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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

_________________

 

FORM T-3

 

FOR APPLICATION FOR QUALIFICATION OF INDENTURE

UNDER THE TRUST INDENTURE ACT OF 1939

 

_________________

 

NORTEK, INC.

(Issuer)

 

AIGIS MECHTRONICS, INC.

BROAN-MEXICO HOLDINGS, INC.

BROAN-NUTONE LLC

BROAN-NUTONE STORAGE SOLUTIONS LP

CES GROUP, INC.

CES INTERNATIONAL LTD.

CLEANPAK INTERNATIONAL, INC.

ELAN HOME SYSTEMS, L.L.C.

GEFEN, INC.

GOVERNAIR CORPORATION

GTO, INC.

HC INSTALLATIONS, INC.

HOMELOGIC LLC

HUNTAIR, INC.

INTERNATIONAL ELECTRONICS LLC

LINEAR LLC

LITETOUCH, INC.

MAGENTA RESEARCH LTD.

MAMMOTH-WEBCO, INC.

NILES AUDIO CORPORATION

NORDYNE INC.

NORDYNE INTERNATIONAL, INC.

NORTEK INTERNATIONAL, INC.

NUTONE LLC

OMNIMOUNT SYSTEMS, INC.

OPERATOR SPECIALTY COMPANY, INC.

PACIFIC ZEPHYR RANGE HOOD, INC.

PANAMAX INC.

 


RANGAIRE GP, INC.

RANGAIRE LP, INC.

SECURE WIRELESS, INC.

SPEAKERCRAFT, INC.

TEMTROL, INC.

XANTECH CORPORATION

ZEPHYR CORPORATION

(Guarantors)

 

(Names of Applicants)

 

50 Kennedy Plaza

Providence, Rhode Island 02903-2360

(Address of Principal Executive Offices)

 

Securities to be Issued Under the Indenture to be Qualified

 

_________________

 

Title of Class

 

Amount

11% Senior Secured Notes due 2013

 

Approximately $750.0 million aggregate principal amount

 

Approximate date of proposed public offering: As soon as practicable after the date of the Effective Date under the Plan of Reorganization.

 

Name and Address of Agent for Service:

 

With a copy to:

 

 

 

Kevin W. Donnelly, Esq.

 

Matthew D. Bloch, Esq.

Vice President, General Counsel and Secretary

 

David P. Murgio, Esq.

Nortek, Inc.

 

Weil, Gotshal & Manges LLP

50 Kennedy Plaza

 

767 Fifth Avenue

Providence, RI 02903-2360

 

New York, NY 10153

(401) 751-1600

 

(212) 310-8000

 

_________________

 

The Applicants hereby amend this application for qualification on such date or dates as may be necessary to delay its effectiveness until (i) the 20th day after the filing of an amendment which specifically states that it shall supersede this Application for Qualification, or (ii) such date as the Securities and Exchange Commission, acting pursuant to Section 307(c) of the Trust Indenture Act of 1939, may determine upon the written request of the Applicants.

 

 

 

 



                                                                                           

 

 

2

 


 

GENERAL

 

1. GENERAL INFORMATION.

 

(a) Form of organization:

 

Applicant

 

Form of Organization

 

Jurisdiction of Organization

Nortek, Inc. (the “Company”)

 

Corporation

 

Delaware

Aigis Mechtronics, Inc.

 

Corporation

 

Delaware

Broan-Mexico Holdings, Inc.

 

Corporation

 

Delaware

Broan-NuTone LLC

 

Limited Liability Company

 

Delaware

Broan-NuTone Storage Solutions LP

 

Limited Partnership

 

Delaware

CES Group, Inc.

 

Corporation

 

Delaware

CES International Ltd.

 

Corporation

 

Delaware

Cleanpak International, Inc.

 

Corporation

 

Delaware

Elan Home Systems, L.L.C.

 

Limited Liability Company

 

Kentucky

Gefen, Inc.

 

Corporation

 

California

Governair Corporation

 

Corporation

 

Oklahoma

GTO, Inc.

 

Corporation

 

Florida

HC Installations, Inc.

 

Corporation

 

Delaware

HomeLogic LLC

 

Limited Liability Company

 

Delaware

Huntair, Inc.

 

Corporation

 

Delaware

International Electronics LLC

 

Limited Liability Company

 

Massachusetts

Linear LLC

 

Limited Liability Company

 

California

LiteTouch, Inc.

 

Corporation

 

Utah

Magenta Research Ltd.

 

Corporation

 

Connecticut

Mammoth-Webco, Inc.

 

Corporation

 

Delaware

Niles Audio Corporation

 

Corporation

 

Delaware

Nordyne Inc.

 

Corporation

 

Delaware

NORDYNE International, Inc.

 

Corporation

 

Delaware

Nortek International, Inc.

 

Corporation

 

Delaware

NuTone, LLC

 

Limited Liability Company

 

Delaware

OmniMount Systems, Inc.

 

Corporation

 

Arizona

Operator Specialty Company, Inc.

 

Corporation

 

Michigan

Pacific Zephyr Range Hood, Inc.

 

Corporation

 

California

Panamax Inc.

 

Corporation

 

California

Rangaire GP, Inc.

 

Corporation

 

Delaware

Rangaire LP, Inc.

 

Corporation

 

Delaware

Secure Wireless, Inc.

 

Corporation

 

California

SpeakerCraft, Inc.

 

Corporation

 

Delaware

Temtrol, Inc.

 

Corporation

 

Oklahoma

Xantech Corporation

 

Corporation

 

California

Zephyr Corporation

 

Corporation

 

California

 

(b) State or other sovereign power under which organized:

 

See the information provided in response to Section 1(a).

 

Except for the Company, each of the foregoing entities shall be referred to herein collectively as the “Guarantors”.  The Company and the Guarantors shall be referred to herein collectively as the “Applicants”.

 

 

                                                                                           

 

3

 


2. SECURITIES ACT EXEMPTION APPLICABLE.

 

Nortek Inc.’s (the “Company’s”) senior secured notes due 2013 (the “New Notes”), to be issued under the indenture to be qualified hereby (the “Indenture”), will be offered to holders of the Company’s 10% Senior Secured Notes due 2013 (the “Old Notes”), pursuant to the terms of the plan of reorganization of NTK Holdings, Inc. (“NTK Holdings”) and its debtor subsidiaries, including the Company (the “Plan of Reorganization”), under Chapter 11 of Title 11 of the United States Code (the “Bankruptcy Code”).  The Plan of Reorganization will become effective on the date on which all conditions to consummation of the Plan of Reorganization have been satisfied or waived (the “Effective Date”). The New Notes are being offered in exchange for all outstanding Old Notes at the exchange ratio of $1,000 principal amount of the New Notes for each $1,000 principal amount of the Old Notes. The terms of the Plan of Reorganization are contained in the Disclosure Statement dated September 18, 2009 attached hereto as Exhibit T3E.1.

 

The issuance of the New Notes is exempt from registration under the Securities Act of 1933, as amended (the “Securities Act”), pursuant to the exemption provided by Section 1145(a)(1) of the Bankruptcy Code. Section 1145(a)(1) of the Bankruptcy Code exempts an offer and sale of securities under a plan of reorganization from registration under the Securities Act and state securities laws if three principal requirements are satisfied: (i) the securities must be offered and sold under a plan of reorganization and must be securities of the debtor, an affiliate participating in a joint plan with the debtor or a successor to the debtor under the plan; (ii) the recipients of the securities must hold a prepetition or administrative expense claim against the debtor or an interest in the debtor; and (iii) the securities must be issued entirely in exchange for the recipient’s claim against or interest in the debtor, or principally in such exchange and partly for cash or property. The Applicants believe that the issuance of the New Notes to the holders of Old Notes will satisfy the aforementioned requirements.

 

AFFILIATIONS

 

3. AFFILIATES.

 

The following is a list of affiliates of the Applicants as of the date of this Application for Qualification.

 

Company Name

 

Jurisdiction of
Formation

 

Owner

 

Percentage

 

THL-Nortek Investors LLC

 

Delaware

 

Private investors1

 

 

 

NTK Holdings, Inc.

 

Delaware

 

THL-Nortek Investors LLC

 

100%

 

Nortek Holdings, Inc.

 

Delaware

 

NTK Holdings, Inc.

 

100%

 

Nortek, Inc.

 

Delaware

 

Nortek Holdings, Inc.

 

100%

 

Aigis Mechtronics, Inc.

 

Delaware

 

Linear LLC

 

100%

 

Best Deutschland GmbH

 

Germany

 

Best S.P.A.

 

100%

 

Best France S.A.

 

France

 

Best S.P.A.

 

100%

 

Best Poland S.p.zo.o.

 

Poland

 

Best S.P.A.

 

100%

 

Best S.P.A.

 

Italy

 

Nortek (UK) Limited
Elektromec S.p.A.

 

99.9956%
0.0044%

 

Broan Building Products (Huizhou) Co., Ltd.

 

China

 

Broan-NuTone LLC

 

100%

 

Broan Building Products-Mexico, S. de R.L. de C.V.

 

Mexico

 

Broan-Mexico Holdings, Inc.
Nortek International, Inc.

 

99.96%
0.04%

 

Broan-Mexico Holdings, Inc.

 

Delaware

 

Nortek, Inc.

 

100%

 

Broan-NuTone (HK) Limited

 

Hong Kong

 

Broan-NuTone LLC

 

100%

 

Broan-NuTone Canada, Inc.

 

Ontario, Canada

 

Nortek International Holdings B.V.

 

100%

 

Broan-NuTone LLC

 

Delaware

 

Nortek, Inc.
NuTone LLC

 

70.00%
30.00%

 

_________________________

 See Item 5(a)(1)(C) for a list of persons who may be deemed to be “affiliates” of the Applicants by virtue of their holdings of the voting securities of the Investors LLC.

 

 

                                                                                           

 

4

 


 

Broan-NuTone Storage Solutions LP

 

Delaware

 

Rangaire LP, Inc.
Rangaire GP, Inc.

 

99.00%
1.00%

 

CES Group, Inc.

 

Delaware

 

Nordyne Inc.

 

100%

 

CES International Ltd.

 

Delaware

 

Mammoth-Webco, Inc.

 

100%

 

Cleanpak International, Inc.

 

Delaware

 

CES Group, Inc.

 

100%

 

Combi Parts S.r.l.

 

Italy

 

Best S.P.A.
Nortek (UK) Limited

 

99.00%
1.00%

 

Eaton-Williams (Millbank) Limited

 

United Kingdom

 

Eaton-Williams Group Limited

 

100%

 

Eaton-Williams Exports Limited

 

United Kingdom

 

Eaton-Williams Group Limited

 

100%

 

Eaton-Williams Group Limited

 

United Kingdom

 

Eaton-Williams Limited

 

100%

 

Eaton-Williams Holdings Limited

 

United Kingdom

 

Nortek (UK) Limited

 

100%

 

Eaton-Williams Limited

 

United Kingdom

 

Eaton-Williams Holdings Limited

 

100%

 

Eaton-Williams Products Limited

 

United Kingdom

 

Eaton-Williams Group Limited

 

100%

 

Eaton-Williams Service Limited

 

United Kingdom

 

Eaton-Williams Group Limited

 

100%

 

Edenaire Limited

 

United Kingdom

 

Eaton-Williams Group Limited

 

100%

 

Elan Home Systems, L.L.C.

 

Kentucky

 

Linear LLC

 

100%

 

Elektromec S.p.A.

 

Italy

 

Nortek (UK) Limited
Best S.p.A.

 

99.99%
0.01%

 

Fidelity Investment Co.

 

Rhode Island

 

Nortek, Inc.

 

100%

 

Gefen, Inc.

 

California

 

Linear LLC

 

100%

 

Governair Corporation

 

Oklahoma

 

CES Group, Inc.

