- Amended tender offer statement by Issuer (SC TO-I/A)
January 27 2011 - 6:05AM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Amendment
No. 1
to
Schedule TO
(Rule 14d-100)
TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) or 13(e)(1) OF
THE SECURITIES
EXCHANGE ACT OF 1934
EVERGREEN SOLAR, INC.
(Name of Subject Company (Issuer) and Filing Person (as Offeror))
4.0% SENIOR CONVERTIBLE NOTES DUE 2013
(Title of Class of Securities)
30033RAC2
(CUSIP Number of Class of Securities)
and
13.0% CONVERTIBLE SENIOR SECURED NOTES DUE 2015
(Title of Class of Securities)
30033RAD0
(CUSIP Number of Class of Securities)
Michael El-Hillow
President and Chief Executive Officer
Evergreen Solar, Inc.
138 Bartlett Street
Marlboro, Massachusetts 01752
(508) 357-2221
(Name, address and telephone number of person authorized to receive notices and communications on behalf of filing persons)
Copies to:
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John R. Utzschneider, Esq.
J.Q. Newton Davis, Esq.
Bingham McCutchen LLP
One Federal Street
Boston, MA 02110
(617) 951-8000
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Christian M. Ehrbar, Esq.
General Counsel and
Corporate Secretary
Evergreen Solar, Inc.
138 Bartlett Street
Marlboro, Massachusetts 01752
(508) 357-2221
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John A. Fore, Esq.
Wilson Sonsini Goodrich
& Rosati,
Professional Corporation
650 Page Mill Road
Palo Alto, CA 94304
(650) 493-9300
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CALCULATION OF FILING FEE
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Transaction Valuation (1)
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Amount of Filing Fee (2)
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$208,000,000 (3)
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$14,830.40
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$165,000,000 (4)
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$11,764.50
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(1)
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Estimated for purposes of calculating the amount of the filing
fee only. This tender offer statement relates to the exchange by
Evergreen Solar, Inc. of up to $100,000,000 aggregate principal
amount of its new 4.0% Convertible Subordinated Additional Cash
Notes due 2020 for up to $200,000,000 of its currently
outstanding 4.0% Senior Convertible Notes due 2013 and up to
$165,000,000 aggregate principal amount of its new 7.5%
Convertible Senior Secured Notes due 2017 for up to $165,000,000 of its
currently outstanding 13.0% Convertible Senior Secured Notes due
2015.
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(2)
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The registration fee has been calculated pursuant to Rule 0-11 of
the Securities Exchange Act of 1934, as amended, by multiplying
the Transaction Valuation by .0000713.
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(3)
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Represents the value of the amount of 4.0% Senior
Convertible Notes due 2013 that the issuer may receive from
tendering holders in the exchange offers described herein.
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(4)
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Represents the value of the amount of 13%
Convertible Senior Secured Notes due 2015 that the issuer may receive
from tendering holders in the exchange offers described herein.
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þ
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Check the box if any part of the fee is offset as provided by Rule
0-11(a)(2) and identify the filing with which the offsetting fee
was previously paid. Identify the previous filing by registration
statement number, or the Form or Schedule and the date of its
filing.
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Amount Previously Paid:
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$
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26,594.90
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Filing Party:
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Evergreen Solar, Inc.
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Form or Registration No.:
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S-4
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Date Filed:
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December 6, 2010
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Amount Previously Paid:
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$
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570.40
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Filing Party:
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Evergreen Solar, Inc.
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Form or Registration No.:
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S-4/A
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Date Filed:
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December 22, 2010
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o
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Check the box if the filing relates solely to preliminary
communications made before the commencement of a tender
offer.
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Check the appropriate boxes below to designate any transactions to which the statement relates:
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third-party tender offer subject to Rule 14d-1.
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þ
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issuer tender offer subject to Rule 13e-4.
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going-private transaction subject to Rule 13e-3.
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amendment to Schedule 13D under Rule 13d-2.
