7. |
List all contracts and other instruments required to be filed by 47 C.F.R. Section 73.3613. (Only licensees, permittees, or a reporting entity with a majority interest in or that otherwise exercises de facto control over the subject licensee or permittee shall respond.)
[Enter Contract/Instrument Information]
Contracts/Instruments Information
List all contracts and other instruments required to be filed by 47 C.F.R. Section 73.3613. (Only licensees, permittees, or a reporting entity with a majority interest in or that otherwise exercises de facto control over the subject shall respond.)
Description of contract or instrument |
Name of person or organization with whom contract is made |
Date of Execution |
Date of Expiration |
ARTICLES OF INCORPORATION |
REGENT COMMUNICATIONS, INC. |
06/11/1998 |
PERPETUAL |
Description of contract or instrument |
Name of person or organization with whom contract is made |
Date of Execution |
Date of Expiration |
BYLAWS |
REGENT COMMUNICATIONS, INC. |
06/11/1998 |
PERPETUAL |
Description of contract or instrument |
Name of person or organization with whom contract is made |
Date of Execution |
Date of Expiration |
CREDIT AGREEMENT |
AMONG REGENT BROADCASTING, LLC, REGENT COMMUNICATIONS, INC., BANK OF AMERICA, N.A., BANC OF AMERICA SECURITIES, LLC, SUNTRUST BANK, SUNTRUST ROBINSON HUMPHREY, GENERAL ELECTRIC CAPITAL CORPORATION, AND WELLS FARGO FOOTHILL, INC. |
11/21/2006 |
|
Description of contract or instrument |
Name of person or organization with whom contract is made |
Date of Execution |
Date of Expiration |
GUARANTY AGREEMENT |
AMONG REGENT COMMUNICATIONS, INC., REGENT BROADCASTING, LLC, THE SUBSIDIARIES OF THE PARENT COMPANY AND BANK OF AMERICA, N.A. |
11/21/2006 |
|
Description of contract or instrument |
Name of person or organization with whom contract is made |
Date of Execution |
Date of Expiration |
SECURITY AGREEMENT |
AMONG REGENT COMMUNICATIONS, INC., REGENT BROADCASTING, LLC, THE SUBSIDIARIES OF THE PARENT COMPANY AND BANK OF AMERICA, N.A. |
11/21/2006 |
|
Description of contract or instrument |
Name of person or organization with whom contract is made |
Date of Execution |
Date of Expiration |
PLEDGE AGREEMENT |
AMONG REGENT COMMUNICATIONS, INC., REGENT BROADCASTING, LLC., THE SUBSIDIARIES OF THE PARENT COMPANY AND BANK OF AMERICA |
11/21/2006 |
|
Description of contract or instrument |
Name of person or organization with whom contract is made |
Date of Execution |
Date of Expiration |
AMENDMENT 1 TO CREDIT AGREEMENT |
AMONG REGENT BROADCASTING, LLC, REGENT COMMUNICATIONS, INC., BANK OF AMERICA, N.A., BANC OF AMERICA SECURITIES, LLC, SUNTRUST BANK, SUNTRUST ROBINSON HUMPHREY, GENERAL ELECTRIC CAPITAL CORPORATION, AND WELLS FARGO FOOTHILL, INC. |
02/23/2007 |
|
Description of contract or instrument |
Name of person or organization with whom contract is made |
Date of Execution |
Date of Expiration |
AMENDMENT 2 TO CREDIT AGREEMENT |
AMONG REGENT BROADCASTING, LLC, REGENT COMMUNICATIONS, INC., BANK OF AMERICA, N.A., BANC OF AMERICA SECURITIES, LLC, SUNTRUST BANK, SUNTRUST ROBINSON HUMPHREY, GENERAL ELECTRIC CAPITAL CORPORATION, AND WELLS FARGO FOOTHILL, INC. |
11/15/2007 |
|
|
|
9. |
(a.) |
List the respondent, and, if other than a natural person, its officers, directors, stockholders and other entities with attributable interests, non-insulated partners and/or members. If a corporation or partnership holds an attributable interest in the respondent, list separately its officers, directors, stockholders and other entities with attributable interests, non-insulated partners and/or members. Create a separate row for each individual or entity. Attach supplemental pages, if necessary.
[Enter Owner Information]
Owner Information
List the respondent, and, if other than a natural person, its officers, directors, stockholders and other entities with attributable interests, non-insulated partners and/or members. If a corporation or partnership holds an attributable interest in the respondent, list separately its officers, directors, stockholders and other entities with attributable interests, non-insulated partners and/or members. Create a separate row for each individual or entity. Attach supplemental pages, if necessary.
