SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13E-3
(RULE 13e-100)
RULE 13e-3 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE
SECURITIES EXCHANGE ACT OF 1934
(Name of Issuer)
Allion Healthcare, Inc.
Brickell Bay Acquisition Corp.
Brickell Bay Merger Corp.
H.I.G. Healthcare, LLC
H.I.G. Bayside Debt & LBO Fund II, L.P.
H.I.G. Bayside Advisors II, LLC
H.I.G.-GPII, Inc.
Sami W. Mnaymneh
Anthony A. Tamer
Parallex LLC
(Name of Persons Filing Statement)
Common Stock, par value $0.001 per share
(Title of Class of Securities)
(CUSIP Number of Class of Securities)
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Brickell Bay Acquisition Corp.
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Brickell Bay Merger Corp.
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H.I.G. Healthcare, LLC
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H.I.G. Bayside Debt & LBO Fund II, L.P.
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H.I.G. Bayside Advisors II, LLC
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H.I.G.-GPII, Inc.
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Sami W. Mnaymneh
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Allion Healthcare, Inc.
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Anthony A. Tamer
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1660 Walt Whitman Road
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1001 Brickell Bay Drive
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Parallex LLC
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Suite 105
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27
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Floor
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27181 Barefoot Boulevard
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Melville, New York 11747
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Miami, Florida 33131
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Millsboro, Delaware 19966
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Attn: Michael P. Moran
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Attn: Brian Schwartz
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Attn: Raymond Mirra, Jr.
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Tel. No.: (631) 547-6520
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(305) 379-2322
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(610) 586-1655
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(Name, Address, and Telephone Numbers of Person Authorized to Receive
Notices and Communications on Behalf of Persons Filing Statement)
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copies to:
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Alston & Bird LLP
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One Atlantic Center
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Kirkland & Ellis LLP
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Fox Rothschild LLP
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1201 West Peachtree Street
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300 North LaSalle
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2000 Market Street
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Atlanta, Georgia 30309
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Chicago, Illinois 60654
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10
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Floor
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Attention: Steven L. Pottle, Esq.
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Attention: James S. Rowe, Esq.
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Philadelphia, PA
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Justin R. Howard, Esq.
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Michael H. Weed, Esq.
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Attn: Bradley S. Rodos, Esq.
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(404) 881-7000
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(312) 862-2000
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(215) 299-2180
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This statement is filed in connection with (check the appropriate box):
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þ
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a.
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The filing of solicitation materials or an information statement
subject to Regulation 14A, Regulation 14C or Rule 13e-3(c) under the
Securities Exchange Act of 1934.
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b.
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The filing of a registration statement under the Securities Act of 1933.
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c.
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A tender offer.
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d.
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None of the above.
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Check the following box if the soliciting materials or information statement referred to in
checking box (a) are preliminary copies:
þ
Check the following box if the filing is a final amendment reporting the results of the
transaction:
o
Calculation of Filing Fee
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Transaction Valuation(1)
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Amount of Filing Fee(2)
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$161,260,374.29
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$8,998.32
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(1)
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For purposes of calculating the filing fee only, the transaction
value was determined by adding (a) the product of 20,787,548.46
shares of common stock proposed to be acquired in the merger
multiplied by the merger consideration of $6.60 per share, plus
(b) $1,171,812.50, the amount expected to be paid to holders of
outstanding stock options to purchase shares of common stock with
an exercise price of less than the merger consideration of $6.60
per share, plus (c) $2,132,354.95, the amount expected to be paid
to holders of outstanding warrants to purchase shares of common
stock with an exercise price of less than the merger consideration
of $6.60 per share, plus (d) $14,520,000.00, the amount expected
to be paid to holders of phantom shares, plus (e) certain other
related payments estimated to equal $6,238,387.00.
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(2)
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The filing fee, calculated in accordance with Regulation 0-11
under the Securities Exchange Act of 1934, as amended, equals
.00005580 multiplied by the total Transaction Valuation.
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Check the box if any part of the fee is offset as provided by
Exchange Act Rule 0-11(a)(2) and identify the filing with which
the offsetting fee was previously paid. Identify the previous
filing by registration statement number, or the Form or Schedule
and the date of its filing.
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Amount Previously Paid: $8,998.32
Form or Registration No.: Schedule 14A Preliminary Proxy Statement
Filing Party: Allion Healthcare, Inc.