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Check the following box if the filing is a final amendment reporting the results of the tender
offer:
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TABLE OF CONTENTS
INTRODUCTORY STATEMENT
This
Amendment No. 1 to the issuer tender offer statement on Schedule TO (this Schedule TO) is being filed by
Evergreen Solar, Inc., a Delaware corporation (the Company), pursuant to Rule 13e-4 of the
Securities Exchange Act of 1934, as amended (the Exchange Act), in connection with its offer to exchange (the
Exchange Offers) (i) an aggregate principal amount of up to $100,000,000 of its new 4.0%
Convertible Subordinated Additional Cash Notes due 2020 (the New 4% Notes) for an aggregate
principal amount of up to $200,000,000 of its currently outstanding 4.0% Senior Convertible Notes
due 2013 (the Existing 4% Notes) and (ii) an aggregate principal amount of up to $165,000,000 of
its new 7.5% Convertible Senior Secured Notes due 2017 (the New
7.5% Notes) for an aggregate principal amount of up to $165,000,000 of its currently outstanding 13.0% Convertible Senior Secured Notes due 2015
(the Existing 13% Notes), upon the terms and subject to the conditions set forth in the Companys
preliminary prospectus (the Prospectus), forming a part of the Companys Registration
Statement on Form S-4, File No. 333-171001, filed with the Securities
and Exchange Commission on December 30, 2010,
as amended by the Post-Effective Amendment No.1 thereto filed on
January 26, 2011 (the Registration Statement) and the related Amended and Restated Letter of Transmittal and Consent for the Exchange Offers (the Letter of
Transmittal), which are filed as Exhibits (a)(4)(A), (a)(4)(B) and
(a)(1)(D), respectively, to this Schedule TO.
This
Schedule TO is being filed in satisfaction of the reporting
requirements of Rule 13e-4(c)(3) promulgated under the Exchange Act.
All
of the information set forth in the Prospectus and the Amended and
Restated Letter of Transmittal, and any
prospectus supplement or other amendment thereto related to the Exchange Offers hereafter filed by
the Company with the Securities and Exchange Commission, is hereby incorporated by reference into
this Schedule TO in answer to Items 1 through 11 of this Schedule TO.
Item 1.
Summary Term Sheet.
The information in the Prospectus under the heading Summary is incorporated herein by
reference.
Item 2.
Subject Company Information.
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(a)
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Name and Address.
The issuer is Evergreen Solar,
Inc., a Delaware corporation, with its principal
executive offices located at 138 Bartlett Street,
Marlboro, Massachusetts 01752; telephone number (508)
357-2221.
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(b)
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Securities.
The subject class of securities are (i)
the Existing 4% Notes and (ii) the Existing 13%
Notes. As of the date of this filing, $249,207,000
aggregate principal amount of the Existing 4% Notes
were outstanding and $165,000,000 aggregate principal
amount of the Existing 13% Notes were outstanding.
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(c)
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Trading Market and Price.
Neither the Existing 4%
Notes nor the Existing 13% Notes are listed on any
national securities exchange and, to the knowledge of
the Company, there is no established trading market
for the Existing 4% Notes or the Existing 13% Notes.
The information in the Registration Statement under
the heading Price Range of Common Stock is
incorporated herein by reference.
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Item 3.
Identity and Background of Filing Person.
(a)
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Name and Address.
The filing person is Evergreen
Solar, Inc., a Delaware corporation, with its
principal executive offices located at 138 Bartlett
Street, Marlboro, Massachusetts 01752; telephone
number (508) 357-2221.
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Pursuant to General Instruction C to Schedule TO, the following persons are the executive
officers and directors of the Company:
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Name
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Position
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Michael El-Hillow
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President, Chief Executive Officer and Director
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Donald
W. Reilly
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Chief Financial Officer
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Richard G. Chleboski
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Vice President, Strategy and Business Development
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Christian M. Ehrbar
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Vice President, General Counsel and Corporate Secretary
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Dr. Lawrence Felton
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Chief Technical Officer
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Henry Ng
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Vice President and General Manager, China Manufacturing
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Gary T. Pollard
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Vice President, Human Resources
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Carl Stegerwald
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Vice President, Construction Management and Facilities Engineering
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Daniel Welch
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Vice President and General Manager, US Manufacturing
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Peter Rusch
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Vice President, Global Sales
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Ian Gregory
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Senior Director, Marketing
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Edward C. Grady
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Chairman of the Board of Directors
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Tom L. Cadwell
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Director
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Allan H. Cohen
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Director
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Dr. Peter W. Cowden
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Director
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Dr. Susan F. Tierney
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Director
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The business address and telephone number of each of the above executive officers and
directors of the Company is c/o Evergreen Solar, Inc., 138 Bartlett Street, Marlboro, Massachusetts
01752; telephone number (508) 357-2221.