(Read carefully - The numbered items below refer to line numbers in the following table.) |
1. Name and address of respondent and each party to the respondent holding an attributable interest (if other than individual also show name, address and citizenship of natural person authorized to vote the stock or holding the attributable interest). List the respondent first, officers next, then directors and, thereafter, remaining stockholders and other entities with attributable interests, and partners.
2. Gender (male or female).
3. Ethnicity (check one).
4. Race (select one or more).
5. Citizenship. 6. Positional interest: Officer, director, general partner, limited partner, LLC member, investor/creditor attributable under the Commission's equity/debt plus standard, etc.
7. Percentage of votes.
8. Percentage of total assets (equity debt plus).
|
1. Name and Address |
REGENT COMMUNICATIONS, INC., C/O 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
RESPONDENT |
7. Percentage of votes |
0.00 |
8. Percentage of total assets (equity debt plus) |
0.00 |
1. Name and Address |
BLUE CHIP CAPITAL FUND III LIMITED PARTNERSHIP, 1100 CHIQUITA CENTER, 250 EAST 5TH STREET, CINCINNATI, OH |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
STOCKHOLDER |
7. Percentage of votes |
1.42 |
8. Percentage of total assets (equity debt plus) |
1.42 |
1. Name and Address |
HJH PARTNERS, LLC, 8 SOUND SHORE DRIVE, SUITE 265, GREENWICH, CT 06830 |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
STOCKHOLDER |
7. Percentage of votes |
7.17 |
8. Percentage of total assets (equity debt plus) |
7.17 |
1. Name and Address |
BLUE CHIP CAPITAL FUND II LIMITED PARTNERSHIP, 1100 CHIQUITA CENTER, 250 EAST 5TH STREET, CINCINNATI, OH |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
STOCKHOLDER |
7. Percentage of votes |
6.00 |
8. Percentage of total assets (equity debt plus) |
6.00 |
1. Name and Address |
MIAMI VALLEY VENTURE FUND, L.P., C/O BLUE CHIP CAPITAL FUND, L.P., 1100 CHIQUITA CENTER, 250 EAST 5TH STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
STOCKHOLDER |
7. Percentage of votes |
0.76 |
8. Percentage of total assets (equity debt plus) |
0.76 |
1. Name and Address |
DIMENSIONAL FUND ADVISORS, INC., 1299 OCEAN AVENUE, 11TH FLOOR, SANTA MONICA, CA 90401 |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
STOCKHOLDER |
7. Percentage of votes |
8.59 |
8. Percentage of total assets (equity debt plus) |
8.59 |
1. Name and Address |
T. ROWE PRICE ASSOCIATES, INC., 100 EAST PRATT STREET, BALTIMORE, MAD 21202 |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
STOCKHOLDER |
7. Percentage of votes |
5.06 |
8. Percentage of total assets (equity debt plus) |
5.06 |
1. Name and Address |
RILEY INVESTMENT MANAGEMENT, LLC, JOHN J. AHN, 11100 SANTA MONICA BLVD., SUITE 810, LOS ANGELES, CA 90025 |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
STOCKHOLDER |
7. Percentage of votes |
10.31 |
8. Percentage of total assets (equity debt plus) |
10.31 |
1. Name and Address |
PALMYRA CAPITAL ADVISORS, LLC, 11111 SANTA MONICA BLVD., SUITE 1100, LOS ANGELES, CA 90025 |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
STOCKHOLDER |
7. Percentage of votes |
6.19 |
8. Percentage of total assets (equity debt plus) |
6.19 |
1. Name and Address |
WILLIAM L. STAKELIN, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR, STOCKHOLDER |
7. Percentage of votes |
1.32 |
8. Percentage of total assets (equity debt plus) |
1.32 |
1. Name and Address |
MATTHEW A. YEOMAN, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
VICE PRESIDENT OPERATIONS, STOCKHOLDER |
7. Percentage of votes |
0.05 |
8. Percentage of total assets (equity debt plus) |
0.05 |
1. Name and Address |
JOHN KING, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
SENIOR VICE PRESIDENT, OPERTIONS |
7. Percentage of votes |
0.06 |
8. Percentage of total assets (equity debt plus) |
0.06 |
1. Name and Address |
ANTHONY A. VASCONCELLOS, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
EXECUTIVE VICE PRESIDENT AND CFO, STOCKHOLDER |
7. Percentage of votes |
0.64 |
8. Percentage of total assets (equity debt plus) |
0.64 |
1. Name and Address |
JOHN H. WYANT, C/O BLUE CHIP VENTURE CAPITAL FUND, 100 CHIQUITA CENTER, 250 EAST 5TH STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
DIRECTOR/STOCKHOLDER |
7. Percentage of votes |
0.05 |
8. Percentage of total assets (equity debt plus) |
0.05 |
1. Name and Address |
*WILLIAM P. SUTTER, JR., C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THRID CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