Date Filed: October 30, 2009
TABLE OF CONTENTS
INTRODUCTION
This Rule 13e-3 transaction statement on Schedule 13E-3 is being filed with the Securities and
Exchange Commission (the Commission) jointly by the following persons (collectively, the filing
persons): Allion Healthcare, Inc., a Delaware corporation (Allion); Brickell Bay Acquisition
Corp., a Delaware corporation (Parent); Brickell Bay Merger Corp., a Delaware corporation
(Merger Sub); H.I.G. Healthcare, LLC, a Cayman Islands limited company; H.I.G. Bayside Debt & LBO
Fund II, L.P., a Delaware limited partnership; H.I.G. Bayside Advisors II, LLC, a Delaware limited
liability company; H.I.G.-GPII, Inc., a Delaware corporation; Sami W. Mnaymneh; Anthony A. Tamer;
and Parallex LLC, a Delaware limited liability company (Parallex).
On October 18, 2009, Parent, Merger Sub and Allion entered into an Agreement and Plan of
Merger (the Merger Agreement), pursuant to which Merger Sub will be merged with and into Allion,
and Allion will continue as the surviving corporation (the Merger). As a result of the Merger,
Allion will be wholly owned by Parent. Under the terms of the Merger Agreement, each share of
Allion common stock, par value $0.001 per share, outstanding at the effective time of the Merger
(other than shares owned by Parent, Merger Sub, Allion and their respective subsidiaries and
holders who have perfected and not withdrawn a demand for appraisal rights) will be cancelled and
converted into the right to receive $6.60 in cash, without interest. In connection with the Merger,
Parallex and certain other stockholders of Allion are expected to exchange a portion of the shares
of Allion common stock held by such stockholders for equity interests in Parent. The Merger is
subject to the satisfaction or waiver of the conditions set forth in the Merger Agreement,
including adoption and approval of the Merger Agreement by a majority of the outstanding shares of
Allion common stock entitled to vote on the Merger Agreement.
Concurrently with the filing of this Schedule 13E-3, Allion is filing with the Commission a
preliminary proxy statement on Schedule 14A pursuant to Section 14(a) of the Exchange Act of 1934
(the Proxy Statement) relating to a special meeting of stockholders of Allion. At the meeting,
stockholders of Allion will consider and vote upon a proposal to adopt and approve the Merger
Agreement. A copy of the Proxy Statement is attached hereto as Exhibit (a)(1). A copy of the Merger
Agreement is attached hereto as Exhibit (d)(1).
Pursuant to General Instruction G of Schedule 13E-3, this Schedule 13E-3 incorporates by
reference the information contained in the Proxy Statement in answer to the items of Schedule
13E-3. The information set forth in the Proxy Statement, including all appendices thereto, is
hereby expressly incorporated herein by reference, and the responses to each item in this Schedule
13E-3 are qualified in their entirety by the information contained in the Proxy Statement,
including all appendices thereto.
The information contained in this Schedule 13E-3 and the Proxy Statement concerning Allion was
supplied by Allion, and none of the other filing persons takes responsibility for the
accuracy of such information. Similarly, the information contained in this Schedule 13E-3 and the
Proxy Statement concerning each filing person other than Allion was supplied by each such
filing person, and no other filing person takes responsibility for the accuracy of any information
not supplied by such filing person.
Item 1. Summary Term Sheet.
Item 1001 of Regulation M-A:
The information set forth in the Proxy Statement under the following captions is incorporated
herein by reference:
SUMMARY TERM SHEET
QUESTIONS AND ANSWERS ABOUT THE SPECIAL MEETING AND THE MERGER
Item 2. Subject Company Information.
Item 1002 of Regulation M-A:
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(a)
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Name and Address
. The information set forth in the Proxy Statement
under the following captions is incorporated herein by reference:
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PARTIES INVOLVED IN THE MERGER
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(b)
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Securities
. The information set forth in the Proxy Statement under the
following captions is incorporated herein by reference:
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THE
SPECIAL MEETINGRecord Date, Outstanding Voting Securities,
Voting Rights and Quorum
SECURITY
OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT
MARKET PRICE AND DIVIDEND INFORMATION
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The exact title of each class of the subject equity securities is
Allion Healthcare, Inc. common stock, par value $0.001 per share.
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(c)
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Trading Market and Price
. The information set forth in the Proxy
Statement under the following captions is incorporated herein by
reference:
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MARKET PRICE AND DIVIDEND INFORMATION
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(d)
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Dividends
. The information set forth in the Proxy Statement under the
following captions is incorporated herein by reference:
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MARKET PRICE AND DIVIDEND INFORMATION
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(e)
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Prior Public Offerings
. The information set forth in the Proxy
Statement under the following captions is incorporated herein by
reference:
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PRIOR PUBLIC OFFERINGS AND STOCK PURCHASES
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(f)
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Prior Stock Purchases
. The information set forth in the Proxy
Statement under the following captions is incorporated herein by
reference:
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PRIOR PUBLIC OFFERINGS AND STOCK PURCHASES
Item 3. Identity and Background of Filing Person.