Item 4.
Terms of the Transaction.
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(a)
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Material Terms.
The information in the Prospectus
under the headings Summary, Description of the
Exchange Offers and Consent Solicitation,
Description of the Proposed Amendments,
Description of New 4% Notes, Description of New
7.5% Notes, Description of Material Differences
Between the New 4% Notes and Existing 4% Notes,
Description of Material Differences Between the New
7.5% Notes and Existing 13% Notes and Material U.S.
Federal Income Tax Considerations is incorporated
herein by reference.
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(i)
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The information in the Prospectus under the headings
Summary and Description of the Exchange Offers and
Consent Solicitation is incorporated herein by
reference.
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(ii)
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The information in the Prospectus under the headings
Summary and Description of the Exchange Offers
and Consent Solicitation is incorporated herein by
reference.
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(iii)
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The information in the Prospectus under the
headings Summary and Description of the Exchange
Offers and Consent Solicitation is incorporated
herein by reference.
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(iv)
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Not Applicable.
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(v)
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The information in the Prospectus under the headings
Summary and Description of the Exchange Offers and
Consent Solicitation is incorporated herein by
reference.
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(vi)
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The information in the Prospectus under the headings
Summary and Description of the Exchange Offers
and Consent Solicitation is incorporated herein by
reference.
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(vii)
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The information in the Prospectus under the heading
Description of the Exchange Offers and Consent
Solicitation is incorporated herein by reference.
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(viii)
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The information in the Prospectus under the
heading Description of the Exchange Offers and
Consent Solicitation is incorporated herein by
reference.
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(ix)
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Not Applicable.
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(x)
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The information in the Prospectus under the headings
Summary, Description of the Exchange Offers and
Consent Solicitation, Description of Material
Differences Between the New 4% Notes and Existing 4%
Notes and Description of Material Differences
Between the New 7.5% Notes and Existing 13% Notes is
incorporated herein by reference.
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(xi)
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The information in the Prospectus under the heading
Capitalization, Unaudited Pro Forma Financial
Data and Description of the Exchange Offers and
Consent Solicitation is incorporated herein by
reference.
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(xii)
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The information in the Prospectus under the
headings Description of the Exchange Offers and
Consent Solicitation and Material U.S. Federal
Income Tax Considerations is incorporated herein
by reference.
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(2)
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Mergers or Similar Transactions
. Not Applicable.
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(b)
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Purchases.
None of the Companys officers, directors
or affiliates hold any of the Existing 4% Notes or
the Existing 13% Notes and, therefore, no Existing 4%
Notes or Existing 13% Notes will be purchased from
any officer, director or affiliate of the Company in
connection with the Exchange Offers.
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Item 5.
Past Contracts, Transactions, Negotiations and Agreements.
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(e)
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Agreements Involving the Subject Companys Securities.
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The information in the Prospectus under the heading Description of Common Stock is
incorporated herein by reference.
The Company sponsors certain equity-based compensation plans and is party to stock option
agreements with certain of its employees. These plans and agreements provide for the grant of
options to purchase shares of the Companys common stock, among other things. The Company has also
entered into a stockholders agreement with OCI Company Ltd. (OCI), which prohibits, without the
Companys consent, certain acquisitions of its common stock by OCI, certain proxy solicitation
activities, as well as OCIs ability to publicly announce or make certain proposals regarding
business combinations involving the Company, among other things. For further information regarding
the terms of these plans and agreements, see the Companys Annual Report on Form 10-K for the year
ended December 31, 2009.