 

100%

 

GTO, Inc.

 

Florida

 

Linear LLC

 

100%

 

HC Installations, Inc.

 

Delaware

 

Huntair, Inc.

 

100%

 

Home Touch Lighting Systems, LLC

 

Utah

 

LiteTouch, Inc.

 

100%

 

HomeLogic LLC

 

Delaware

 

Elan Home Systems, L.L.C.

 

100%

 

Huntair, Inc.

 

Delaware

 

CES Group, Inc.

 

100%

 

Imerge Limited

 

United Kingdom

 

Nortek (UK) Limited

 

100%

 

Innergy Tech Inc.

 

Quebec

 

Venmar Ventilation Inc.

 

100%

 

International Electronics LLC

 

Massachusetts

 

Linear LLC

 

100%

 

Linear Canada Holdings, Inc.

 

Delaware

 

Linear LLC

 

100%

 

Linear Electronics of Canada, Ltd.

 

Canadian Federal

 

Linear Canada Holdings, Inc.

 

100%

 

Linear H.K. LLC

 

Delaware

 

Nortek (UK) Limited

 

100%

 

Linear H.K. Manufacturing, Limited

 

Hong Kong

 

Nortek Holding B.V.
Linear H.K. LLC

 

99.99%

0.01%

 

Linear LLC

 

California

 

Nortek, Inc.

 

100%

 

LiteTouch, Inc.

 

Utah

 

Linear LLC

 

100%

 

Magenta Research Ltd.

 

Connecticut

 

Linear LLC

 

100%

 

Mammoth-Webco, Inc.

 

Delaware

 

CES Group, Inc.

 

100%

 

Miller de Mexico S.A. de R.L. de C.V.

 

Mexico

 

NORDYNE International, Inc.
Nordyne Inc.

 

99.00%
1.00%

 

Niles Audio Corporation

 

Delaware

 

Linear LLC

 

100%

 

Nordyne de Puerto Rico, LLC

 

Puerto Rico

 

NORDYNE International, Inc.

 

100%

 

Nordyne Inc.

 

Delaware

 

Nortek, Inc.

 

100%

 

NORDYNE International, Inc.

 

Delaware

 

Nordyne Inc.

 

100%

 

Nortek (UK) Limited

 

United Kingdom

 

Nortek Holding B.V.

 

100%

 

Nortek Holding B.V.

 

The Netherlands

 

Nortek International Holdings B.V.

 

100%

 

Nortek International Holdings B.V.

 

The Netherlands

 

Nortek International, Inc.

 

100%

 

Nortek International, Inc.

Delaware

Nortek, Inc.
Linear LLC

72.00%
28.00%

 

 

                                                                                           

 

5

 


 

 

 

 

 

 

 

 

 

Nortek Trading, Ltd.

 

British Virgin Island

 

Nortek International, Inc.

 

100%

 

NuTone LLC

 

Delaware

 

Nortek, Inc.

 

100%

 

OmniMount Systems, Inc.

 

Arizona

 

Linear LLC

 

100%

 

Operator Specialty Company, Inc.

 

Michigan

 

Linear LLC

 

100%

 

Pacific Zephyr Range Hood, Inc.

 

California

 

Broan-NuTone LLC

 

100%

 

Panamax Inc.

 

California

 

Linear LLC

 

100%

 

Precision Air Control Limited

 

United Kingdom

 

Eaton-Williams Group Limited

 

100%

 

Rangaire GP, Inc.

 

Delaware

 

Broan-NuTone LLC

 

100%

 

Rangaire LP, Inc.

 

Delaware

 

Broan-NuTone LLC

 

100%

 

Ring Brothers Corporation

 

California

 

Nortek, Inc.

 

100%

 

Secure Wireless, Inc.

 

California

 

Linear LLC

 

100%

 

SpeakerCraft, Inc.

 

Delaware

 

Linear LLC

 

100%

 

Stilpol SP. Zo.O.

 

Poland

 

Best S.P.A.

 

100%

 

Temtrol, Inc.

 

Oklahoma

 

CES Group, Inc.

 

100%

 

Vapac Humidity Control Limited

 

United Kingdom

 

Eaton-Williams Group Limited

 

100%

 

Venmar CES, Inc.

 

Saskatchewan, Canada

 

Venmar Ventilation Inc.

 

100%

 

Venmar Ventilation (H.D.H.) Inc.

 

Quebec, Canada

 

Venmar Ventilation Inc.

 

100%

 

Venmar Ventilation Inc.

 

Quebec, Canada

 

Broan-NuTone Canada, Inc.

 

100%

 

Ventrol Air Handling Systems Inc.

 

Quebec, Canada

 

CES Group, Inc.

 

100%

 

Xantech Corporation

 

California

 

Linear LLC

 

100%

 

Zephyr Corporation

 

California

 

Broan-NuTone LLC

 

100%

 

 

Except with respect to THL-Nortek Investors LLC and NTK Holdings, Inc., the Company expects all of the entities listed above to exist upon consummation of the Plan of Reorganization. The Company expects NTK Holdings, Inc. to be dissolved or converted to a limited liability company upon consummation of the Plan of Reorganization. In addition, Nortek Holdings Inc. and its parent entities will cease to beneficially own any equity interests in the Company and will cease to be “affiliates” of the Company, including THL-Nortek Investors LLC.

 

Certain directors and officers of the Applicants may be deemed to be “affiliates” of the Applicants by virtue of their positions with the Applicants.  See Item 4, “Directors and Executive Officers.”

 

Certain persons may be deemed to be “affiliates of the Applicants commencing on the Effective Date by virtue of their anticipated holdings of voting securities of the Applicants to be distributed pursuant to the Plan of Reorganization. See Item 5, “Principal Owners of Voting Securities.”

 

MANAGEMENT AND CONTROL

 

4. DIRECTORS AND EXECUTIVE OFFICERS.

 

The following tables list the names and offices held by all directors and executive officers of the Applicants as of the date of this application.

 

The Company

 

The directors and executive officers of the Company are the following individuals, who, except as specified, are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. New directors of the Company will be designated on the Effective Date in accordance with the applicable provisions of the Plan of Reorganization. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: c/o Nortek, Inc., 50 Kennedy Plaza, Providence, RI 02903-2360.

 

Name

 

Office

Richard L. Bready

 

Chairman, President and Chief Executive Officer

Almon C. Hall

 

Vice President and Chief Financial Officer

 

                                                                                           

 

6

 


 

Kevin W. Donnelly

 

Vice President, General Counsel and Secretary

Edward J. Cooney

 

Vice President and Treasurer

Thomas H. Dougherty

 

Vice President – Special Projects

Bruce E. Fleming

 

Vice President – Corporate Development

Theodore F. Martin

 

Vice President, Controller

Andrew W. Prete

 

Assistant Secretary

Jeffrey C. Bloomberg

 

Director (to resign at or prior to the Effective Date)

Joseph M. Cianciolo

 

Director (to resign at or prior to the Effective Date)

Anthony J. DiNovi

 

Director (to resign at or prior to the Effective Date)

David V. Harkins

 

Director (to resign at or prior to the Effective Date)

David B. Hiley

 

Director (to resign at or prior to the Effective Date)

Kent R. Weldon

 

Director (to resign at or prior to the Effective Date)

 

The Guarantors

 

The directors and executive officers of Aigis Mechtronics, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 1124 Louise Road, Winston-Salem, NC 27107-5450.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

R. Keith Todd

 

President

Kevin W. Donnelly

 

Vice President and Secretary

Bradley L. Kauffman

 

Vice President Operations

Charles E. Monts

 

Vice President

Donald L. Myers

 

Vice President Finance

Andrew W. Prete

 

Assistant Secretary

Grant D. Rummell

 

Vice President

 

The directors and executive officers of Broan-Mexico Holdings, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: c/o Broan-NuTone LLC, 926 West State Street, Hartford, WI 53027.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

David L. Pringle

 

President

Kevin W. Donnelly

 

Vice President and Secretary

Andrew W. Prete

 

Assistant Secretary

 

The executive officers of Broan-NuTone LLC are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 926 West State Street, Hartford, WI 53027.

 

Name

 

Office

David L. Pringle

 

President and Chief Executive Officer

David T. Baumann

 

Vice President and Controller

James D. Boldt

 

Group Vice President of Engineering

Richard L. Bready

Vice President

Edward J. Cooney

Vice President and Treasurer

Kevin W. Donnelly

Vice President and Secretary

 

 

                                                                                           

 

7

 


 

Eliot Duncan

 

Group Vice President of Product Safety

George P. Ebner

 

Vice President Sales – Wholesale

Robert N. Guiette

 

Vice President

Scott Kirkendall

 

Vice President of Retail Sales

John Lewis

 

Group Vice President of Operations

Wayne H. Losinske

 

Vice President of Marketing

John M. Pendergast

 

Group Senior Vice President and Chief Financial Officer

Andrew W. Prete

 

Assistant Secretary

Warren Simmons

 

Group Vice President, Supply Chain Management

Stephen K. Swenerton

 

Group Senior Vice President of Marketing and Retail Sales

 

The executive officers of Broan-NuTone Storage Solutions LP are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 501 S. Wilhite, Cleburne, TX 76033.

 

Name

 

Office

Steven J. Quinette

 

President

Richard L. Bready

 

Vice President

Edward J. Cooney

 

Vice President and Treasurer

Kevin W. Donnelly

 

Vice President and Secretary

John Lewis

 

Vice President of Operations

Andrew W. Prete

 

Assistant Secretary

David L. Pringle

 

Vice President

 

The directors and executive officers of CES Group, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 13200 Pioneer Trail, Eden Prairie, MN 55347-4125.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

Eric Roberts

 

President

Brian J. Smith

 

Chief Financial Officer

Kevin W. Donnelly

 

Vice President and Secretary

Andrew W. Prete

 

Assistant Secretary

 

The directors and executive officers of CES International Ltd. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: c/o CES Group, Inc., 13200 Pioneer Trail, Eden Prairie, MN 55347-4125.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

Eric Roberts

 

President

Kevin W. Donnelly

 

Vice President and Secretary

Andrew W. Prete

 

Assistant Secretary

Brian J. Smith

 

Vice President, Finance

 

The directors and executive officers of Cleanpak International, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 11555 SW Myslony Street, Tualatin, OR 97062.

                                                                                           

 

8

 


 

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

David E. Benson

 

President

John E. Albert

 

Vice President and Chief Operating Officer

Kevin W. Donnelly

 

Vice President and Secretary

Andrew W. Prete

 

Assistant Secretary

 

The executive officers of Elan Home Systems, L.L.C. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 1300 New Circle Road, Suite 150, Lexington, KY 40505-4259.

 

Name

 

Office

Robert P. Farinelli, Jr.