Item 1003 of Regulation M-A:
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(a)
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Name and Address
. The information set forth in the Proxy Statement
under the following captions is incorporated herein by reference:
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SUMMARY TERM SHEET
PARTIES INVOLVED IN THE MERGER
DIRECTORS AND EXECUTIVE OFFICERS OF ALLION, THE H.I.G. BUYING GROUP AND PARALLEX
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Allion is the subject company.
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(b)
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Business and Background of Entities
. The information set forth in the
Proxy Statement under the following captions is incorporated herein by
reference:
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SUMMARY TERM SHEET
PARTIES INVOLVED IN THE MERGER
DIRECTORS AND EXECUTIVE OFFICERS OF ALLION, THE H.I.G. BUYING GROUP AND PARALLEX
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(c)
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Business and Background of Natural Persons
. The information set forth
in the Proxy Statement under the following captions is incorporated
herein by reference:
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DIRECTORS AND EXECUTIVE OFFICERS OF ALLION, THE H.I.G. BUYING
GROUP AND PARALLEX
Item 4. Terms of the Transaction.
Item 1004 of Regulation M-A:
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(a)
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Material Terms
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The information set forth in the Proxy Statement under the following
captions is incorporated herein by reference:
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SUMMARY TERM SHEET
QUESTIONS AND ANSWERS ABOUT THE SPECIAL MEETING AND THE MERGER
THE SPECIAL MEETING
SPECIAL FACTORS
THE MERGER AND THE MERGER AGREEMENT
APPRAISAL RIGHTS
APPENDIX AAgreement and Plan of Merger
APPENDIX CVoting Agreement
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(c)
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Different Terms
. The information set forth in the Proxy Statement under the
following captions is incorporated herein by reference:
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SUMMARY TERM SHEET
QUESTIONS AND ANSWERS ABOUT THE SPECIAL MEETING AND THE MERGER
SPECIAL FACTORSPurposes and Reasons for the Merger
SPECIAL FACTORSEffects of the Merger
SPECIAL FACTORSRollover Agreements
SPECIAL FACTORSVoting Agreements
SPECIAL FACTORSInterests of Certain Persons in the Merger
THE MERGER AND THE MERGER AGREEMENTTreatment of Stock and Equity Awards
THE MERGER AND THE MERGER AGREEMENTCovenants
APPENDIX AAgreement and Plan of Merger
APPENDIX CVoting Agreement
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(d)
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Appraisal Rights
. The information set forth in the Proxy Statement under the
following captions is incorporated herein by reference:
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SUMMARY TERM SHEET
QUESTIONS AND ANSWERS ABOUT THE SPECIAL MEETING AND THE MERGER
APPRAISAL RIGHTS
APPENDIX DSection 262 of the General Corporation Law of the State of Delaware
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(e)
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Provisions For Unaffiliated Security Holders
. The information set forth in the Proxy
Statement under the following captions is incorporated herein by reference:
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SPECIAL FACTORSProvisions for Unaffiliated Security Holders
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(f)
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Eligibility for Listing or Trading
. Not applicable.
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Item 5. Past Contacts, Transactions, Negotiations and Agreements.
Item 1005 of Regulation M-A:
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(a)
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Transactions
. The information set forth in the Proxy Statement under the following
captions is incorporated herein by reference:
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PARTIES INVOLVED IN THE MERGER
SPECIAL FACTORSBackground of the Merger
SPECIAL FACTORSRelated Party Transactions
SELECTED HISTORICAL FINANCIAL DATA
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(b)
- (c)
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Significant Corporate Events; Negotiations or Contacts
. The information set forth in the
Proxy Statement under the following captions is incorporated herein by reference:
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SUMMARY TERM SHEET
QUESTIONS AND ANSWERS ABOUT THE SPECIAL MEETING AND THE MERGER
SPECIAL FACTORSBackground of the Merger
SPECIAL FACTORSRecommendation of the Special Committee and our Board of Directors
SPECIAL FACTORSFairness of the Merger; Reasons for the Recommendation of the Special Committee and our Board of Directors
SPECIAL FACTORSPosition of HIG, Parent, and Merger Sub as to the Fairness of the Merger
SPECIAL FACTORSFinancing of the Merger
SPECIAL FACTORSLimited Guarantee
SPECIAL FACTORSRollover Agreements
SPECIAL FACTORSVoting Agreements
SPECIAL FACTORSInterests of Certain Persons in the Merger
SPECIAL FACTORSRelated Party Transactions
THE MERGER AND THE MERGER AGREEMENT
APPENDIX AAgreement and Plan of Merger
APPENDIX CVoting Agreement
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(e)
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Agreements Involving the Subject Companys Securities
. The information set forth in the
Proxy Statement under the following captions is incorporated herein by reference:
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SUMMARY TERM SHEET
QUESTIONS AND ANSWERS ABOUT THE SPECIAL MEETING AND THE MERGER
PARTIES INVOLVED IN THE MERGER
THE SPECIAL MEETINGRequired Votes
SPECIAL FACTORSBackground of the Merger
SPECIAL FACTORSFairness of the Merger; Reasons for the Recommendation of the Special Committee and our Board of Directors
SPECIAL FACTORSEffects of the Mergesr
SPECIAL FACTORSFinancing of the Merger
SPECIAL FACTORSRollover Agreements
SPECIAL FACTORSVoting Agreements
SPECIAL FACTORSInterests of Certain Persons in the Merger
SPECIAL FACTORSRelated Party Transactions
SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT
THE MERGER AND THE MERGER AGREEMENT
APPENDIX AAgreement and Plan of Merger
APPENDIX CVoting Agreement
Item 6. Purposes of the Transaction and Plans or Proposals.