The Company has entered into (a) the following agreements (each of which is filed as an
exhibit to this Schedule TO) relating to the Existing 4% Notes: (i) Indenture, dated July 2, 2008,
by and between Evergreen Solar, Inc. and U.S. Bank National Association, as Trustee and (ii) First
Supplemental Indenture, dated July 2, 2008, by and between Evergreen Solar, Inc. and U.S. Bank
National Association, as Trustee and (b) the following agreements (each of which is filed as an
exhibit to this Schedule TO) relating to the Existing 13% Notes: (i) Indenture, dated April 26,
2010, by and among Evergreen Solar, Inc., certain guarantors named therein, and U.S. Bank National
Association, as Trustee; (ii) Pledge and Security Agreement, dated April 26, 2010, by and among
Evergreen Solar, Inc. certain guarantors named therein, and U.S. Bank National Association, as
Collateral Agent; and (iii) Collateral Trust Agreement, dated April 26, 2010, by and among
Evergreen Solar, Inc. certain guarantors named therein, U.S. Bank National Association, as
Trustee and U.S. Bank National Association, as Collateral Agent.
Item 6.
Purposes of the Transaction and Plans or Proposals.
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(a)
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Purposes.
The information in the Prospectus under the heading
Summary is incorporated herein by reference.
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(b)
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Use of Securities Acquired.
The Company will cancel and retire up
to $200,000,000 aggregate principal amount of the Existing 4%
Notes and all of the Existing 13% Notes acquired in the
transaction
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(c)
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Plans.
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(1)
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The 1-for-6 reverse
stock split previously approved by its stockholders at the
Companys annual meeting on July 27, 2010 became effective
on January 1, 2011. ESLR1, LLC, which currently provides a guaranty
with respect to the Existing 13% Notes, will be merged with and into
the Company prior to any issuance of the New 7.5% Notes, which means
that as of the issuance date, none of the Companys subsidiaries
will provide a guaranty of the New 7.5% Notes.
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(2)
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ESLR1, LLC will be merged with and into the Company prior to
the issuance of any New 7.5% Notes. In connection with such merger,
the assets of ESLR1, LLC will be transferred to the Company.
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(3)
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The information in the Prospectus under the headings Summary
and Risk Factors is incorporated herein by reference.
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(4)
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Donald W. Reilly was appointed as Chief Financial Officer of
the Company on
January 12, 2011. Paul Kawa has resumed his responsibilities as the
Companys Corporate Controller.
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(5)
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None.
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(6)
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On July 1, 2010, the Company received a deficiency letter from
The Nasdaq Global Market stating that, based on the closing bid
price of its common stock for the 30 consecutive business days
preceding such date, the Company no longer meets the minimum
$1.00 per share requirement for continued listing on The Nasdaq
Global Market under Marketplace Rule 5450(a)(1). The Company
submitted an application to Nasdaq to move its common stock from
The Nasdaq Global Market to The Nasdaq Capital Market and this
move became effective on December 29, 2010. By switching
markets, the Company will have an additional 180-day grace period
to regain compliance with the minimum bid price rule.
On January 18, 2011, Nasdaq notified us that we have regained
compliance with the minimum bid price rule and the matter is now
closed.
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(7)
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None.
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(8)
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None.
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(9)
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The Company maintains three stock purchase and/or option plans:
the 1994 Stock Option
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Plan, the Amended and Restated 2000 Stock
Option and Incentive Plan and the Amended and Restated 2000
Employee Stock Purchase Plan. The Company may issue securities
in each of these plans from time to time.
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(10)
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None.
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Item 7.
Source and Amount of Funds or Other Consideration.
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(a)
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Source of Funds.
The consideration to be used in the Exchange
Offers consists of the New 4% Note and the New 7.5% Notes. If
$200,000,000 aggregate principal amount of the Existing 4% Notes
are tendered and accepted for exchange, an aggregate principal
amount of $100,000,000 of the New 4% Notes will be issued and, if
all of the Existing 13% Notes are tendered and accepted for
exchange, an aggregate principal amount of $165,000,000 of the
New 7.5% Notes will be issued. The Company expects to pay fees
and expenses in connection with the Exchange Offers from the
Companys working capital.