 

President

Grant D. Rummell

 

Chief Executive Officer

Paul E. Starkey

 

Executive Vice President – Sales and Marketing

Richard L. Bready

 

Vice President

Edward J. Cooney

 

Vice President and Treasurer

K. Jeffrey Dillender

 

Vice President, Operations

Kevin W. Donnelly

 

Vice President and Secretary

Timothy W. Dygert

 

Vice President, Systems Engineering

Charles E. Monts

 

Vice President Finance

Andrew W. Prete

 

Assistant Secretary

Kenneth S. Salyer

 

Vice President of Product Engineering/MIS

 

The directors and executive officers of Gefen, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 10600 Nordhoff Street, Chatsworth, CA 91311.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

Hagai Gefen

 

President and Chief Executive Officer

Kevin W. Donnelly

 

Vice President and Secretary

Charles E. Monts

 

Vice President – Finance

Andrew W. Prete

 

Assistant Secretary

Uri Ram

 

Senior Vice President

Grant D. Rummell

 

Vice President

 

The directors and executive officers of Governair Corporation are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 4841 North Sewell, Oklahoma City, OK 73118.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

Eric Roberts

 

President

Kevin W. Donnelly

Vice President and Secretary

Jeff S. Forman

Vice President and General Manager

Andrew W. Prete

Assistant Secretary

William Taylor

Controller

 

 

                                                                                           

 

9

 


 

 

The directors and executive officers of GTO, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 3121 Hartsfield Road, Tallahassee, FL 32303.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

Joseph A. Kelley

 

President

Grant D. Rummell

 

Chief Executive Officer

Darryl Beadle

 

Vice President Operations and Research and Development

Kevin W. Donnelly

 

Vice President and Secretary

Robert Gill

 

Vice President Human Resources and Technical Service

Adam Marshall

 

Vice President Procurement and Logistics

Charles E. Monts

 

Vice President – Finance

Kevin Peaden

 

Vice President, Sales

Andrew W. Prete

 

Assistant Secretary

 

The directors and executive officers of HC Installations, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: c/o Huntair, Inc., 11555 SW Myslony Street, Tualatin, OR 97062.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

Eric Roberts

 

President

Kevin W. Donnelly

 

Vice President and Secretary

Andrew W. Prete

 

Assistant Secretary

Brian J. Smith

 

Vice President, Finance

 

The executive officers of HomeLogic LLC are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 100 Hoods Lane, Marblehead, MA 01945.

 

Name

 

Office

Robert P. Farinelli, Jr.

 

President

Richard L. Bready

 

Vice President

Edward J. Cooney

 

Vice President and Treasurer

Kevin W. Donnelly

 

Vice President and Secretary

Marvin H. Duncan, Jr.

 

Vice President of Operations

James S. Herman, Jr.

 

Vice President and General Manager

Joseph W. Lautner

 

Vice President of Sales and Marketing

Charles E. Monts

 

Vice President Finance

Andrew W. Prete

 

Assistant Secretary

Grant D. Rummell

 

Vice President

 

The directors and executive officers of Huntair, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 11555 SW Myslony Street, Tualatin, OR 97062.

                                                                                           

 

10

 


 

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

David E. Benson

 

President

John E. Albert

 

Vice President and Chief Operating Officer

Kevin W. Donnelly

 

Vice President and Secretary

Andrew W. Prete

 

Assistant Secretary

 

The executive officers of International Electronics LLC are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: c/o Linear LLC, 1950 Camino Vida Roble, Carlsbad, CA 92008.

 

Name

 

Office

Richard L. Bready

 

Vice President

Edward J. Cooney

 

Vice President and Treasurer

Grant D. Rummell

 

President

Kevin W. Donnelly

 

Vice President and Secretary

Charles E. Monts

 

Vice President – Finance

Andrew W. Prete

 

Assistant Secretary

 

The executive officers of Linear LLC are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 1950 Camino Vida Roble, Carlsbad, CA 92008.

 

Name

 

Office

Grant D. Rummell

 

Chairman and Chief Executive Officer

Dan C. Stottlemyre

 

President

Gary S. Baker

 

Vice President Marketing

Richard L. Bready

 

Vice President

Terry Cain

 

Vice President Supply Chain Operations

Edward J. Cooney

 

Vice President and Treasurer

Kevin W. Donnelly

 

Vice President and Secretary

Bruce J. Ehlers

 

Vice President – Engineering

Larry M. Foisie

 

Vice President Sales, Entry Systems

Todd W. Hokunson

 

Vice President of Sales, Electronic Systems

Bradley E. Koga

 

Vice President Controller

Charles E. Monts

 

Vice President – Finance

Andrew W. Prete

 

Assistant Secretary

 

The directors and executive officers of LiteTouch, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 3400 S. West Temple, Salt Lake City, UT 84115.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

John R. Worden

 

President

Fred Bolingbroke

Vice President – Finance

Kevin W. Donnelly

Vice President and Secretary

Angela Larson

Vice President of Sales and Marketing

Charles E. Monts

Vice President

Andrew W. Prete

Assistant Secretary

Grant D. Rummell

Vice President

 

 

                                                                                           

 

11

 


 

 

The directors and executive officers of Magenta Research Ltd. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 128 Litchfield Road, New Milford, CT 06776.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

Robert H. Michaels

 

President

Grant D. Rummell

 

Executive Vice President

Kevin W. Donnelly

 

Vice President and Secretary

Tullio Gatti

 

Vice President – Finance

Charles E. Monts

 

Vice President

Andrew W. Prete

 

Assistant Secretary

 

The directors and executive officers of Mammoth-Webco, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: c/o CES Group, Inc., 13200 Pioneer Trail, Eden Prairie, MN 55347-4125.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

Eric Roberts

 

President

Kevin W. Donnelly

 

Vice President and Secretary

William R. Haugh

 

Vice President – General Manager

Andrew W. Prete

 

Assistant Secretary

Brian J. Smith

 

Vice President, Finance

 

The directors and executive officers of Niles Audio Corporation are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 12331 S.W. 130 Street, Miami, FL 33186.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

Frank Sterns

 

President

Marcos Alonso

 

Vice President and Chief Financial Officer

Grant D. Rummell

 

Chief Executive Officer

Michael Detmer

 

Vice President- Sales and Marketing

Kevin W. Donnelly

 

Vice President and Secretary

Charles E. Monts

 

Vice President – Finance

Andrew W. Prete

 

Assistant Secretary

 

The directors and executive officers of Nordyne Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 8000 Phoenix Parkway, O'Fallon, MO 63366.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

David J. LaGrand

 

President and Chief Executive Officer

 

 

                                                                                           

 

12

 


 

 

Joseph Brandt

 

Vice President, Sales Residential and Light Commercial, Western Region and Canada

Edward P. Davies

 

Vice President, Controller

Richard De Loach

 

Vice President – Engineering

Kevin W. Donnelly

 

Vice President and Secretary

Andrew M. Fitzgerald

 

Vice President, Sales Residential and Light Commercial, Central Region

James D. Fox

 

Vice President of Sales – Manufactured Housing

Michael T. Nix

 

Vice President – Operations

Andrew W. Prete

 

Assistant Secretary

Allan J. Reifel

 

Vice President – Research and Development

 

The directors and executive officers of NORDYNE International, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 11500 N.W. 34th, Miami, FL 33178.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

Hector Henriette

 

President

Kevin W. Donnelly

 

Vice President and Secretary

David J. LaGrand

 

Vice President

Andrew W. Prete

 

Assistant Secretary

 

The directors and executive officers of Nortek International, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: c/o Nortek, Inc., 50 Kennedy Plaza, Providence, RI 02903.

 

Name

 

Office

Richard L. Bready

 

Director and President

Edward J. Cooney

 

Director and Vice President and Treasurer

Kevin W. Donnelly

 

Vice President and Secretary

 

The executive officers of NuTone LLC are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: c/o Broan-NuTone LLC, 926 West State Street, Hartford, WI 53027.

 

Name

 

Office

Richard L. Bready

 

Vice President

Edward J. Cooney

 

Vice President and Treasurer

David L. Pringle

 

President

Kevin W. Donnelly

 

Vice President and Secretary

John M. Pendergast

 

Vice President

Joseph A. Podawiltz

 

Vice President

Andrew W. Prete

 

Assistant Secretary

 

The directors and executive officers of OmniMount Systems, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 8201 S. 48th Street, Phoenix, AZ 85044.

                                                                                           

 

13

 


 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

Geoff Miller

 

President

Grant D. Rummell

 

Chief Executive Officer

Raymond T. Nakano

 

Executive Vice President and Chief Financial Officer

Kevin W. Donnelly

 

Vice President and Secretary

Charles E. Monts

 

Vice President – Finance

Andrew W. Prete

 

Assistant Secretary

Alexander Robertson

 

Senior Vice President of Sales and Marketing

Brett Stenhouse

 

Vice President of Sourcing and New Business Development

 

The directors and executive officers of Operator Specialty Company, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 19 Railroad Street, Casnovia, MI 49318.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

Dan C. Stottlemyre

 

President

Grant D. Rummell

 

Chief Executive Officer

Kevin W. Donnelly

 

Vice President and Secretary

Larry M. Foisie

 

Vice President – Sales

Charles E. Monts

 

Vice President of Finance

Andrew W. Prete

 

Assistant Secretary

 

The directors and executive officers of Pacific Zephyr Range Hood, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 370 Townsend Street, San Francisco, CA 94107.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

Luke Siow

 

President

Kevin W. Donnelly

 

Vice President and Secretary

John M. Pendergast

 

Vice President

Andrew W. Prete

 

Assistant Secretary

David L. Pringle

 

Vice President

Alex Siow

 

Senior Vice President

Annie Siow

 

Vice President of Finance

 

The directors and executive officers of Panamax Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 1690 Corproate Circle, Petaluma, CA 94954.

 

Name

Office

Richard L. Bready

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

William E. Pollock

 

President

Grant D. Rummell

 

Chief Executive Officer

John D. Humphrey

 

Chief Financial Officer

Kevin W. Donnelly

 

Vice President and Secretary

David W. Keller

 

Senior Vice President of Sales and Marketing

 

 

                                                                                           

 

14

 


 

Charles E. Monts

 

Vice President

Douglas A. Penna

 

Vice President of Engineering

Andrew W. Prete

 

Assistant Secretary

Christopher A. Swan

 

Vice President of Operations

 

The directors and executive officers of Rangaire GP, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: c/o Broan-NuTone Storage Solutions LP, 501 S. Wilhite, Cleburne, TX 76033.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

Steven J. Quinette

 

President

Kevin W. Donnelly

 

Vice President and Secretary

John Lewis

 

Vice President of Operations

Andrew W. Prete

 

Assistant Secretary

David L. Pringle

 

Vice President

 

The directors and executive officers of Rangaire LP, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: c/o Broan-NuTone Storage Solutions LP, 501 S. Wilhite, Cleburne, TX 76033.

 

Name

 

Office

Richard L. Bready

 

Director and President

Edward J. Cooney

 

Director and Vice President and Treasurer

Kevin W. Donnelly

 

Vice President and Secretary

Andrew W. Prete

 

Assistant Secretary

 

The directors and executive officers of Secure Wireless, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 5817 Dryden Place #104, Carlsbad, CA 92008.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

Grant D. Rummell

 

Chief Executive Officer

Jeffrey Christiansen

 

Vice President – Operations

Richard Darling

 

Vice President – ABT Sales

Kevin W. Donnelly

 

Vice President and Secretary

Greg Hancock

 

Vice President – ABT Operations

Scott Matlock

 

Vice President – Sales

Charles E. Monts

 

Vice President – Finance

Andrew W. Prete

 

Assistant Secretary

George Seelman

 

Vice President – Engineering

Kevin Slatnick

 

Vice President – General Manager ABT Division

Charles D. Stevens

Vice President – General Manager

 

The directors and executive officers of SpeakerCraft, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 940 Columbia Avenue, Riverside, CA 92507.

                                                                                           

 

15

 


 

 

Name

 

Office

Richard L. Bready

 

Chairman

Edward J. Cooney

 

Director and Vice President and Treasurer

Jeremy P. Burkhardt

 

President

Grant D. Rummell

 

Chief Executive Officer

Charles E. Monts

 

Chief Financial Officer

David H. Donald

 

Vice President – Marketing

Kevin W. Donnelly

 

Vice President and Secretary

Jeffrey Francisco

 

Vice President of Product Development

Keith Marshall

 

Vice President of Proficient

Andrew W. Prete

 

Assistant Secretary

Richard E. Schnell

 

Vice President of Finance

 

The directors and executive officers of Temtrol, Inc. are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 15 East Oklahoma Avenue, Okarche, OK 73762.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

George A. Halko

 

President

Kevin W. Donnelly

 

Vice President and Secretary

Andrew J. Halko

 

Controller

Andrew W. Prete

 

Assistant Secretary

Eric Roberts

 

Vice President

 

The directors and executive officers of Xantech Corporation are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 13100 Telfair Avenue, Sylmar, CA 91342.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

Graham V. Hallett

 

President

Grant D. Rummell

 

Chief Executive Officer

Kevin W. Donnelly

 

Vice President and Secretary

Charles E. Monts

 

Vice President – Finance

Donald L. Mosandle

 

Vice President of Operations

Andrew W. Prete

 

Assistant Secretary

 

The directors and executive officers of Zephyr Corporation are the following individuals, who are expected to continue in office, in accordance with the Plan of Reorganization, immediately following the Effective Date. Unless otherwise stated in the table, the mailing address for each of the individuals listed in the table below is: 2277 Harbor Bay Parkway, Alameda, CA 94502.