CHAIRMAN OF THE BOARD/STOCKHOLDER |
7. Percentage of votes |
0.12 |
8. Percentage of total assets (equity debt plus) |
0.12 |
1. Name and Address |
ANDREW LEWIS, IV, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
DIRECTOR/STOCKHOLDER |
7. Percentage of votes |
0.05 |
8. Percentage of total assets (equity debt plus) |
0.05 |
1. Name and Address |
ROBERT MOODY, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
VICE PRESIDENT OF PROGRAMMING/STOCKHOLDER |
7. Percentage of votes |
0.01 |
8. Percentage of total assets (equity debt plus) |
0.01 |
1. Name and Address |
ROBERT E. ALLEN, JR., C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
VICE PRESIDENT, FINANCE & ACCOUNTING, TREASURER, STOCKHOLDER |
7. Percentage of votes |
0.07 |
8. Percentage of total assets (equity debt plus) |
0.07 |
1. Name and Address |
DAVID J. REMUND, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
VICE PRESIDENT OF ENGINEERING/STOCKHOLDER |
7. Percentage of votes |
0.06 |
8. Percentage of total assets (equity debt plus) |
0.06 |
1. Name and Address |
TIMOTHY M. MOONEY, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
DIRECTOR/STOCKHOLDER |
7. Percentage of votes |
0.06 |
8. Percentage of total assets (equity debt plus) |
0.06 |
1. Name and Address |
ROBERT A. AUSFELD, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
REGIONAL VICE PRESIDENT |
7. Percentage of votes |
0.04 |
8. Percentage of total assets (equity debt plus) |
0.04 |
1. Name and Address |
MICHAEL GRIMSLEY, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
REGEIONAL VICE PRESIDENT/STOCKHOLDER |
7. Percentage of votes |
0.06 |
8. Percentage of total assets (equity debt plus) |
0.06 |
1. Name and Address |
GINGER A. SCHERBARTH, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Female
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
SECRETARY/STOCKHOLDER |
7. Percentage of votes |
0.04 |
8. Percentage of total assets (equity debt plus) |
0.04 |
1. Name and Address |
*WILLIAM P. SUTER, JR'S PERCENTAGE INTEREST INCLUDES A .004797% INTEREST ATTRIBUTABLE TO SHARES HELD BY MR. SUTTER'S TWO MINOR CHILDREN |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
N/A |
7. Percentage of votes |
0.00 |
8. Percentage of total assets (equity debt plus) |
0.00 |
1. Name and Address |
JOHN F. DELORENZO, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
DIRECTOR AND STOCKHOLDER |
7. Percentage of votes |
0.03 |
8. Percentage of total assets (equity debt plus) |
0.03 |
1. Name and Address |
JOHN J. AHN, 11100 SANTA MONICA BLVD., SUITE 810, LOS ANGELES, CA 90025 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
DIRECTOR AND STOCKHOLDER |
7. Percentage of votes |
0.06 |
8. Percentage of total assets (equity debt plus) |
0.06 |
1. Name and Address |
DON A. SANDERS, 600 TRAVIS, SUITE 3100, HOUSTON, TX 77002 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
STOCKHOLDER |
7. Percentage of votes |
6.73 |
8. Percentage of total assets (equity debt plus) |
6.73 |
|
(b) |
Respondent certifies that equity and financial interests not set forth in response to Question 9(a) are non-attributable. |
Yes No
N/A
See Explanation in
[Exhibit 2]
|
(c) |
Is the respondent or any party holding an attributable interest in the respondent also the holder of an attributable interest in any other broadcast station or in any cable or newspaper entities in the same market or with overlapping signals in the same broadcast service, as described in 47 C.F.R. Sections 73.3555 and 76.501? |
Yes No |
If "Yes", submit an Exhibit identifying the holder of that other attributable interest, listing the call signs, locations and facilities identifiers of such other broadcast stations, and describing the nature and size of the ownership interest and the positions held in the other broadcast, cable or newspaper entities. |
[Exhibit 3] |
(d) |
Are any of the individuals listed in response to Question 9(a) related as parent-child, husband-wife, brothers and sisters?
|
Yes No
|
|
If "Yes", submit an Exhibit setting forth full information as to the family relationship
|
[Exhibit 4]
|
(e) |
Is respondent seeking an attribution exemption for any officer or director with duties unrelated to the licensee or permittee?
If "Yes", submit an Exhibit identifying that individual by name and title, fully describing that individual's duties and responsibilities, and explaining why that individual should not be attributed an interest.
|
Yes No
[Exhibit 5]
|
|