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(b)
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Conditions.
Not applicable.
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(d)
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Borrowed Funds.
Not applicable.
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Item 8.
Interest in Securities of the Subject Company.
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(a)
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Securities Ownership.
None.
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(b)
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Securities Transactions.
None.
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Item 9.
Persons/Assets, Retained, Employed, Compensated or Used.
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(a)
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Solicitations or Recommendations.
The information in the
Prospectus under the headings Summary, Description of the
Exchange Offers and Consent SolicitationOther Fees and
Expenses, Description of the Exchange Offers and Consent
SolicitationExchange Agent and Description of the Exchange Offers and Consent
SolicitationDealer Manager and Solicitation Agent is incorporated herein by
reference.
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Item 10.
Financial Statements.
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(a)
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Financial Information.
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The following financial statements and information are incorporated herein by reference:
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(1)
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The audited consolidated financial statements of the Company set
forth on pages F-1 through F-37 in the Companys Annual Report on
Form 10-K for the fiscal year ended December 31, 2009.
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(2)
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The audited and unaudited financial statements of Sovello AG as
set forth as Exhibits 99.1 and Exhibit 99.2 in the Companys
Amended Annual Report on Form 10-K/A for the fiscal year ended
December 31, 2009.
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(3)
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The unaudited condensed consolidated financial statements of the
Company set forth on pages 3 through 25 in the Companys
Quarterly Report on Form 10-Q for the fiscal quarter ended
October 2, 2010.
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(4)
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The information in the Prospectus under the heading Ratio of
Earnings to Fixed Charges.
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(5)
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The book value per share as of October 2, 2010 was $1.67
(or approximately $10.02 per share after giving effect to the 1-for-6
reverse stock split).
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Copies of the financial statements incorporated herein by reference pursuant to clauses (1),
(2) and (3) of this Item 10(a) can be obtained as provided in the Prospectus under the heading
Incorporation of Certain Documents by Reference.
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(b)
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Pro Forma.
The information in the Prospectus under the heading
Capitalization and Unaudited Pro Forma Financial Data is
incorporated herein by reference.
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Item 11.
Additional Information.
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(a)
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Agreements, Regulatory Requirements and Legal Proceedings.
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(1)
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None.
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(2)
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The Company is required to comply with federal and state
securities laws and tender offer rules.
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(3)
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Not applicable.
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(4)
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Not applicable.
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(5)
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None.
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(b)
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Other Material Information.
The information in the Prospectus and
Letter of Transmittal is incorporated herein by reference.
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Item 12.
Exhibits.
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(a)(1)(A)*
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Letter of Transmittal and Consent.
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(a)(1)(B)*
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Letter to Brokers, Dealers,
Commercial Banks, Trust Companies and Other
Nominees.
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(a)(1)(C)*
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Letter to Clients.
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(a)(1)(D)
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Amended and Restated Letter of
Transmittal.
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(a)(1)(E)
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Amended and Restated Letter to Brokers, Dealers,
Commercial Banks, Trust Companies and Other
Nominees..
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(a)(1)(F)
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Amended and Restated Letter to Clients.
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(a)(2)
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None.
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(a)(3)
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None.
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(a)(4)(A)
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Prospectus dated January 3, 2011
(incorporated herein by reference
to the Companys Prospectus filed with the Commission on January 3, 2011 pursuant to Rule 424(b) and forming a part of the Companys Registration Statement on Form S-4,
File No. 333-171001).
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(a)(4)(B)
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Preliminary Prospectus dated
January 26, 2011
(incorporated herein by reference
to the Companys Preliminary Prospectus filed with the Commission on January
26, 2011 forming a part of the Companys Post-Effective
Amendment No. 1 to the Registration Statement on Form S-4,
File No. 333-171001).
