Current Report on Form 8-K filed with the SEC on January 3, 2007)* | |
(a)(11)
|
Letter to Applicas shareholders dated January 4, 2007 (incorporated by reference to exhibit (a)(11) of Amendment No. 6 to Applicas Solicitation/ Recommendation Statement on Schedule 14D-9/A filed with the SEC on January 4, 2007) | |
(a)(12)
|
Press release issued by Applica on January 4, 2007 (incorporated by reference to Applicas Schedule 14A filed with the SEC on January 4, 2007) | |
(a)(13)
|
Press release issued by Applica on January 9, 2007+ | |
(a)(14)
|
Press release issued by Applica on January 10, 2007+ | |
(e)(1)
|
Excerpts from Applicas Definitive Proxy Statement on Schedule 14A filed March 31, 2006 relating to the Applica 2006 Annual Meeting of Shareholders (incorporated by reference to exhibit (e)(1) of Applicas Solicitation/Recommendation Statement on Schedule 14D-9 filed with the SEC on December 19, 2006) | |
(e)(2)
|
Excerpts from Applicas Definitive Proxy Statement on Schedule 14A filed relating to the Special Meeting of Shareholders to consider Applicas proposed merger with Harbinger Capital Partners (incorporated by reference to exhibit (e)(2) of Applicas Solicitation/Recommendation Statement on Schedule 14D-9 filed with the SEC on December 19, 2006) | |
(e)(3)
|
Employment Agreement dated May 1, 2004 between Applica and Harry D. Schulman (incorporated by reference to Applicas Current Report on Form 8-K filed with the SEC on October 15, 2004) |
8
(e)(4)
|
First Amendment to Employment Agreement dated August 2, 1999 between Applica and Harry D. Schulman (incorporated by reference to exhibit 10.1 of Applicas Current Report on Form 8-K filed with the SEC on October 15, 2004) | |
(e)(5)
|
Employment Agreement dated July 1, 2000 between Applica and Terry Polistina (incorporated by reference to Exhibit 10.9 of Applicas Quarterly Report on Form 10-Q for the quarter ended September 30, 2000 filed with the SEC on November 14, 2000) | |
(e)(6)
|
First Amendment to Employment Agreement dated July 1, 2000 between Applica and Terry Polistina (incorporated by reference to exhibit 10.2 of Applicas Current Report on Form 8-K filed with the SEC on April 19, 2006) | |
(e)(7)
|
Employment Agreement dated September 16, 2004 between Applica and Brian Guptill (incorporated by reference to exhibit 10.4 of Applicas Annual Report on Form 10-K filed with the SEC on March 16, 2005) | |
(e)(8)
|
First Amendment to Employment Agreement dated September 16, 2004 between Applica and Brian Guptill (incorporated by reference to exhibit 10.1 to Applicas Current Report on Form 8-K filed with the SEC on April 19, 2006) | |
(e)(9)
|
Agreement and Plan of Merger by and between HB-PS Holding Company, Inc. and Applica Incorporated and joined in by NACCO Industries, Inc. dated July 23, 2006 (incorporated by reference to exhibit 2.1 of Applicas Current Report on Form 8-K filed with the SEC on July 26, 2006) | |
(e)(10)
|
Agreement and Plan of Merger, dated as of October 19, 2006 by and among APN Holding Company, Inc., APN Mergersub, Inc., and Applica Incorporated (incorporated by reference to exhibit 2.1 of Applicas Current Report on Form 8-K filed with the SEC on October 20, 2006) | |
(e)(11)
|
Amendment No. 1, dated December 14, 2006, to Agreement and Plan of Merger, dated as of October 19, 2006 by and among APN Holding Company, Inc., APN Mergersub, Inc., and Applica Incorporated (incorporated by reference to exhibit 2.1 of Applicas Current Report on Form 8-K filed with the SEC on December 15, 2006) | |
(e)(12)
|
Amendment No. 2, dated December 22, 2006, to Agreement and Plan of Merger, dated as of October 19, 2006 by and among APN Holding Company, Inc., APN Mergersub, Inc., and Applica Incorporated (incorporated by reference to exhibit 2.1 of Applicas Current Report on Form 8-K filed with the SEC on December 22, 2006) | |
(e)(13)
|
Amendment No. 3, dated December 27, 2006, to Agreement and Plan of Merger, dated as of October 19, 2006 by and among APN Holding Company, Inc., APN Mergersub, Inc., and Applica Incorporated (incorporated by reference to exhibit 2.1 of Applicas Current Report on Form 8-K filed with the SEC on December 27, 2006) | |
(e)(14)
|
Excerpts from the Third Supplement to Applicas Definitive Proxy Statement on Schedule 14A filed with the SEC on December 28, 2006 (incorporated by reference to exhibit (e)(14) of Amendment No. 3 to Applicas Solicitation/Recommendation Statement on Schedule 14D-9 filed with the SEC on December 28, 2006) | |
(e)(15)
|
Amendment No. 4, dated January 3, 2007, to Agreement and Plan of Merger, dated as of October 19, 2006 by and among APN Holding Company, Inc., APN Mergersub, Inc., and Applica Incorporated (incorporated by reference to exhibit 2.1 of Applicas Current Report on Form 8-K filed with the SEC on January 3, 2007) | |
(e)(16)
|
Excerpts from the Fourth Supplement to Applicas Definitive Proxy Statement on Schedule 14A filed with the SEC on January 5, 2007 (incorporated by reference to exhibit (e)(16) of Amendment No. 6 to Applicas Solicitation/ Recommendation Statement on Schedule 14D-9/A filed with the SEC on January 5, 2007) | |
(g)
|
Inapplicable |
* | This press release contains a legend that makes reference to the protections afforded by the Private Securities Litigation Reform Act of 1995. Please note that the protections afforded by the Private Securities Litigation Reform Act of 1995 do not extend to forward-looking statements made in connection with the NACCO offer. | |
+ | Filed as an exhibit hereto and included in the Amendment No. 7 to Schedule 14D-9 mailed to Applicas shareholders. |
9