 

Name

 

Office

Richard L. Bready

 

Director and Vice President

Edward J. Cooney

 

Director and Vice President and Treasurer

Luke Liow

 

President

Kevin W. Donnelly

 

Vice President and Secretary

Gilbert Ligh

 

Vice President of Operations

John M. Pendergast

 

Vice President

Andrew W. Prete

 

Assistant Secretary

 

 

                                                                                           

 

16

 


 

David L. Pringle

 

Vice President

Alex Siow

 

Senior Vice President

Annie Siow

 

Vice President of Finance

Dean Striler

 

Vice President of Sales

 

5. PRINCIPAL OWNERS OF VOTING SECURITIES.

 

(a) The following tables set forth, as of September 8, 2009, certain information regarding each person known by the Applicants to beneficially own 10 percent or more of the respective voting securities of the Applicants:

 

(1)  The Company

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Nortek Holdings, Inc.
50 Kennedy Plaza, Providence, RI 02903-2360

Common Stock

3,000

100%

 

(A) The following table sets forth, as of September 8, 2009, certain information regarding each person that owns 10 percent or more of Nortek Holdings, Inc.’s voting securities:

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

NTK Holdings, Inc.
50 Kennedy Plaza, Providence, RI 02903-2360

Common Stock

3,000

100%

 

(B) The following table sets forth, as of September 8, 2009, certain information regarding each person that owns 10 percent or more of NTK Holdings, Inc.’s voting securities:

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

THL-Nortek Investors LLC
100 Federal Street, Boston, MA 02110

Common Stock

3,000

100%

 

(C) The following table sets forth, as of September 8, 2009, certain information regarding each person that owns 10 percent or more of THL-Nortek Investors LLC’s voting securities:

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Thomas H. Lee Partners L.P. and affiliates(1)

Class B Units

360,800.02

76.18%

 

(1) Includes interests owned by each of Thomas H. Lee Equity Fund V, L.P., Thomas H. Lee Parallel Fund V, L.P., Thomas H. Lee Equity (Cayman) Fund V, L.P., Great-West Investors L.P., Putnam Investments Employees’ Securities Company I, LLC, Putnam Investments Employees’ Securities Company II, LLC, 1997 Thomas H. Lee Nominee Trust, and Thomas H. Lee Investors Limited Partnership. Thomas H. Lee Equity Fund V, L.P., Thomas H. Lee Parallel Fund V, L.P. and Thomas H. Lee Equity (Cayman) Fund V, L.P. are Delaware limited partnerships, whose general partner is THL Equity Advisors V, LLC, a Delaware limited liability company. Thomas H. Lee Advisors, LLC, a Delaware limited liability company, is the general partner of THL, a Delaware limited partnership, which is the sole member of THL Equity Advisors V, LLC. Thomas H. Lee Investors Limited Partnership is a Massachusetts limited partnership, whose general partner is THL Investment Management Corp., a Massachusetts corporation. The 1997 Thomas H. Lee Nominee Trust is a trust with U.S. Bank, N.A. serving as Trustee. Thomas H. Lee, a managing director of THL has voting and investment control over common shares owned of record by the 1997 Thomas H. Lee Nominee Trust. David V. Harkins, Anthony J. DiNovi and Kent R. Weldon are managing directors of THL. Each of Messrs. Harkins, DiNovi and Weldon may be deemed to beneficially own

 

17

 


member units of THL-Nortek Investors LLC held of record by Thomas H. Lee Equity Fund V, L.P., Thomas H. Lee Parallel Fund V, L.P., Thomas H. Lee Equity (Cayman) Fund V, L.P. and Thomas H. Lee Investors Limited Partnership. Each of these individuals disclaims beneficial ownership of these units except to the extent of their pecuniary interest therein. The address of Thomas H. Lee Equity Fund V, L.P., Thomas H. Lee Parallel Fund V, L.P., Thomas H. Lee Equity (Cayman) Fund V, L.P., Thomas H. Lee Investors Limited Partnership, the 1997 Thomas H. Lee Nominee Trust, Anthony J. DiNovi, David V. Harkins and Kent R. Weldon is 100 Federal Street, Boston, MA 02110. Great-West Investors L.P., Putnam Investments Employees’ Securities Company I, LLC and Putnam Investments Employees’ Securities Company II, LLC each disclaims beneficial ownership of any securities other than the securities held directly by such entity. The address for the Putnam entities is One Post Office Square, Boston, MA 02109.

 

(2) Aigis Mechtronics, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Linear LLC
1950 Camino Vida Roble

Suite 150

Carlsbad, CA

Common Stock

100

100%

 

(3) Broan-Mexico Holdings, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Nortek, Inc.
50 Kennedy Plaza
Providence, RI 02903-2360

Common Stock

100

100%

 

(4) Broan-NuTone LLC

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Nortek, Inc.
50 Kennedy Plaza
Providence, RI 02903-2360

Membership Interest

N/A

70%

NuTone LLC
c/o Broan-NuTone LLC

926 West State Street

Hartford, WI 53027

Membership Interest

N/A

30%

 

(5) Broan-NuTone Storage Solutions LP

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Rangaire LP, Inc.
c/o Broan-NuTone Storage Solutions LP

501 S. Wilhite

Cleburne, TX 76031

Limited Partnership Interest

N/A

99%

Rangaire GP, Inc.
c/o Broan-NuTone Storage Solutions LP

501 S. Wilhite

Cleburne, TX 76031

General Partnership Interest

N/A

1%

 

 

 

 

18

 


(6) CES Group, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Nordyne Inc.
8000 Phoenix Parkway

O'Fallon, MO 63368-3827

Common Stock

1,000

100%

 

(7) CES International Ltd.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Mammoth-Webco, Inc.
c/o CES Group, Inc.

13200 Pioneer Trail; Suite 150

Eden Prairie, MN 55347-4125

Common Stock

100

100%

 

(8) Cleanpak International, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

CES Group, Inc.
13200 Pioneer Trail; Suite 150

Eden Prairie, MN 55347-4125

Common Stock

100

100%

 

(9) Elan Home Systems, L.L.C.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Linear LLC
1950 Camino Vida Roble

Suite 150

Carlsbad, CA 92008

Membership Interest

N/A

100%

 

(10) Gefen, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Linear LLC
1950 Camino Vida Roble

Suite 150

Carlsbad, CA 92008

Common Stock

2,500

100%

 

(11) Governair Corporation

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

CES Group, Inc.
13200 Pioneer Trail; Suite 150

Eden Prairie, MN 55347-4125

Common Stock

380,000

100%

 

 

 

 

19

 


 

(12) GTO, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Linear LLC
1950 Camino Vida Roble

Suite 150

Carlsbad, CA 92008

Common Stock

100

100%

 

(13) HC Installations, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

CES Group, Inc.
Huntair, Inc.
11555 SW Myslony Street

Tualatin, OR 97062

Common Stock

100

100%

 

(14) HomeLogic LLC

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Elan Home Systems, L.L.C.
1300 New Circle Road; Suite 150

Lexington, KY 40505-4259

Membership Interest

N/A

100%

 

(15) Huntair Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

CES Group, Inc.
13200 Pioneer Trail; Suite 150

Eden Prairie, MN 55347-4125

Common Stock

100

100%

 

(16) International Electronics LLC

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Linear LLC
1950 Camino Vida Roble

Suite 150

Carlsbad, CA 92008

Membership Interest

N/A

100%

 

(17) Linear LLC

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Nortek, Inc.
50 Kennedy Plaza
Providence, RI 02903-2360

Membership Interest

N/A

100%

 

 

 

 

20

 


 

(18) LiteTouch, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Linear LLC
1950 Camino Vida Roble

Suite 150

Carlsbad, CA 92008

Class A Voting Common Stock

1,040

100%

 

(19) Magenta Research Ltd.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Linear LLC
1950 Camino Vida Roble

Suite 150

Carlsbad, CA 92008

Common Stock

11,550

100%

 

(20) Mammoth-Webco, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

CES Group, Inc.
13200 Pioneer Trail; Suite 150

Eden Prairie, MN 55347-4125

Common Stock

100

100%

 

(21) Niles Audio Corporation

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Linear LLC
1950 Camino Vida Roble

Suite 150

Carlsbad, CA 92008

Common Stock

100

100%

 

(22) Nordyne Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Nortek, Inc.
50 Kennedy Plaza
Providence, RI 02903-2360

Common Stock

100

100%

 

(23) NORDYNE International, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Nordyne Inc.
8000 Phoenix Parkway

O'Fallon, MO 63368-3827

Common Stock

100

100%

 

 

 

 

21

 


 

(24) Nortek International, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Nortek, Inc.
50 Kennedy Plaza
Providence, RI 02903-2360

Common Stock

720

72%

Linear LLC
1950 Camino Vida Roble

Suite 150

Carlsbad, CA 92008

Common Stock

280

28%

 

(25) NuTone LLC

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Nortek, Inc.
50 Kennedy Plaza
Providence, RI 02903-2360

Membership Interest

N/A

100%

 

(26) OmniMount Systems, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Linear LLC
1950 Camino Vida Roble

Suite 150

Carlsbad, CA 92008

Common Stock Preferred Stock

10,500,000

100

100%
100%

 

(27) Operator Specialty Company, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Linear LLC
1950 Camino Vida Roble

Suite 150

Carlsbad, CA 92008

Common Stock

100

100%

 

(28) Pacific Zephyr Range Hood, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Broan-NuTone LLC
926 West State Street

Hartford, WI 53027

Common Stock

2,000

100%

 

(29) Panamax Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Linear LLC
1950 Camino Vida Roble

Suite 150

Carlsbad, CA 92008

Common Stock

10,000

100%

 

 

 

 

22

 


 

(30) Rangaire GP, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Broan-NuTone LLC
926 West State Street

Hartford, WI 53027

Common Stock

100

100%

 

(31) Rangaire LP, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Broan-NuTone LLC
926 West State Street

Hartford, WI 53027

Common Stock

100

100%

 

(32) Secure Wireless, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Linear LLC
1950 Camino Vida Roble

Suite 150

Carlsbad, CA 92008

Common Stock

100

100%

 

(33) SpeakerCraft, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Linear LLC
1950 Camino Vida Roble

Suite 150

Carlsbad, CA 92008

Common Stock

200

100%

 

(34) Temtrol, Inc.

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

CES Group, Inc.
13200 Pioneer Trail; Suite 150

Eden Prairie, MN 55347-4125

Common Stock

669.5

100%

 

(35) Xantech Corporation

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Linear LLC
1950 Camino Vida Roble

Suite 150

Carlsbad, CA 92008

Common Stock

100

100%

 

 

 

 

23

 

 

 

 

(36) Zephyr Corporation

 

Name

Title of Class Owned

Amount Owned

Percentage of Voting Securities Owned

Broan-NuTone LLC
926 West State Street

Hartford, WI 53027

Common Stock

180,200

100%

 

6. UNDERWRITERS.

 

(a) Within three years prior to the date of the filing of this Application, no person acted as an underwriter of any securities of the Applicants that are currently outstanding on the date of this application.