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(a)(5)
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Press Release issued December 6, 2010
(filed by the Company pursuant to Rule 425
under the Securities Act of 1933, as amended,
and deemed filed pursuant to Rule 13e-4(c) of
the Securities Exchange Act of 1934, as
amended, and incorporated by reference to
Exhibit 99.1 to the Companys Current Report
on Form 8-K filed
with the Commission
on December 6, 2010, File No. 000-31687).
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(a)(6)
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Press Release issued January 3,
2011 (filed by the Company pursuant to Rule 425 under the Securities
Act of 1933, as amended, and deemed filed pursuant to Rule 13e-4(c)
of the Securities Exchange Act of 1934, as amended, and incorporated
by reference to Exhibit 99.1 to the Companys Current Report on
Form 8-K filed with the Commission on January 3, 2011, File No. 000-31687).
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(b)
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None.
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(d)(1)
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Indenture, dated July 2, 2008, by and
between Evergreen Solar, Inc. and U.S. Bank
National Association, as Trustee (incorporated
by reference to Exhibit 4.1 to the Companys
Current Report on Form 8-K, filed with the
Commission on July 7, 2008, File No.
000-31687).
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(d)(2)
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First Supplemental Indenture, dated July
2, 2008, by and between Evergreen Solar, Inc.
and U.S. Bank National Association, as Trustee
(incorporated by reference to Exhibit 4.2 to
the Companys Current Report on Form 8-K,
filed with the Commission on July 7, 2008,
File No. 000-31687).
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(d)(3)
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Indenture, dated April 26, 2010 by and
among Evergreen Solar, Inc., the guarantors
named therein and U.S. Bank National
Association, as Trustee (incorporated by
reference to Exhibit 4.1 to the Companys
Current Report on Form 8-K, filed with the
Commission on April 27, 2010, File No.
000-31687).
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(d)(4)
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Pledge and Security Agreement, dated as of
April 26, 2010, by and among Evergreen Solar,
Inc., the guarantors named therein and U.S.
Bank National Association, as Collateral Agent
(incorporated by reference to Exhibit 4.2 to
the Companys Current Report on Form 8-K, filed with the Commission on April 27, 2010,
File No. 000-31687).
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(d)(5)
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Collateral Trust Agreement, dated April 26, 2010 by and among
Evergreen Solar, Inc., the guarantors named
therein, U.S. Bank National Association, as
Trustee and U.S. Bank National Association, as Collateral Agent (incorporated by reference to Exhibit
4.3 to the Companys Current Report on Form
8-K, filed with the Commission on April 27,
2010, File No. 000-31687).
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(d)(6)
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Form of Amended and Restated Pledge and Security Agreement (incorporated by reference to Exhibit 4.10 of the Post-Effective Amendment No. 1
to the Registration Statement on Form S-4, File No. 333-171001).
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(d)(7)
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Form of Amended and Restated Collateral Trust Agreement (incorporated by reference to Exhibit 4.11
of the Post-Effective Amendment No. 1 to the Registration Statement
on Form S-4, File No. 333-171001).
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(g)
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None.
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(h)
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Tax Opinion of Bingham McCutchen LLP (incorporated by reference to
Exhibit 8.1 of the Registration Statement on Form S-4 filed December
22, 2010, File No. 333-171001).
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*
Previously filed with the Schedule TO.
Item 13.
Information Required by Schedule 13E-3.
Not Applicable.
SIGNATURE
After due 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.
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EVERGREEN SOLAR, INC.
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Dated:
January 26, 2011
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By:
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/s/ Michael El-Hillow
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Name:
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Michael El-Hillow
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Title:
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President and Chief Executive
Officer
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INDEX TO EXHIBITS
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Exhibit
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Number
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Description
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(a)(1)(A)*
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Letter of Transmittal and Consent.
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(a)(1)(B)*
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Letter to Brokers, Dealers,
Commercial Banks, Trust Companies and Other
Nominees.
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(a)(1)(C)*
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Letter to Clients.
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(a)(1)(D)
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Amended and Restated Letter of
Transmittal.
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(a)(1)(E)
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Amended and Restated Letter to Brokers, Dealers,
Commercial Banks, Trust Companies and Other
Nominees..