Item 1006 of Regulation M-A:
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(b)
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Use of Securities Acquired
. The information set forth in the Proxy Statement
under the following captions is incorporated herein by reference:
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SUMMARY TERM SHEET
QUESTIONS AND ANSWERS ABOUT THE SPECIAL MEETING AND THE MERGER
SPECIAL FACTORSPurposes and Reasons for the Merger
SPECIAL FACTORSEffects of the Merger
SPECIAL FACTORSPlans for Allion after the Merger
SPECIAL FACTORSInterests of Certain Persons in the Merger
THE MERGER AND THE MERGER AGREEMENTThe Merger
THE MERGER AND THE MERGER AGREEMENTTreatment of Stock and Equity Awards
THE MERGER AND THE MERGER AGREEMENTPayment of Merger
Consideration and
Surrender of Stock Certificates
APPENDIX AAgreement and Plan of Merger
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(c)(1)-(8)
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Plans
. The information set forth in the Proxy Statement under the following
captions is incorporated herein by reference:
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SUMMARY TERM SHEET
QUESTIONS AND ANSWERS ABOUT THE SPECIAL MEETING AND THE MERGER
SPECIAL FACTORSBackground of the Merger
SPECIAL FACTORSPurposes and Reasons for the Merger
SPECIAL FACTORSEffects of the Merger
SPECIAL FACTORSPlans for Allion after the Merger
SPECIAL FACTORSFinancing of the Merger
SPECIAL FACTORSRollover Agreements
SPECIAL FACTORSVoting Agreements
SPECIAL FACTORSInterests of Certain Persons in the Merger
THE MERGER AND THE MERGER AGREEMENT
APPENDIX AAgreement and Plan of Merger
APPENDIX CVoting Agreement
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Item 7. Purposes, Alternatives, Reasons and Effects.
Item 1013 of Regulation M-A:
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(a)
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Purposes
. The information set forth in the Proxy Statement under the following captions
is incorporated herein by reference:
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SUMMARY TERM SHEET
SPECIAL FACTORSBackground of the Merger
SPECIAL FACTORSRecommendation of the Special Committee and our Board of Directors
SPECIAL FACTORSFairness of the Merger; Reasons for the Recommendation of the Special
Committee and our Board of Directors
SPECIAL FACTORSPurposes and Reasons for the Merger
SPECIAL FACTORSPosition of the H.I.G. Buying Group as to the Fairness of the Merger
SPECIAL FACTORSPlans for Allion after the Merger
SPECIAL FACTORSEffects of the Merger
SPECIAL FACTORSInterests of Certain Persons in the Merger
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(b)
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Alternatives
. The information set forth in the Proxy Statement under the following
captions is incorporated herein by reference:
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SPECIAL FACTORSBackground of the Merger
SPECIAL FACTORSRecommendation of the Special Committee and our Board of Directors
SPECIAL FACTORSPurposes and Reasons for the Merger
SPECIAL FACTORSFairness of the Merger; Reasons for the Recommendation of the Special
Committee and our Board of Directors
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(c)
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Reasons
. The information set forth in the Proxy Statement under the following captions is
incorporated herein by reference:
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SUMMARY TERM SHEET
SPECIAL FACTORSBackground of the Merger
SPECIAL FACTORSRecommendation of the Special Committee and our Board of Directors
SPECIAL FACTORSFairness of the Merger; Reasons for the Recommendation of the Special
Committee and our Board of Directors
SPECIAL FACTORSPurposes and Reasons for the Merger
SPECIAL FACTORSPosition of the H.I.G. Buying Group as to the Fairness of the Merger
SPECIAL FACTORSOpinion of Allions Financial Advisor, Raymond James & Associates, Inc.