 

(b) There is no proposed principal underwriter for the New Notes that are to be offered in connection with the Indenture that is to be qualified under this Application.

 

CAPITAL SECURITIES

 

7. CAPITALIZATION.

 

(a) The following tables set forth certain information with respect to each authorized class of securities of the Applicants outstanding on September 8, 2009.

 

(1) The Company

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $0.01 per share

 

3,000 shares

 

3,000 shares

 

10% Senior Secured Notes due 2013

 

$

750,000,000

 

$

742,900,000

 

81/2% Senior Subordinated Notes due 2014

 

$

625,000,000

 

$

625,000,000

 

97/8% Senior Subordinated Notes due 2011

 

$

10,000,000

 

$

9,965,000

 

 

(2) Aigis Mechtronics, Inc.

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $0.01 per share

 

3,000 shares

 

100 shares

 

 

(3) Broan-Mexico Holdings, Inc.

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $1.00 per share

 

1,000 shares

 

100 shares

 

 

(4) Broan-NuTone LLC2

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

N/A

 

N/A

 

N/A

 

 

(5) Broan-NuTone Storage Solutions LP

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

N/A

 

N/A

 

N/A

 

 

 

_________________________

Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

 

                                                                                           

 

24

 


 (6) CES Group, Inc.3

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $0.10 per share

 

3,000 shares

 

1,000 shares

 

 

 (7) CES International Ltd.4

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $0.01 per share

 

3,000 shares

 

100 shares

 

 

(8) Cleanpak International, Inc.5

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $0.01 per share

 

3,000 shares

 

100 shares

 

 

 (9) Elan Home Systems, L.L.C6

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

N/A

 

N/A

 

N/A

 

 

 (10) Gefen, Inc.7

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, no par value

 

25,000 shares

 

2,500 shares

 

 

(11) Governair Corporation8

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $0.50 per share

 

400,000 shares

 

380,000 shares

 

 

 (12) GTO, Inc.9

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $0.001 per share

 

3,000 shares

 

100 shares

 

 

(13) HC Installations, Inc.10

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $0.01 per share

 

3,000 shares

 

100 shares

 

 

_________________________

Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

10  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

 

 

                                                                                           

 

25

 


 

(14) HomeLogic LLC11

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

N/A

 

N/A

 

N/A

 

 

(15) Huntair Inc.12

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $0.01 per share

 

3,000 shares

 

100 shares

 

 

(16) International Electronics LLC13

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

N/A

 

N/A

 

N/A

 

 

(17) Linear LLC14

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

N/A

 

N/A

 

N/A

 

 

(18) LiteTouch, Inc.15.

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Class A Voting Common stock, par value $1.00 per share

 

30,000 shares

 

1,040 shares

 

Class B Nonvoting Common stock, par value $1.00 per share

 

20,000 shares

 

0 shares

 

 

(19) Magenta Research, Ltd.16

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, no par value

 

20,000 shares

 

11,550 shares

 

 

 (20) Mammoth-Webco, Inc.17

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

 

Common stock, par value $1.00 per share

 

1,000 shares

 

100 shares

 

 

(21) Niles Audio Corporation18

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $0.01 per share

 

3,000 shares

 

100 shares

 

 

_________________________

11  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

12  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

13  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

14  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

15  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

16  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

17  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

18  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

                                                                                           

 

26

 


 

 (22) Nordyne Inc.19

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $1.00 per share

 

1,000 shares

 

100 shares

 

 

(23) NORDYNE International, Inc.20

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $0.01 per share

 

3,000 shares

 

100 shares

 

 

 (24) Nortek International, Inc.21

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $0.01 per share

 

3,000 shares

 

1,000 shares

 

 

 (25) NuTone LLC.22

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

N/A

 

N/A

 

N/A

 

 

(26) OmniMount Systems, Inc.23

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, no par value

 

11,000,000 shares

 

10,500,000 shares

 

Series A Preferred stock, no par value

 

1,000,000 shares

 

100 shares

 

 

(27) Operator Specialty Company, Inc.24

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $1.00 per share

 

50,000 shares

 

100 shares

 

 

(28) Pacific Zephyr Range Hood, Inc.25

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, no par value

 

100,000 shares

 

2,000 shares

 

 

                                                                                           

_________________________

19  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

20  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

21  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

22  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

23  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

24  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

25  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

 

27

 

 


 

(29) Panamax Inc.26

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, no par value

 

10,000 shares

 

10,000 shares

 

 

(30) Rangaire GP, Inc.27

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $.0.01 per share

 

3,000 shares

 

100 shares

 

 

(31) Rangaire LP, Inc.28

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $0.01 per share

 

3,000 shares

 

100 shares

 

 

(32) Secure Wireless, Inc.29

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $0.01 per share

 

3,000 shares

 

100 shares

 

 

(33) SpeakerCraft, Inc.30

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $0.01 per share

 

3,000 shares

 

200 shares

 

 

(34) Temtrol, Inc.31

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $100.00 per share

 

1,000 shares

 

669 ½ shares

 

 

(35) Xantech Corporation32

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $0.01 per share

 

100 shares

 

100 shares

 

 

(36) Zephyr Corporation33

 

Title of Class

 

Amount
Authorized

 

Amount Outstanding

 

Common stock, par value $1.00 per share

 

1,000,000 shares

 

180,200 shares

 

_________________________

26  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

27  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

28  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

29  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

30  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

31  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

32  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

33  Guarantor of 10% Senior Secured Notes due 2013 and 8 1/2 % Senior Subordinated Notes due 2014

                                                                                           

 

28

 


 

(b) Each holder of common stock or membership interest of each Applicant, both prior to and subsequent to the effective date of the Plan of Reorganization, is entitled to one vote for each such security held on all matters submitted to a vote of securityholders. 

 

INDENTURE SECURITIES

 

8. ANALYSIS OF INDENTURE PROVISIONS.

 

The New Notes will be issued under the Indenture, the form of which is attached hereto as Exhibit T3C.1. The following is a summary of the provisions of the Indenture required to be summarized by Section 305(a)(2) of the Trust Indenture Act of 1939 (the “Trust Indenture Act”). Holders of New Notes are encouraged to read the entire Indenture because many provisions that will control the rights of a holder of New Notes are not described in this analysis.  Capitalized terms defined in the Indenture and used (but not otherwise defined) in this section are used in this section as so defined.

 

EVENTS OF DEFAULT; WITHHOLDING OF NOTICE

 

Each of the following is an event of default:

 

 

(1)

the Company defaults for 30 days in the payment when due of interest on the New Notes;

 

(2)

the Company defaults in payment when due of the principal of, or premium, if any, on the New Notes;

 

(3)

failure by the Company or a Restricted Subsidiary to comply with the Change of Control section, the Asset Sales section, and the Merger, Consolidation, or Sale of Assets section of the Indenture;

 

(4)

failure by the Company or any of its Restricted Subsidiaries for 45 days after notice by the Trustee or by Holders of at least 25% in principal amount of the then outstanding New Notes to comply with any of the other agreements in the Indenture, the Security Agreement, any other Security Document or the Intercreditor Agreement;

 

(5)

default by the Company or any Restricted Subsidiary under any mortgage, indenture or instrument under which there may be issued or by which there may be secured or evidenced any Indebtedness for money borrowed by the Company or any of its Restricted Subsidiaries (or the payment of which is Guaranteed by the Company or any of its Restricted Subsidiaries) whether such Indebtedness or Guarantee now exists, or is created after the date of the Indenture, if that default:

 

(a)

is caused by a failure to make any payment when due at the final maturity (after any applicable grace period) of such Indebtedness (a “Payment Default”); or

 

(b)

results in the acceleration of such Indebtedness prior to its express maturity;

and, in each case, the principal amount of any such Indebtedness, together with the principal amount of any other such Indebtedness under which there has been a Payment Default or the maturity of which has been so accelerated, aggregates $40 million or more;

 

(6)

failure by the Company or any of its Restricted Subsidiaries to pay final judgments aggregating in excess of $40 million (net of any amount covered by insurance), which judgments are not paid, discharged or stayed for a period of 60 days after such judgments have become final and non-appealable and, in the event such judgment is covered by insurance, an enforcement proceeding has been commenced by any creditor upon such judgment or decree that is not promptly stayed;

 

                                                                                          

 

29

 


 
 

 

(7)

except as permitted by the Indenture, any Note Guarantee of a Guarantor that is a Significant Subsidiary, or the Note Guarantees of any group of Guarantors that, taken together, would constitute a Significant Subsidiary, shall be held in any judicial proceeding to be unenforceable or invalid or shall cease for any reason to be in full force and effect or any such Guarantor or group of Guarantors, or any Person acting on behalf of any such Guarantor or group of Guarantors, shall deny or disaffirm its obligations under its Note Guarantee;

 

(8)

the Company or any of its Significant Subsidiaries or any group of Restricted Subsidiaries that, taken together, would constitute a Significant Subsidiary, pursuant to or within the meaning of Bankruptcy Law:

 

(i)

commences a voluntary case; or

 

(ii)

consents to entry of an order for relief against it in an involuntary case; or

 

(iii)

consents to the appointment of a custodian of it or for all or substantially all of its property; or

 

(iv)

makes a general assignment for the benefit of its creditors; or

 

(v)

generally is not paying its debts as they become due; or

 

(9)

a court of competent jurisdiction enters an order or decree under any Bankruptcy Law that:

 

(i)

is for relief against the Company or any of its Restricted Subsidiaries that is a Significant Subsidiary or any group of Restricted Subsidiaries that, taken as a whole, would constitute a Significant Subsidiary in an involuntary case;

 

(ii)

appoints a custodian of the Company or any of its Restricted Subsidiaries that is a Significant Subsidiary or any group of Restricted Subsidiaries that, taken as a whole, would constitute a Significant Subsidiary or for all or substantially all of the property of the Company or any of its Restricted Subsidiaries that is a Significant Subsidiary or any group of Restricted Subsidiaries that, take as a whole, would constitute a Significant Subsidiary; or

 

(iii)

orders the liquidation of the Company or any of its Restricted Subsidiaries that is a Significant Subsidiary or any group of Restricted Subsidiaries that, taken as a whole, would constitute a Significant Subsidiary;

and the order or decree remains unstayed and in effect for 60 consecutive days;

 

(10)

any security interest purported to be created by any Security Document with respect to any Collateral, individually or in the aggregate, having a fair market value in excess of $50.0 million, shall cease to be, or shall be asserted by the Company or any Guarantor not to be, a valid, perfected security interest in the securities, assets or properties covered thereby; except to the extent that any such loss of perfection or priority results from the failure of the Trustee or Collateral Agent to make filings, renewals and continuations (or other equivalent filings) which the Company has indicated in the Perfection Certificate are required to be made or the failure of the Trustee to maintain possession of certificates actually delivered to it representing securities pledged under the Security Documents); and

            

 

(11)

the failure by the Company or any Restricted Subsidiary to comply for 60 days after notice with its other agreements contained in the Security Documents or Intercreditor Agreement except for a failure that would not be material to the Holders of the New Notes and would not materially affect

                                                                               

 

30

 


 

 

 

the value of the Collateral taken as a whole (together with the defaults described in clauses (7) and (10) above).

In the event of a declaration of acceleration of the New Notes because an Event of Default has occurred and is continuing as a result of the acceleration of any Indebtedness described in clause (5) of the preceding paragraph, the declaration of acceleration of the New Notes shall be automatically annulled if the holders of any Indebtedness described in clause (5) of the preceding paragraph have rescinded the declaration of acceleration in respect of such Indebtedness within 30 days of the date of such declaration and if (i) the annulment of the acceleration of New Notes would not conflict with any judgment or decree of a court of competent jurisdiction and (ii) all existing Events of Default, except nonpayment of principal or interest on the New Notes that became due solely because of the acceleration of the New Notes have been cured or waived.