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(a)(1)(F)
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Amended and Restated Letter to Clients.
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(a)(2)
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None.
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(a)(3)
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None.
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(a)(4)(A)
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Prospectus dated January 3, 2011
(incorporated herein by reference
to the Companys Prospectus filed with the Commission on January 3, 2011 pursuant to Rule 424(b) and forming a part of the Companys Registration Statement on Form S-4,
File No. 333-171001).
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(a)(4)(B)
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Preliminary Prospectus dated
January 26, 2011
(incorporated herein by reference
to the Companys Preliminary Prospectus filed with the Commission on January
26, 2011 forming a part of the Companys Post-Effective
Amendment No. 1 to the Registration Statement on Form S-4,
File No. 333-171001).
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(a)(5)
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Press Release issued December 6, 2010
(filed by the Company pursuant to Rule 425
under the Securities Act of 1933, as amended,
and deemed filed pursuant to Rule 13e-4(c) of
the Securities Exchange Act of 1934, as
amended, and incorporated by reference to
Exhibit 99.1 to the Companys Current Report
on Form 8-K filed with the Commission on December 6, 2010, File No. 000-31687).
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(a)(6)
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Press Release issued January 3,
2011 (filed by the Company pursuant to Rule 425 under the Securities
Act of 1933, as amended, and deemed filed pursuant to Rule 13e-4(c)
of the Securities Exchange Act of 1934, as amended, and incorporated
by reference to Exhibit 99.1 to the Companys Current Report on
Form 8-K filed with the Commission on January 3, 2011, File No. 000-31687).
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(b)
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None.
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(d)(1)
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Indenture, dated July 2, 2008, by and
between Evergreen Solar, Inc. and U.S. Bank
National Association, as Trustee (incorporated
by reference to Exhibit 4.1 to the Companys
Current Report on Form 8-K, filed with the
Commission on July 7, 2008, File No.
000-31687).
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(d)(2)
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First Supplemental Indenture, dated July
2, 2008, by and between Evergreen Solar, Inc.
and U.S. Bank National Association, as Trustee
(incorporated by reference to Exhibit 4.2 to
the Companys Current Report on Form 8-K,
filed with the Commission on July 7, 2008,
File No. 000-31687).
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(d)(3)
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Indenture, dated April 26, 2010 by and
among Evergreen Solar, Inc., the guarantors
named therein and U.S. Bank National
Association, as Trustee (incorporated by
reference to Exhibit 4.1 to the Companys
Current Report on Form 8-K, filed with the
Commission on April 27, 2010, File No.
000-31687).
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(d)(4)
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Pledge and Security Agreement, dated as of
April 26, 2010, by and among Evergreen Solar,
Inc., the guarantors named therein and U.S.
Bank National Association, as Collateral Agent
(incorporated by reference to Exhibit 4.2 to
the Companys Current Report on Form 8-K,
filed with the Commission on April 27, 2010,
File No. 000-31687).
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(d)(5)
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Collateral Trust Agreement, dated April 26, 2010 by and among
Evergreen Solar, Inc., the guarantors named
therein, U.S. Bank National Association, as
Trustee and U.S. Bank National Association, as Collateral Agent (incorporated by reference to Exhibit
4.3 to the Companys Current Report on Form
8-K, filed with the Commission on April 27,
2010, File No. 000-31687).
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(d)(6)
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Form of Amended and Restated Pledge and Security Agreement (incorporated by reference to Exhibit 4.10 of the Post-Effective Amendment No. 1
to the Registration Statement on Form S-4, File No. 333-171001).
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(d)(7)
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Form of Amended and Restated Collateral Trust Agreement (incorporated by reference to Exhibit 4.11
of the Post-Effective Amendment No. 1 to the Registration Statement
on Form S-4, File No. 333-171001).
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(g)
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None.
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(h)
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Tax Opinion of Bingham McCutchen LLP (incorporated by reference to
Exhibit 8.1 of the Registration Statement on Form S-4 filed December
22, 2010, File No. 333-171001).
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*
Previously filed with the Schedule TO.
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