SPECIAL FACTORSEffects of the Merger
SPECIAL FACTORSPlans for Allion after the Merger
APPENDIX BOpinion of Raymond James & Associates, Inc.
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(d)
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Effects
. The information set forth in the Proxy Statement under the following captions is
incorporated herein by reference:
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SUMMARY TERM SHEET
QUESTIONS AND ANSWERS ABOUT THE SPECIAL MEETING AND THE MERGER
SPECIAL FACTORSBackground of the Merger
SPECIAL FACTORSFairness of the Merger; Reasons for the Recommendation of the Special
Committee and our Board of Directors
SPECIAL FACTORSPurposes and Reasons for the Merger
SPECIAL FACTORSEffects of the Merger
SPECIAL FACTORSPlans for Allion after the Merger
SPECIAL FACTORSRollover Agreements
SPECIAL FACTORSInterests of Certain Persons in the Merger
SPECIAL FACTORSMaterial U.S. Federal Income Tax Consequences
SPECIAL FACTORSEstimated Fees and Expenses of the Merger
THE MERGER AND THE MERGER AGREEMENT
APPRAISAL RIGHTS
APPENDIX AAgreement and Plan of Merger
APPENDIX DSection 262 of the General Corporation Law of the State of Delaware
Item 8. Fairness of the Transaction.
Item 1014 of Regulation M-A:
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(a)
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Fairness
. The information set forth in the Proxy Statement under the following captions
is incorporated herein by reference:
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SUMMARY TERM SHEET
QUESTIONS AND ANSWERS ABOUT THE SPECIAL MEETING AND THE MERGER
SPECIAL FACTORSBackground of the Merger
SPECIAL FACTORSRecommendation of the Special Committee and our Board of Directors
SPECIAL FACTORSFairness of the Merger; Reasons for the Recommendation of the Special Committee and our Board of Directors
SPECIAL FACTORSPurposes and Reasons for the Merger
SPECIAL FACTORSPosition of the H.I.G. Buying Group as to the Fairness of the Merger
SPECIAL FACTORSPosition of Parallex as to the Fairness of the Merger
SPECIAL FACTORSOpinion of Allions Financial Advisor, Raymond James & Associates, Inc.
APPENDIX BOpinion of Raymond James & Associates, Inc.
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(b)
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Factors Considered in Determining Fairness
. The information set forth in the Proxy
Statement under the following captions is incorporated herein by reference:
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SUMMARY TERM SHEET
QUESTIONS AND ANSWERS ABOUT THE SPECIAL MEETING AND THE MERGER
SPECIAL FACTORSBackground of the Merger
SPECIAL FACTORSRecommendation of the Special Committee and our Board of Directors
SPECIAL FACTORSFairness of the Merger; Reasons for the Recommendation of the Special
Committee and our Board of Directors
SPECIAL FACTORSPurposes and Reasons for the Merger
SPECIAL FACTORSPosition of the H.I.G. Buying Group as to the Fairness of the Merger
SPECIAL FACTORSPosition of Parallex as to the Fairness of the Merger
SPECIAL FACTORSOpinion of Allions Financial Advisor, Raymond James & Associates, Inc.
APPENDIX BOpinion of Raymond James & Associates, Inc.
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(c)
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Approval of Security Holders
. The information set forth in the Proxy Statement under the
following captions is incorporated herein by reference:
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SUMMARY TERM SHEET
QUESTIONS AND ANSWERS ABOUT THE SPECIAL MEETING AND THE MERGER
THE SPECIAL MEETINGRequired Votes
SPECIAL FACTORSFairness of the Merger; Reasons for the Recommendation of the Special Committee and our Board of Directors
SPECIAL FACTORSPosition of the H.I.G. Buying Group as to the Fairness of the Merger
SPECIAL FACTORSPosition of Parallex as to the Fairness of the Merger
THE MERGER AND THE MERGER AGREEMENTConditions
APPENDIX AAgreement and Plan of Merger
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(d)
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Unaffiliated Representative
. The information set forth in the Proxy Statement under the
following captions is incorporated herein by reference:
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SPECIAL FACTORSFairness of the Merger; Reasons for the Recommendation of the Special Committee and our Board of Directors
SPECIAL FACTORSPosition of the H.I.G. Buying Group as to the Fairness of the Merger
SPECIAL FACTORSPosition of Parallex as to the Fairness of the Merger
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(e)
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Approval of Directors
. The information set forth in the Proxy Statement under the
following captions is incorporated herein by reference:
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SPECIAL FACTORSRecommendation of the Special Committee and our Board of Directors
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(f)
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Other Offers
. The information set forth in the Proxy Statement under the following
captions is incorporated herein by reference:
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SPECIAL FACTORSFairness of the Merger; Reasons for the Recommendation of the Special Committee and our Board of Directors
SPECIAL FACTORSPosition of the H.I.G. Buying Group as to the Fairness of the Merger
SPECIAL FACTORSPosition of Parallex as to the Fairness of the Merger
Item 9. Reports, Opinions, Appraisals and Negotiations.