 

In the case of any Event of Default specified in clause (8) or (9) above that occurs and is continuing, then all unpaid principal of, premium, if any, and accrued and unpaid interest, if any, on all of the outstanding New Notes shall become due and payable immediately without further action or notice on the part of the Trustee or any Holder.

 

If any Event of Default (other than an Event of Default specified in clause (8) or (9) above) occurs and is continuing, the Trustee or the Holders of at least 25% in principal amount of the then outstanding New Notes may declare all unpaid principal of, premium, if any, and accrued interest on the New Notes to be due and payable immediately by notice in writing in writing to the Company specifying the respective Event of Default.

 

Holders of the New Notes may not enforce the Indenture or the New Notes except as provided in the Indenture. Subject to certain limitations, holders of a majority in principal amount of the then outstanding New Notes may direct the Trustee in its exercise of any trust or power.

 

If a Default occurs and is continuing and the Trustee receives actual notice of such Default, the Trustee shall mail to each Holder notice of the uncured Default within 60 days after such notice is received. Except in the case of a Default in payment of the principal of, premium, if any, or interest on, any Note, including an accelerated payment and the failure to make payment on the Change of Control Payment Date pursuant to a Change of Control Offer or the Offer Payment Date pursuant to an Asset Sale Offer or Note Collateral Asset Sale Offer, as applicable, the Trustee may withhold the notice if and so long as the Board of Directors, the executive committee, or a trust committee of directors and/or Responsible Officers, of the Trustee in good faith determines that withholding the notice is in the interest of the Holders.

 

AUTHENTICATION AND DELIVERY OF THE NEW NOTES; APPLICATION OF PROCEEDS.

 

The Trustee shall authenticate the initial amount of the New Notes upon a written order of the Company. Thereafter, the Trustee shall authenticate additional New Notes in unlimited amount, as permitted by the Indenture, upon a written order of the Company in aggregate principal amount as specified in such order.

One officer, who shall have been duly authorized by all requisite corporate actions, shall sign the New Notes for the Company by manual or facsimile signature. If the officer whose signature is on a New Note was an Officer at the time of such execution but no longer holds that office at the time the Trustee authenticates the New Note, the Note shall be valid nevertheless.

No New Note shall be entitled to any benefit under the Indenture or be valid or obligatory for any purpose unless there appears on such New Note a certificate of authentication substantially in the form provided for therein executed by the Trustee by manual signature, and such certificate upon any New Note shall be conclusive evidence, and the only evidence, that such New Note has been duly authenticated and delivered thereunder. Notwithstanding the foregoing, if any New Note shall have been authenticated and delivered thereunder but never issued and sold by the Company, and the Company shall deliver such New Note to the Trustee for cancellation as provided in the cancellation section of the Indenture, for all purposes of the Indenture such New Note shall be deemed never to have been authenticated and delivered thereunder and shall never be entitled to the benefits of the Indenture.                                                                                           

 

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The Trustee may appoint an authenticating agent reasonably acceptable to the Company to authenticate the New Notes. Unless otherwise provided in the appointment, an authenticating agent may authenticate the New Notes whenever the Trustee may do so. Each reference in the Indenture to authentication by the Trustee includes authentication by such agent. An authenticating agent has the same rights as an Agent to deal with the Company and Affiliates of the Company. Each Paying Agent is designated as an authenticating agent for purposes of the Indenture.

The New Notes shall be issuable only in registered form without coupons in denominations of $1,000 principal amount and any integral multiple of $1,000.

The New Notes will be issued in the form of one or more fully registered global certificates (the “Global Notes”). The Global Notes will be deposited upon issuance with the Trustee as custodian for The Depository Trust Company (“DTC”), in New York, New York, and registered in the name of DTC or its nominee, in each case for credit to an account of a direct or indirect participant in DTC.

There will be no proceeds (and therefore no application of proceeds) from the issuance of the New Notes because the New Notes will be issued in exchange for the Company’s 10% Senior Secured Notes due 2013 in connection with the restructuring of Nortek Holdings, Inc., Nortek, Inc. and their respective debtor subsidiaries. No provisions are contained in the Indenture with respect to the Company’s use of proceeds of the issuance of the New Notes.

RELEASE AND SUBSTITUTION OF PROPERTY SUBJECT TO THE LIEN OF THE INDENTURE.

 

In connection with the Applicants’ restructuring and the issuance of the New Notes, the Company, the Guarantors and the Trustee will enter into a security agreement which the Company expects will contain similar terms as to those in which the Company is currently a party to in relation to the Company’s 10% Senior Secured Notes due 2013.  The following is a summary of the collateral release provisions of the Indenture:

 

Collateral may be released from the Lien and security interest created by the Security Documents at any time or from time to time in accordance with the provisions of the Security Documents, the Intercreditor Agreement or as provided in the Indenture. The Company and the Guarantors will be entitled to a release of property and other assets included in the Collateral from the Liens securing the New Notes, and the Trustee (subject to its receipt of an Officer Certificate and Opinion of Counsel as provided below) shall release, or instruct the Collateral Agent to release, as applicable, the same from such Liens at the Company’s sole cost and expense, under one or more of the following circumstances:

 

(1) to enable the Company or any Guarantor to sell, exchange or otherwise dispose of any of the Collateral to the extent not prohibited the provisions of the Indenture relating to Asset Sales;

(2) in the case of a Guarantor that is released from its Guarantee with respect to the New Notes, the release of the property and assets of such Guarantor;

(3) pursuant to an amendment or waiver in accordance with Article 9 of the Indenture; or

(4) if the Notes have been discharged or defeased pursuant to Section 8.01 or Section 8.02 of the Indenture.

The second-priority lien on the ABL Collateral securing the New Notes will terminate and be released automatically if the first-priority liens on the ABL Collateral are released by the Bank Collateral Agent (unless, at the time of such release of such first-priority liens, an Event of Default shall have occurred and be continuing under the Indenture). Notwithstanding the existence of an Event of Default, the second-priority lien on the ABL Collateral securing the New Notes shall also terminate and be released automatically to the extent the first-priority liens on the ABL Collateral are released by the Bank Collateral Agent in connection with a sale, transfer or disposition of ABL Collateral that is either not prohibited under the Indenture or occurs in connection with the foreclosure of, or other

 

                                                                                           

 

32

 


exercise of remedies with respect to, such ABL Collateral by the Bank Collateral Agent (except with respect to any proceeds of such sale, transfer or disposition that remain after satisfaction in full of the Lenders Debt). The liens on the Collateral securing the New Notes that otherwise would have been released pursuant to the first sentence of this paragraph will be released when such Event of Default and all other Events of Default under the Indenture cease to exist.

 

Upon receipt of an Officers’ Certificate and an Opinion of Counsel certifying that all conditions precedent under the Indenture and the Security Documents (and Section 314(d) of the Trust Indenture Act), if any, to such release have been met and any necessary or proper instruments of termination, satisfaction or release prepared by the Company, the Trustee shall, or shall cause the Collateral Agent, to execute, deliver or acknowledge (at the Company’s expense) such instruments or releases to evidence the release of any Collateral permitted to be released pursuant to the Indenture or the Security Documents or the Intercreditor Agreement. Neither the Trustee nor the Collateral Agent shall be liable for any such release undertaken in good faith in reliance upon any such Officer Certificate or Opinion of Counsel, and notwithstanding any term hereof or in any Security Document to the contrary, the Trustee and Collateral Agent shall not be under any obligation to release any such Lien and security interest, or execute and deliver any such instrument of release, satisfaction or termination, unless and until it receives such Officer Certificate and Opinion of Counsel.

 

In the event that the Company delivers to the Trustee an Officers’ Certificate certifying that (i) payment in full of the principal of, together with accrued and unpaid interest on, the New Notes and all other obligations under the Indenture, the Note Guarantees and the Security Documents that are due and payable at or prior to the time such principal, together with accrued and unpaid interest, are paid or (ii) the Company shall have exercised its legal defeasance option or its covenant defeasance option the Trustee shall deliver to the Company and the Collateral Agent a notice stating that the Trustee, on behalf of the Holders, disclaims and gives up any and all rights it has in or to the Collateral (other than with respect to funds held by the Trustee in trust for the defeasance of the Indenture and repayment of the New Notes), and any rights it has under the Security Documents, and upon receipt by the Collateral Agent of such notice, the Collateral Agent shall be deemed not to hold a Lien in the Collateral on behalf of the Trustee and shall do or cause to be done all acts reasonably necessary to release such Lien as soon as is reasonably practicable.

 

SATISFACTION AND DISCHARGE; DEFEASANCE

 

The Company may, at its option and at any time, elect to have either paragraph (1) or (2) below be applied to all outstanding New Notes, provided that the provisions of the Indenture relating to compliance with conditions and covenants (as discussed below) have been satisfied.

 

1.

Each of the Company and Guarantors shall, subject to the satisfaction of the provisions of the Indenture relating to compliance with conditions and covenants (as discussed below), be deemed to have been discharged from their respective obligations with respect to all outstanding New Notes and Note Guarantees on the date the conditions set forth below are satisfied (hereinafter, “Legal Defeasance”). For this purpose, Legal Defeasance means that the Company shall be deemed to have paid and discharged the entire Indebtedness represented by the outstanding New Notes, which shall thereafter be deemed to be “outstanding” only for the purposes of the application of trust money section of the Indenture, and to have satisfied all its other obligations under such New Notes, the Indenture, the Note Guarantees and the Security Documents (and the Trustee, on demand of and at the expense of the Company, shall execute proper instruments acknowledging the same), except for the following provisions which shall survive until otherwise terminated or discharged under the Indenture:

 

a.

the rights of Holders of outstanding New Notes to receive payments in respect of the principal of, or interest or premium, if any, on such Notes when such payments are due from the trust described in the application of trust money section of the Indenture;

                                                                                           

 

33

 


 

b.

the Company’s obligations with respect to such New Notes under the holder lists, transfer and exchange, replacement notes, outstanding notes and maintenance of office or agency sections of the Indenture;

 

c.

the rights, powers, trusts, duties and immunities of the Trustee, Collateral Agent and the Company’s and the Guarantors’ obligations in connection therewith; and

 

d.

the provisions of the Indenture relating to discharge and defeasance.

Subject to compliance with the provisions of the Indenture relating to discharge and defeasance, the Company may exercise its option under this paragraph (1) notwithstanding the prior exercise of its option under paragraph (2) below.

 

2.

The Company shall, subject to the satisfaction of the provisions of the Indenture relating to compliance with the conditions and covenants (as discussed below), be released from its obligations under the covenants contained in Sections 4.04, 4.05, 4.07, 4.09 through 4.26 and clauses (3) and (4) of Section 5.01(a) of the Indenture with respect to the outstanding New Notes on and after the date the conditions set forth below are satisfied (hereinafter, “Covenant Defeasance”), and the New Notes shall thereafter be deemed not “outstanding” for the purposes of any direction, waiver, consent or declaration or act of Holders (and the consequences of any thereof) in connection with such covenants, but shall continue to be deemed “outstanding” for all other purposes under the Indenture (it being understood that such New Notes shall not be deemed outstanding for accounting purposes). For this purpose, Covenant Defeasance means that, with respect to the outstanding New Notes, the Company may omit to comply with and shall have no liability in respect of any term, condition or limitation set forth in any such covenant, whether directly or indirectly, by reason of any reference elsewhere in the Indenture to any such covenant or by reason of any reference in any such covenant to any other provision therein or in any other document and such omission to comply shall not constitute an Event of Default under the Indenture (as discussed above), but, except as specified above, the remainder of the Indenture and such New Notes shall be unaffected thereby. In addition, subject to the provisions of the Indenture relating to compliance with the conditions and covenants (as discussed below), the following sections of the Indenture shall not constitute a default: clauses (3), (4) (with respect to the Security Agreement, other Security Documents and Intercreditor Agreement only), (5), (6), (10) and (11) of the Events of Default, as discussed above.

The Indenture, the Note Guarantees and the Security Documents will be discharged and will cease to be of further effect as to all Notes issued thereunder, except for (i) the Company’s obligations in Sections 2.06, 2.07, 2.08, 2.09, 4.02, 7.07, 8.05 and 8.06 of the Indenture, which shall survive until the New Notes are repaid or redeemed and no longer outstanding and (ii) the Company’s obligations in Sections 7.07, 8.05 and 8.06 of the Indenture after the New Notes are no longer outstanding, when the Company or any Guarantor has paid or caused to be paid all sums payable by it under the Indenture and, either:

 

 

1.

all New Notes that have been authenticated (except lost, stolen or destroyed New Notes that have been replaced or paid and New Notes for whose payment money has theretofore been deposited in trust and thereafter repaid to the Company) have been delivered to the Trustee for cancellation; or

 

2.

(A) all New Notes that have not been delivered to the Trustee for cancellation have become due and payable by reason of the making of a notice of redemption or otherwise or will become due and payable within one year, including as a result of a redemption notice properly given pursuant to the Indenture, and the Company or any Guarantor has irrevocably deposited or caused to be deposited with the Trustee as trust funds in trust solely for the benefit of the Holders, cash in U.S. Legal Tender, non-callable Government Securities, or a combination thereof, in such amounts as will be sufficient without consideration of any reinvestment of interest, to pay and discharge the entire indebtedness on the New Notes not delivered to the Trustee for cancellation for principal, premium, if any, and accrued interest to the date of maturity or redemption; (B) no Default or Event of Default

                                                                                           

 

34

 


shall have occurred and be continuing on the date of such deposit or shall occur as a result of such deposit and such deposit will not result in a breach or violation of, or constitute a default under, any other instrument to which the Company or any Guarantor is a party or by which the Company or any Guarantor is bound; and (C) the Company has delivered irrevocable instructions to the Trustee under the Indenture to apply the deposited money toward the payment of the Notes at maturity or on the Redemption Date, as the case may be.

In addition, the Company shall deliver to the Trustee an Officers’ Certificate and an Opinion of Counsel, each stating that all conditions precedent providing for or relating to the termination of the Company’s obligations under the New Notes and the Indenture have been complied with.

 

 

In order to exercise either Legal Defeasance or Covenant Defeasance:

 

 

1.

the Company must irrevocably deposit with the Trustee, in trust, for the benefit of the Holders of the New Notes, cash in U.S. Legal Tender, non-callable Government Securities, or a combination thereof, in such amounts as will be sufficient, in the opinion of a nationally recognized firm of independent public accountants, to pay the principal of, or interest and premium, if any, on the outstanding New Notes on the Stated Maturity or on the applicable Redemption Date, as the case may be, and the Company must specify whether the New Notes are being defeased to maturity or to a particular Redemption Date;

 

2.

in the case of Legal Defeasance, the Company shall have delivered to the Trustee an Opinion of Counsel reasonably acceptable to the Trustee confirming that (a) the Company has received from, or there has been published by, the Internal Revenue Service a ruling or (b) since the date of the Indenture, there has been a change in the applicable federal income tax law, in either case, to the effect that, and based thereon such Opinion of Counsel shall confirm that, the Holders of the outstanding New Notes will not recognize income, gain or loss for federal income tax purposes as a result of such Legal Defeasance and will be subject to federal income tax on the same amounts, in the same manner and at the same times as would have been the case if such Legal Defeasance had not occurred;

 

3.

in the case of Covenant Defeasance, the Company shall have delivered to the Trustee an Opinion of Counsel reasonably acceptable to the Trustee confirming that the Holders of the outstanding New Notes will not recognize income, gain or loss for federal income tax purposes as a result of such Covenant Defeasance and will be subject to federal income tax on the same amounts, in the same manner and at the same times as would have been the case if such Covenant Defeasance had not occurred;

 

4.

no Default or Event of Default shall have occurred and be continuing on the date of such deposit (other than a Default or Event of Default resulting from the borrowing of funds to be applied to such deposit and the grant of any Lien securing such borrowing);

 

5.

such Legal Defeasance or Covenant Defeasance will not result in a breach or violation of, or constitute a default under any material agreement or instrument to which the Company or any of its Subsidiaries is a party or by which the Company or any of its Subsidiaries is bound;

 

6.

the Company must deliver to the Trustee an Officers’ Certificate stating that the deposit was not made by the Company with the intent of preferring the Holders of New Notes over the other creditors of the Company with the intent of defeating, hindering, delaying or defrauding creditors of the Company or others; and

 

7.

the Company must deliver to the Trustee an Officers’ Certificate and an Opinion of Counsel, each stating that all conditions precedent relating to the Legal Defeasance or the Covenant Defeasance have been complied with.

                                                                                           

 

35

 


EVIDENCE AS TO COMPLIANCE WITH CONDITIONS AND COVENANTS.

 

The Company must deliver to the Trustee, within 120 days after the close of each fiscal year commencing with the fiscal year ending December 31, 2010, an Officers’ Certificate stating that a review of the activities of the Company and its Subsidiaries has been made under the supervision of the signing Officers with a view to determining whether the Company has kept, observed, performed and fulfilled its obligations under the Indenture and further stating, as to each such Officer signing such certificate, that to the best of such Officer’s knowledge, the Company during such preceding fiscal year has kept, observed, performed and fulfilled each and every such covenant and no Default occurred during such year and at the date of such certificate there is no Default that has occurred and is continuing or, if such signers do know of such Default, the certificate shall describe its status with particularity. The Officers’ Certificate shall also notify the Trustee should the Company elect to change the manner in which it fixes its fiscal year end.

The Company must deliver to the Trustee as soon as possible, and in any event within fifteen days after the Company becomes aware of the occurrence of any Default or Event of Default, an Officers’ Certificate specifying the Default or Event of Default and describing its status with particularity and the action proposed to be taken thereto.

Upon any request or application by the Company to the Trustee or Collateral Agent to take any action under the Indenture, the Company must furnish to the Trustee or Collateral Agent at the request of the Trustee or Collateral Agent: (a) an Officers’ Certificate, in form and substance reasonably satisfactory to the Trustee and Collateral Agent, stating that, in the opinion of the signers, all conditions precedent to be performed or effected by the Company, if any, provided for in the Indenture relating to the proposed action have been complied with; and (b) an Opinion of Counsel stating that, in the opinion of such counsel, any and all such conditions precedent have been complied with.

Each certificate or opinion with respect to compliance with a condition or covenant provided for in the Indenture, other than the Officers’ Certificate required by the first two paragraphs in this section, must include: (a) a statement that the Person making such certificate or opinion has read such covenant or condition; (b) a brief statement as to the nature and scope of the examination or investigation upon which the statements or opinions contained in such certificate or opinion are based; (c) a statement that, in the opinion of such Person, he has made such examination or investigation as is necessary to enable him to express an informed opinion as to whether or not such covenant or condition has been complied with or satisfied; and (d) a statement as to whether or not, in the opinion of each such Person, such condition or covenant has been complied with; provided, however, that with respect to matters of fact an Opinion of Counsel may rely on an Officers’ Certificate or certificates of public officials.

9. OTHER OBLIGORS.

 

Other than each of the Applicants, no other person is an obligor with respect to the New Notes.

 

CONTENTS OF APPLICATION FOR QUALIFICATION

 

This application for qualification comprises:

 

(a) Pages numbered 1 to 41, consecutively.

 

(b) The statement of eligibility and qualification on Form T-1 of U.S. Bank National Association, as trustee, under the Indenture to be qualified.*

 

(c) The following exhibits in addition to those filed as part of the statement of eligibility and qualification of the trustee:

 

Exhibit T3A.1

 

Amended and Restated Certificate of Incorporation of Nortek, Inc. (incorporated by reference to Exhibit 3.1 to the Registration Statement on Form S-4 filed by Nortek, Inc. on October 22, 2004 (the “2004 Registration Statement”)).

                                                                                           

 

36

 


 

Exhibit T3A.1

 

Amended and Restated Certificate of Incorporation of Nortek, Inc. (incorporated by reference to Exhibit 3.1 to the Registration Statement on Form S-4 filed by Nortek, Inc. on October 22, 2004 (the “2004 Registration Statement”)).

Exhibit T3A.2

 

Certificate of Incorporation of Aigis Mechtronics, Inc., as amended (incorporated by reference to Exhibit 3.7 to the Registration Statement on Form S-4 filed by Nortek, Inc. on August 11, 2008 (the “2008 Registration Statement”)).

Exhibit T3A.3

 

Certificate of Incorporation of Broan-Mexico Holdings, Inc. *

Exhibit T3A.4

 

Certificate of Formation of Broan-NuTone LLC (incorporated by reference to Exhibit 3.5 to the 2004 Registration Statement).

Exhibit T3A.5

 

Certificate of Limited Partnership of Broan-NuTone Storage Solutions LP, as amended (incorporated by reference to Exhibit 3.15 to the 2008 Registration Statement).

Exhibit T3A.6

 

Certificate of Incorporation of CES Group, Inc. (incorporated by reference to Exhibit 3.7 to the 2004 Registration Statement).

Exhibit T3A.7

 

Certificate of Incorporation of CES International Ltd.*

Exhibit T3A.8

 

Certificate of Incorporation of Cleanpak International, Inc., as amended (incorporated by reference to Exhibit 3.19 to the 2008 Registration Statement).

Exhibit T3A.9

 

Articles of Organization of Elan Home Systems, L.L.C. (incorporated by reference to Exhibit 3.11 to the 2004 Registration Statement).

Exhibit T3A.10

 

Articles of Incorporation of Gefen, Inc. (incorporated by reference to Exhibit 3.23 to the 2008 Registration Statement).

Exhibit T3A.11

 

Articles of Incorporation of Govenair Corporation, as amended (incorporated by reference to Exhibit 3.13 to the 2004 Registration Statement).

Exhibit T3A.12

 

Articles of Incorporation of GTO, Inc. (incorporated by reference to Exhibit 3.27 to the 2008 Registration Statement).

Exhibit T3A.13

 

Certificate of Incorporation of HC Installations, Inc. (incorporated by reference to Exhibit 3.29 to the 2008 Registration Statement).

Exhibit T3A.14

 

Certificate of Formation of HomeLogic LLC, as amended (incorporated by reference to Exhibit 3.31 to the 2008 Registration Statement).

Exhibit T3A.15

 

Certificate of Incorporation of Huntair, Inc., as amended (incorporated by reference to Exhibit 3.33 to the 2008 Registration Statement).

Exhibit T3A.16

 

Articles of Organization-Conversion of International Electronics LLC.*

Exhibit T3A.17

 

Articles of Organization-Conversion of Linear LLC (incorporated by reference to Exhibit 3.21 to the 2004 Registration Statement).

Exhibit T3A.18

 

Articles of Incorporation of Lite Touch, Inc., as amended (incorporated by reference to Exhibit 3.45 to the 2008 Registration Statement).

Exhibit T3A.19

 

Certificate of Incorporation of Magenta Research Ltd. (incorporated by reference to Exhibit 3.47 to the 2008 Registration Statement).

Exhibit T3A.20

 

Certificate of Incorporation of Mammoth-Webco, Inc.*

Exhibit T3A.21

 

Certificate of Incorporation of Niles Audio Corporation, as amended (incorporated by reference to Exhibit 3.53 to the 2008 Registration Statement).

Exhibit T3A.22

 

Certificate of Incorporation of Nordyne, Inc., as amended (incorporated by reference to Exhibit 3.29 to the 2004 Registration Statement).