Item 1015 of Regulation M-A:
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(a) (b)
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Report, Opinion or Appraisal;
Preparer and Summary of the Report, Opinion or Appraisal
. The
information set forth in the Proxy Statement under the following captions is incorporated
herein by reference:
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SUMMARY TERM SHEET
SPECIAL FACTORSBackground of the Merger
SPECIAL FACTORSFairness of the Merger; Reasons for the Recommendation of the Special Committee and our Board of Directors
SPECIAL FACTORSPosition of the H.I.G. Buying Group as to the Fairness of the Merger
SPECIAL FACTORSOpinion of Allions Financial Advisor, Raymond James & Associates, Inc.
THE MERGER AND THE MERGER AGREEMENTRepresentations and Warranties
APPENDIX AAgreement and Plan of Merger
APPENDIX BOpinion of Raymond James & Associates, Inc.
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(c)
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Availability of Documents
. The information set forth in the Proxy Statement under the
following captions is incorporated herein by reference:
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The reports, opinions or appraisal referenced in this Item 9 will be made available for
inspection and copying at the principal executive offices of Allion Healthcare, Inc. during
regular business hours by any interested holder of Allion Healthcare, Inc. common stock or
any representative who has been so designated in writing.
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Item 10. Source and Amounts of Funds or Other Consideration.
Item 1007 of Regulation M-A:
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(a) (d)
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Source of Funds; Conditions;
Expenses; Borrowed Funds
. The
information set forth in the Proxy Statement under the following
captions is incorporated herein by reference:
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SUMMARY TERM SHEET
SPECIAL FACTORSEstimated Fees and Expenses of the Merger
THE MERGER AND THE MERGER AGREEMENT Financing of the Merger
THE MERGER AND THE MERGER AGREEMENTTermination Fees; Expenses
APPENDIX AAgreement and Plan of Merger
Item 11. Interest in Securities of the Subject Company.
Item 1008 of Regulation M-A:
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(a)
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Securities Ownership
. The information set forth in the Proxy Statement
under the following captions is incorporated herein by reference:
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SUMMARY TERM SHEET
PARTIES INVOLVED IN THE MERGER
SPECIAL FACTORSRollover Agreements
SPECIAL FACTORSInterests of Certain Persons in the Merger
SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT
DIRECTORS AND EXECUTIVE OFFICERS OF ALLION, THE H.I.G. BUYING GROUP AND PARALLEX
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(b)
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Securities Transactions
. The information set forth in the Proxy
Statement under the following captions is incorporated herein by
reference:
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RECENT TRANSACTIONS
Item 12. The Solicitation or Recommendation.
Item 1012 of Regulation M-A:
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(d)
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Intent to Tender or Vote in a Going-Private Transaction
. The information set forth in
the Proxy Statement under the following captions is incorporated herein by reference:
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SUMMARY TERM SHEET
THE SPECIAL MEETINGRequired Votes
SPECIAL FACTORSBackground of the Merger
SPECIAL FACTORSRecommendation of the Special Committee and our Board of Directors
SPECIAL FACTORSFairness of the Merger; Reasons for the
Recommendation of the Special Committee and our Board of Directors
SPECIAL FACTORSPurposes and Reasons for the Merger
SPECIAL FACTORSRollover Agreements
SPECIAL FACTORSVoting Agreements
SPECIAL FACTORSInterests of Certain Persons in the Merger
APPENDIX CVoting Agreement
(e)
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Recommendation of Others
. The information set forth in the Proxy Statement under the
following captions is incorporated herein by reference:
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SUMMARY TERM SHEET
QUESTIONS AND ANSWERS ABOUT THE SPECIAL MEETING AND THE MERGER
SPECIAL FACTORSBackground of the Merger
SPECIAL FACTORSRecommendation of the Special Committee and our Board of Directors
SPECIAL FACTORSFairness of the Merger; Reasons for the Recommendation of the Special Committee and our Board of Directors
SPECIAL FACTORSPosition of the H.I.G. Buying Group as to the Fairness of the Merger
SPECIAL FACTORSPosition of Parallex as to the Fairness of the Merger
THE MERGER AND THE MERGER AGREEMENTRepresentations and Warranties
APPENDIX AAgreement and Plan of Merger
Item 13. Financial Statements.