Exhibit T3A.23

 

Certificate of Incorporation of NORDYNE International, Inc., as amended (incorporated by reference to Exhibit 3.59 to the 2008 Registration Statement).

Exhibit T3A.24

 

Certificate of Incorporation of Nortek International, Inc. (incorporated by reference to Exhibit 3.61 to the 2008 Registration Statement).

Exhibit T3A.25

 

Certificate of Conversion of NuTone LLC, as amended.*

Exhibit T3A.26

 

Certificate of Incorporation of OmniMount Systems, Inc. (incorporated by reference to Exhibit 3.33 to the 2004 Registration Statement).

Exhibit T3A.27

Certificate of Incorporation of Operator Specialty Company, Inc., as amended (incorporated by reference to Exhibit 3.35 to the 2004 Registration Statement).

Exhibit T3A.28

Articles of Incorporation of Pacific Zephyr Range Hood Inc. (incorporated by reference to Exhibit 3.69 to the 2008 Registration Statement).

Exhibit T3A.29

Certificate of Incorporation of Panamax Inc. as amended (incorporated by reference to Exhibit 3.71 to the 2008 Registration Statement).

 

 

                                                                                           

 

37

 


 

Exhibit T3A.30

 

Certificate of Incorporation of Rangaire GP, Inc. (incorporated by reference to Exhibit 3.37 to the 2004 Registration Statement).

Exhibit T3A.31

 

Certificate of Incorporation of Rangaire LP, Inc. as amended (incorporated by reference to Exhibit 3.41 to the 2004 Registration Statement).

Exhibit T3A.32

 

Articles of Incorporation of Secure Wireless, Inc. (incorporated by reference to Exhibit 3.77 to the 2008 Registration Statement).

Exhibit T3A.33

 

Certificate of Incorporation of Speakercraft, Inc., as amended (incorporated by reference to Exhibit 3.43 to Registration Statement on Form S-4/A filed by Nortek, Inc. on December 17, 2004 (the “2004 Registration Statement Amendment”)).

Exhibit T3A.34

 

Certificate of Incorporation of Temtrol, Inc., as amended (incorporated by reference to Exhibit 3.45 to the 2004 Registration Statement).

Exhibit T3A.35

 

Articles of Incorporation of Xantech Corporation, as amended (incorporated by reference to Exhibit 3.51 to the 2004 Registration Statement).

Exhibit T3A.36

 

Articles of Incorporation of Zephyr Corporation (incorporated by reference to Exhibit 3.89 to the 2008 Registration Statement).

Exhibit T3B.1

 

By-Laws of Nortek, Inc. (incorporated by reference to Exhibit 3.2 to the 2004 Registration Statement).

Exhibit T3B.2

 

By-laws of Aigis Mechtronics, Inc. (F/K/A Acquisition Sub 2007-3, Inc.) (incorporated by reference to Exhibit 3.8 to the 2008 Registration Statement).

Exhibit T3B.3

 

By-laws of Broan-Mexico Holdings, Inc. (F/K/A Jensen Industries, Inc.) (incorporated by reference to Exhibit 3.18 to the 2004 Registration Statement)

Exhibit T3B.4

 

Second Amended and Restated Limited Liability Company Agreement of Broan-NuTone LLC (incorporated by reference to Exhibit 3.14 to the 2008 Registration Statement).

Exhibit T3B.5

 

Agreement of Limited Partnership of Broan-NuTone Storage Solutions LP (F/K/A Rangaire LP) (incorporated by reference to Exhibit 3.40 to the 2004 Registration Statement).

Exhibit T3B.6

 

By-laws of CES Group, Inc. (incorporated by reference to Exhibit 3.8 to the 2004 Registration Statement).

Exhibit T3B.7

 

By-laws of CES International Ltd. (F/K/A Mammoth China Ltd.) (incorporated by reference to Exhibit 3.24 to the 2004 Registration Statement)

Exhibit T3B.8

 

By-laws of Cleanpak International, Inc. (F/K/A Acquisition Sub 2006-3, Inc.) (incorporated by reference to Exhibit 3.20 to the 2008 Registration Statement).

Exhibit T3B.9

 

Amended and Restated Operating Agreement of Elan Home Systems, L.L.C. (incorporated by reference to Exhibit 3.12 to the 2004 Registration Statement).

Exhibit T3B.10

 

By-laws of Gefen, Inc. (incorporated by reference to Exhibit 3.24 to the 2008 Registration Statement).

Exhibit T3B.11

 

By-laws of Govenair Corporation (incorporated by reference to Exhibit 3.14 to the 2004 Registration Statement).

Exhibit T3B.12

 

By-laws of GTO, Inc. (incorporated by reference to Exhibit 3.28 to the 2008 Registration Statement).

Exhibit T3B.13

 

By-laws of HC Installations, Inc. (incorporated by reference to Exhibit 3.30 to the 2008 Registration Statement).

Exhibit T3B.14

 

Amended and Restated Limited Liability Company Agreement of HomeLogic LLC (incorporated by reference to Exhibit 3.32 to the 2008 Registration Statement).

Exhibit T3B.15

By-laws of Huntair, Inc. (F/K/A Acquisition Sub 2006-2, Inc.) (incorporated by reference to Exhibit 3.34 to the 2008 Registration Statement).

Exhibit T3B.16

Limited Liability Company Agreement of International Electronics LLC.*

Exhibit T3B.17

Operating Agreement of Linear LLC (incorporated by reference to Exhibit 3.22 to the 2004 Registration Statement).

Exhibit T3B.18

By-laws of Lite Touch, Inc. (incorporated by reference to Exhibit 3.46 to the 2008 Registration Statement).

Exhibit T3B.19

By-laws of Magenta Research Ltd. (incorporated by reference to Exhibit 3.48 to

 

 

                                                                                           

 

38

 


 

 

 

the 2008 Registration Statement).

Exhibit T3B.20

 

By-laws of Mammoth-Webco, Inc. (F/K/A Mammoth, Inc.) (incorporated by reference to Exhibit 3.28 to the 2004 Registration Statement)

Exhibit T3B.21

 

By-laws of Niles Audio Corporation (F/K/A DMU Sub, Inc.) (incorporated by reference to Exhibit 3.54 to the 2008 Registration Statement).

Exhibit T3B.22

 

By-laws of Nordyne Inc., as amended (incorporated by reference to Exhibit 3.30 to the 2004 Registration Statement).

Exhibit T3B.23

 

By-laws of NORDYNE International, Inc. (F/K/A IMS Acquisition Sub, Inc.) (incorporated by reference to Exhibit 3.60 to the 2008 Registration Statement).

Exhibit T3B.24

 

By-laws of Nortek International, Inc. (incorporated by reference to Exhibit 3.62 to the 2008 Registration Statement).

Exhibit T3B.25

 

Limited Liability Company Agreement of NuTone LLC.*

Exhibit T3B.26

 

By-laws of OmniMount Systems, Inc. (incorporated by reference to Exhibit 3.34 to 2004 Registration Statement Amendment).

Exhibit T3B.27

 

By-laws of Operator Specialty Company, Inc. (incorporated by reference to Exhibit 3.36 to the 2004 Registration Statement Amendment).

Exhibit T3B.28

 

By-laws of Pacific Zephyr Range Hood Inc. (incorporated by reference to Exhibit 3.70 to the 2008 Registration Statement).

Exhibit T3B.29

 

By-laws of Panamax Inc. (incorporated by reference to Exhibit 3.72 to the 2008 Registration Statement).

Exhibit T3B.30

 

By-laws of Rangaire GP, Inc. (incorporated by reference to Exhibit 3.38 to the 2004 Registration Statement).

Exhibit T3B.31

 

By-laws of Rangaire LP, Inc (incorporated by reference to Exhibit 3.42 to the 2004 Registration Statement).

Exhibit T3B.32

 

By-laws of Secure Wireless, Inc. (incorporated by reference to Exhibit 3.78 to the 2008 Registration Statement).

Exhibit T3B.33

 

By-laws of SpeakerCraft, Inc. (incorporated by reference to Exhibit 3.44 to the 2004 Registration Statement Amendment).

Exhibit T3B.34

 

By-laws of Temtrol, Inc. (incorporated by reference to Exhibit 3.46 to the 2004 Registration Statement).

Exhibit T3B.35

 

By-laws of Xantech Corporation (incorporated by reference to Exhibit 3.52 to the 2004 Registration Statement).

Exhibit T3B.36

 

By-laws of Zephyr Corporation (incorporated by reference to Exhibit 3.90 to the 2008 Registration Statement).

Exhibit T3C.1

 

Form of Indenture among Nortek, Inc., the guarantors named therein and         , as trustee.

Exhibit T3D.1

 

Not Applicable.

Exhibit T3E.1

 

Disclosure Statement relating to the Prepackaged Plan of Reorganization of Nortek Holdings, Inc., et al. dated September 18, 2009 (incorporated by reference to Exhibit 99.1 of the Current Report on Form 8-K filed by Nortek, Inc. on September 18, 2009).

Exhibit T3F.1

 

Cross-reference sheet showing the location in the Indenture of the provisions inserted therein pursuant to Section 310 through 318(a), inclusive, of the Trust Indenture Act of 1939 (included in Exhibit T3C.1 hereto).

Exhibit 25.1

 

Statement of eligibility and qualification on Form T-1 of U.S. Bank National Association, as trustee under the Indenture to be qualified.*

 

* To be filed by amendment.

 

                                                                                           

 

39

 


SIGNATURE

 

Pursuant to the requirements of the Trust Indenture Act of 1939, each of the Applicants below, has duly caused this application to be signed on its behalf by the undersigned, thereunto duly authorized, all in the City of Providence and State of Rhode Island, on the 18th day of September, 2009.

 

 

NORTEK, INC.

 

 

 

 

 

By:

  /s/  Kevin W. Donnelly

 

 

Name:

Kevin W. Donnelly

 

 

Title:

Vice President, General Counsel and Secretary

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

40

 

 

 

 

 

AIGIS MECHTRONICS, INC.

BROAN-MEXICO HOLDINGS, INC.

BROAN-NUTONE LLC

BROAN-NUTONE STORAGE SOLUTIONS LP

CES GROUP, INC.

CES INTERNATIONAL LTD.

CLEANPAK INTERNATIONAL, INC.

ELAN HOME SYSTEMS, L.L.C.

GEFEN, INC.

GOVERNAIR CORPORATION

GTO, INC.

HC INSTALLATIONS, INC.

HOMELOGIC LLC

HUNTAIR, INC.

INTERNATIONAL ELECTRONICS LLC

LINEAR LLC

LITETOUCH, INC.

MAGENTA RESEARCH LTD.

MAMMOTH-WEBCO, INC.

NILES AUDIO CORPORATION

NORDYNE INC.

NORDYNE INTERNATIONAL, INC.

NORTEK INTERNATIONAL, INC.

NUTONE LLC

OMNIMOUNT SYSTEMS, INC.

OPERATOR SPECIALTY COMPANY, INC.

PACIFIC ZEPHYR RANGE HOOD, INC.

PANAMAX INC.

RANGAIRE GP, INC.

RANGAIRE LP, INC.

SECURE WIRELESS, INC.

SPEAKERCRAFT, INC.

TEMTROL, INC.

XANTECH CORPORATION

ZEPHYR CORPORATION

 

 

 

By:

  /s/  Kevin W. Donnelly

 

 

Name:

Kevin W. Donnelly

 

 

Title:

Vice President and Secretary

 

 

(of entity listed or as an officer of the managing member, sole member or general partner)

Attest:

 

 

 

   /s/  Andrew W. Prete

 

Name:

Andrew W. Prete

 

Title:

Assistant Secretary of Nortek, Inc.

 

 

 

 

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