Item 1010 of Regulation M-A:
(a)
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Financial Information
. The information set forth in the Proxy
Statement under the following captions is incorporated herein by
reference:
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SELECTED HISTORICAL FINANCIAL DATA
WHERE YOU CAN FIND MORE INFORMATION
(b)
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Pro Forma Information
. Not applicable.
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Item 14. Persons/Assets, Retained, Employed, Compensated or Used.
Item 1009 of Regulation M-A:
(a) (b)
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Solicitations or Recommendations; Employees and Corporate
Assets
.
The information set forth in the Proxy Statement under the
following captions is incorporated herein by reference:
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QUESTIONS AND ANSWERS ABOUT THE SPECIAL MEETING AND THE MERGER
THE SPECIAL MEETINGRevocation of Proxies
THE SPECIAL MEETINGExpenses of Proxy Solicitation
SPECIAL FACTORSEstimated Fees and Expenses of the Merger
Item 15. Additional Information.
Item 1011 of Regulation M-A:
-12-
(b)
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Other Material Information
. The entirety of the Proxy Statement,
including all Appendices thereto, is incorporated herein by reference.
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Item 16. Exhibits.
Item 1016 of Regulation M-A:
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(a)(1)
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Preliminary Proxy Statement for the special meeting of the stockholders of Allion
Healthcare, Inc. (Incorporated by reference to the Schedule 14A filed with the Commission
on October 30, 2009 (the Proxy Statement)).
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(a)(2)
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Form of Proxy Card filed with the Commission together with the Proxy Statement.
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(a)(3)
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Form of Letter to Stockholders filed with the Commission together with the Proxy Statement.
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(a)(4)
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Form of Notice to Stockholders of Special Meeting filed with the Commission together with
the Proxy Statement.
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(b)(1)
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Commitment Letter, dated as of October 18, 2009, by and between Fifth Third Bank and
H.I.G. Bayside Debt & LBO Fund II, L.P. (Incorporated herein by reference to Exhibit 99.8
to the Schedule 13D filed by the reporting persons named therein on October 28, 2009.)
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(b)(2)
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Financing Commitment Letter, dated October 18, 2009, by and between Falcon Strategic
Partners III, LP and Brickell Bay Acquisition Corp. (Incorporated herein by reference to
Exhibit 99.7 to the Schedule 13D filed by the reporting persons named therein on October
28, 2009.)
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(c)(1)
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Opinion of Raymond James & Associates, Inc. (Incorporated herein by reference to Appendix
B of the Proxy Statement.)
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(c)(2)
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Materials presented by Raymond James & Associates, Inc. to the
Board of Directors on October 18, 2009.
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(d)(1)
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Agreement and Plan of Merger, dated as of October 18, 2009, by and among Brickell Bay
Acquisition Corp., Brickell Bay Merger Corp. and Allion. (Incorporated herein by reference
to Appendix A of the Proxy Statement.)
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(d)(2)
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Equity Commitment Letter, dated October 18, 2009, by and between H.I.G. Bayside Debt & LBO
Fund II, L.P. and Brickell Bay Acquisition Corp. (Incorporated herein by reference to
Exhibit 99.6 to the Schedule 13D filed by the reporting persons named therein on October
28, 2009.)
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(d)(3)
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Limited Guarantee, dated October 18, 2009, by H.I.G. Bayside Debt & LBO Fund II, L.P. in
favor of Allion Healthcare, Inc. (Incorporated herein by reference to Exhibit 99.9 to the
Schedule 13D filed by the reporting persons named therein on October 28, 2009.)
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(d)(4)
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Form of Voting Agreement, dated as of October 18, 2009, by and between Brickell Bay
Acquisition Corp. and the Stockholder named therein. (Incorporated herein by reference to
Appendix C of the Proxy Statement.)
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(d)(5)
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Form of Exchange Agreement with Stockholders other than Parallex, LLC, dated as of October
18, 2009, by and between Brickell Bay Acquisition Corp. and the Stockholder named therein.
(Incorporated herein by reference to Exhibit 99.4A to the Schedule 13D filed by the
reporting persons named therein on October 28, 2009.)
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-13-
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(d)(6)
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Exchange Agreement with Parallex LLC, dated as of October 18, 2009, by and between
Brickell Bay Acquisition Corp. and Parallex LLC. (Incorporated herein by reference to
Exhibit 99.4B to the Schedule 13D filed by the reporting persons named therein on October
28, 2009.)
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(d)(7)
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Stockholders Agreement, dated as of October 18, 2009, by and among Brickell Bay
Acquisition Corp, H.I.G. Healthcare, LLC and the Stockholders named therein. (Incorporated
herein by reference to Exhibit 99.5 to the Schedule 13D filed by the reporting persons
named therein on October 28, 2009.)
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(d)(8)
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Stockholders Agreement, dated April 4, 2008, by and among Allion Healthcare, Inc. and the
Stockholders named therein. (Incorporated herein by reference to Exhibit 4.1 to the
Current Report on Form 8-K filed by Allion Healthcare, Inc. on April 10, 2008.)
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(f)(1)
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Section 262 of the General Corporation Law of the State of Delaware. (Incorporated herein
by reference to Appendix D of the Proxy Statement.)
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-14-
SIGNATURES
After due inquiry and to the best of my knowledge and belief, I certify that the information
set forth in this statement is true, complete and correct.
Dated: October 30, 2009
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ALLION HEALTHCARE, INC.
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By:
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/s/ Michael P. Moran
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Michael P. Moran
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President and Chief Executive Officer
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After due inquiry and to the best of my knowledge and belief, I certify that the information
set forth in this statement is true, complete and correct.
Dated: October 30, 2009
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BRICKELL BAY ACQUISITION CORP.
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By:
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/s/ Brian D. Schwartz
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Name:
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Brian D. Schwartz
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Title:
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President
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After due inquiry and to the best of my knowledge and belief, I certify that the information
set forth in this statement is true, complete and correct.
Dated: October 30, 2009
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BRICKELL BAY MERGER CORP.
|
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By:
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/s/ Brian D. Schwartz
|
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Name:
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Brian D. Schwartz
|
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Title:
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President
|
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After due inquiry and to the best of my knowledge and belief, I certify that the information
set forth in this statement is true, complete and correct.
Dated: October 30, 2009
|
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H.I.G. HEALTHCARE, LLC
|
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By:
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H.I.G. Bayside Debt & LBO Fund II, L.P.
|
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Its: Manager
|
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By:
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H.I.G. Bayside Advisors II, LLC
|
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Its: General Partner
|
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By:
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H.I.G.-GPII, Inc.
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Its: Manager
|
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-15-
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By:
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/s/ Richard H. Siegel
|
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Name:
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Richard H. Siegel
|
|
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Title:
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Vice President and General Counsel
|
|
|
After due inquiry and to the best of my knowledge and belief, I certify that the information
set forth in this statement is true, complete and correct.
Dated: October 30, 2009
|
|
|
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H.I.G. BAYSIDE DEBT & LBO FUND II, L.P.
|
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By:
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H.I.G. Bayside Advisors II, LLC
|
|
|
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Its: General Partner
|
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|
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By:
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H.I.G.-GPII, Inc.
|
|
|
|
Its: Manager
|
|
|
|
|
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By:
|
/s/ Richard H. Siegel
|
|
|
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Name:
|
Richard H. Siegel
|
|
|
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Title:
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Vice President and General Counsel
|
|
|
After due inquiry and to the best of my knowledge and belief, I certify that the information
set forth in this statement is true, complete and correct.
Dated: October 30, 2009
|
|
|
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|
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H.I.G. BAYSIDE ADVISORS II, LLC
|
|
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By:
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H.I.G.-GPII, Inc.
|
|
|
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Its: Manager
|
|
|
|
|
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By:
|
/s/ Richard H. Siegel
|
|
|
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Name:
|
Richard H. Siegel
|
|
|
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Title:
|
Vice President and General Counsel
|
|
|
After due inquiry and to the best of my knowledge and belief, I certify that the information
set forth in this statement is true, complete and correct.
Dated: October 30, 2009
|
|
|
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H.I.G.-GPII, INC.
|
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By:
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/s/ Richard H. Siegel
|
|
|
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Name:
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Richard H. Siegel
|
|
|
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Title:
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Vice President and General Counsel
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-16-
After due inquiry and to the best of my knowledge and belief, I certify that the information
set forth in this statement is true, complete and correct.
Dated: October 30, 2009
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/s/ Sami W. Mnaymneh
|
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Sami W. Mnaymneh
|
|
|
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After due inquiry and to the best of my knowledge and belief, I certify that the information
set forth in this statement is true, complete and correct.
Dated: October 30, 2009
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/s/ Anthony A. Tamer
|
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Anthony A. Tamer
|
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After due inquiry and to the best of my knowledge and belief, I certify that the information
set forth in this statement is true, complete and correct.
Dated: October 30, 2009
|
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PARALLEX LLC
|
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By:
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/s/ Raymond A. Mirra, Jr.
|
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|
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Raymond A. Mirra, Jr.
|
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Manager
|
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-17-
Allion Healthcare (MM) (NASDAQ:ALLI)
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Allion Healthcare (MM) (NASDAQ:ALLI)
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