Second Amendment to Fourth Amended and Restated Registration Rights Agreement by and among SpeechWorks International, Inc., AT&T Corp., and Investors

Summary

This amendment updates the existing Registration Rights Agreement between SpeechWorks International, Inc., AT&T Corp., and various investors. It adds AT&T as a new investor, updates the list of parties, and revises the definition of "Registrable Stock" to include shares held by AT&T and other specified stock. The agreement ensures that AT&T receives the same registration rights as other investors. All other terms of the original agreement remain in effect, and the amendment is governed by Delaware law.

EX-10.13 8 0008.txt 2ND AMEND. TO 4TH AMEND. & RESTATED REGISTRATION RIGHTS AGREEMENT EXHIBIT 10.13 SECOND AMENDMENT TO FOURTH AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT THIS SECOND AMENDMENT, dated as of June 5, 2000 (the "Agreement"), to the Fourth Amended and Restated Registration Rights Agreement dated as of April 11, 2000 as amended by the First Amendment thereto dated May 16, 2000 (the "Registration Rights Agreement"), by and among SPEECHWORKS INTERNATIONAL, INC., a Delaware corporation (the "Company") and the stockholders of the Company named therein, is by and among the Company and AT&T Corp. (the "New Investor") and the persons named on the signature page hereto as Investors (collectively, the "Investors"). All other capitalized terms used herein and not otherwise defined have their respective meanings set forth in the Registration Rights Agreement. WHEREAS, the New Investor is acquiring this date 1,045,158 shares of the Common Stock, $0.001 par value per share (the "Shares"), of the Company pursuant to the terms of a certain Common Stock Purchase Agreement dated the date hereof (the "Purchase Agreement"); WHEREAS, the Purchase Agreement contemplates in Section 5 thereof that the Registration Rights Agreement shall be amended to add the New Investor as a party to the Registration Rights Agreement; and WHEREAS, the Investors who are signatories hereto hold in the aggregate a sufficient number of shares of Registrable Stock to amend the Registration Rights Agreement in accordance with Section 14 thereof to add the New Investor as party thereto. NOW, THEREFORE, in consideration of the mutual covenants and agreements set forth herein, the parties agree as follows: 1. Amendment to Schedule RRA (Revised). From and after the date hereof, Schedule RRA (Revised) to the Registration Rights Agreement is deleted and replaced by Schedule RRA (2nd Revised), dated the date hereof and attached hereto and the term "Investors" as used therein and herein shall mean and refer to all the persons and entities identified on said Schedule RRA (2nd Revised). 2. Amendment to Definition of "Registrable Stock". The definition of ---------------------------------------------- "Registrable Stock" set forth in Section 1 of the Registration Rights Agreement is hereby deleted and replaced by the following definition: "Registrable Stock" means (a) the Common Stock issued or issuable upon conversion of the Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock or Series E Preferred Stock, and owned of record by any Investor or an Affiliate of any Investor; (b) all Common Stock now or hereafter owned of record by any Investor which is acquired otherwise than upon conversion of the Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock or Series E Preferred Stock, so long as it is held by any Investor or an Affiliate of the Investor, (c) all the shares of Common Stock issued or issuable upon exercise of any warrant now or hereafter held by Lighthouse, (d) all the 1. shares of Common Stock issued or issuable upon exercise of any warrant now or hereafter held by InterVoice-Brite, Inc., (e) all Common Stock now or hereafter owned by the New Investor and (f) any other shares of Common Stock issued in respect of such shares by way of a stock dividend, or stock split or in connection with a combination of shares, recapitalization, merger or consolidation or reorganization, provided, however , that shares of Common Stock -------- ------- shall only be treated as Registrable Stock (i) if and so long as they have not been (x) sold to or through a broker or dealer or underwriter in a public distribution or a public securities transaction, or (y) sold in a transaction exempt from the registration and prospectus delivery requirements of the Securities Act under Section 4(1) thereof so that all transfer restrictions and restrictive legends with respect to such Common Stock are removed upon the consummation of such sale. 3. Continued Effect. As amended hereby, the Registration Rights Agreement ---------------- is hereby ratified and confirmed and agreed to by all of the parties hereto and continues in full force and effect. 4. Counterparts. This Agreement may be executed in any number of ------------ counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. 5. Governing Law. This Agreement shall be governed by, and construed in ------------- accordance with the laws of the State of Delaware. [Signature pages follow] 2. IN WITNESS WHEREOF, the parties hereto have caused this Second Amendment to the Fourth Amended and Restated Registration Rights Agreement to be executed by their respective officers thereunto duly authorized, as of the date first above written. SPEECHWORKS INTERNATIONAL, INC. By: /s/ Stuart Patterson _________________________________________ Stuart Patterson, President and Chief Executive Officer NEW INVESTOR: AT&T CORP. By: /s/ David C. Nagel _______________________________ Name: Title: INVESTORS: IGATE VENTURES I, L.P. By: /s/ Ajmal Noorani _____________________________ Name: Title: REUTERS HOLDINGS SWITZERLAND SA By:_____________________________ Name: Title: CITICORP STRATEGIC TECHNOLOGY CORP. By:_____________________________ Name: Title: 3. GE CAPITAL EQUITY INVESTMENTS, INC. By: /s/ Stefan Abbruzzese _____________________________ Name: Title: MCI WORLDCOM VENTURE FUND, INC. By:_____________________________ Name: Title: CHARLES RIVER PARTNERSHIP VII By: /s/Richard Burnes _____________________________ Name: Title: ATLAS VENTURE FUND II, L.P. By: Atlas Venture Associates II, L.P., its general partner By: /s/ Barry Fidelman _____________________________ Name: Title: QUESTMARK PARTNERS, L.P. By: /s/ Thomas R. Hitchner _____________________________ Name: Title: INTEL 64 FUND, LLC By: INTEL 64 FUND OPERATIONS, INC., its Coordinating Member By: /s/ Noel Lazo _____________________________ Name: Title: 4. BANK OF AMERICA VENTURES By: /s/ Robert Obuch ____________________________________ Name: Title: BA VENTURE PARTNERS III By: /s/ Robert Obuch ____________________________________ Name: Title: RIGGS CAPITAL PARTNERS By:___________________________________ Name: Title: MINTZ LEVIN INVESTMENTS LLC By:_______________________________________ Name: Title: __________________________________________ Steven P. Rosenthal __________________________________________ Suzanne Abair and Kathleen MacDonald __________________________________________ Robert S. Fore LEE CAPITAL HOLDINGS 5. By:_______________________________________ Name: Title: CITIZENS CAPITAL INCORPORATED By:_______________________________________ Name: Title: __________________________________________ JOSEPH MURPHY DIGITAL BANDWIDTH LLC By:_______________________________________ Name: David B. Weinberg Title: President INTEL CORPORATION By: /s/ Noel Lazo --------------------------------------- Name: Title: SAP AMERICA, INC. By:_______________________________________ Name: Title: /s/ Paul Yovovich ----------------------------------------- Paul Yovovich __________________________________________ Ralph Mor 6. __________________________________________ Hedva Mor __________________________________________ Jeffrey Mor __________________________________________ Jean Guy Dahan __________________________________________ Naim Murad _________________________________________ John Meyrick _________________________________________ Brett Phaneuf _________________________________________ William J. O'Farrell _________________________________________ Noreen D. O'Farrell _________________________________________ William Ledingham /s/ William Haney _________________________________________ William Haney /s/ Anne Haney _________________________________________ Anne G. Haney LIGHTHOUSE CAPITAL PARTNERS, L.P. By: LIGHTHOUSE MANAGEMENT PARTNERS, L.P., its general partner By: LIGHTHOUSE CAPITAL PARTNERS, INC., its general partner By:_______________________________________ Title:____________________________________ __________________________________________ Mark Holthouse 7. --------------------------------------- Stephen Smith --------------------------------------- Sol Lerner --------------------------------------- Henry Lerner --------------------------------------- Leonard Epstein --------------------------------------- Bella Lerner --------------------------------------- Miriam Epstein --------------------------------------- Brian S. Eberman --------------------------------------- Edward J. McCaffrey --------------------------------------- Joyce V. McCaffrey INTERVOICE-BRITE, INC. By:____________________________________ Name: Title: 8. Schedule RRA (2/nd/ Revised) --------------------------- June 5, 2000 Investors and Mailing Addresses: - ------------------------------- AT&T Corp. 295 N. Maple Ave. Basking Ridge, NJ 07929 Attn. Vice President of Law iGate Ventures I, L.P. 1004 McKee Road Oakdale, PA 15071 Counsel: Buchanan Ingersoll Professional Corporation One Oxford Centre, 20th Floor 301 Grant Street Pittsburgh, PA 15219 Attn: James J. Barnes, Esq. (412) 562-1415 ###-###-#### (Fax) Reuters Holdings Switzerland SA 153 Route de Thonon 1245 Collogne-Bellerive Switzerland (with copies to: Reuters Limited 85 Fleet Street London EC4P 4AJ United Kingdom Attention: General Counsel) Citicorp Strategic Technology Corp. 909 Third Avenue, 16th Floor, New York, NY 10043 Attention: William F. Carson GE Capital Equity Investments, Inc. 120 Long Ridge Road, Stamford, CT 06927 Attention: General Counsel MCI WorldCom Venture Fund, Inc. 1801 Pennsylvania Avenue N.W. 6th Floor Washington D.C. 20006 9. Mintz Levin Investments LLC One Financial Center Boston, MA 02111 Attention: Steven P. Rosenthal, Esq. Steven P. Rosenthal 40 Bartlett Street Marblehead, MA 01945 Suzanne Abair & Kathleen MacDonald 16 Dartmouth Street Boston, MA 02116 Atlas Venture Fund II, L.P. 222 Berkeley Street Boston, MA 02116 Attention: Axel Bichara Charles River Partnership VII 1000 Winter Street Suite 3300 Waltham, MA 02154 Attention: Richard Burnes Digital Bandwidth LLC One First National Plaza Suite 3140 Chicago, IL Attention: David B. Weinberg Bank of America Ventures 950 Tower Lane, Suite 700 Foster City, CA 94404 Attention: Robert Obuch BA Venture Partners III 950 Tower Lane, Suite 700 Foster City, CA 94404 Attention: Robert Obuch Intel Corporation 5200 N.E. Elam Young Parkway Hillsboro, OR 07123 Attention: Ken Matthews SAP America, Inc. 10. 3999 WestChester Pike Newton Square, PA 19073 Attention: Gary Fromer QuestMark Partners, L.P. One South Street, Suite 800 Baltimore, Maryland 21202 Attention: Tim Krongard Riggs Capital Partners 800 17/th/ Street, N.W. Washington, DC 20006-3944 Attention: Vicken Dombalagian Intel 64 Fund Operations, Inc. 2200 Mission College Blvd. Santa Clara, CA 95052 Attn: Portfolio Manager - M/S: RN6-46 With a copy to: Intel Corporation 2200 Mission College Blvd. Santa Clara, CA 95052 Attention: General Counsel Robert S. Fore 520 Georgetown Avenue San Mateo, CA 94402 Edward J. McCaffrey 23 Warwick Road Winnetka, IL 60093 Joyce V. McCaffrey 23 Warwick Road Winnetka, IL 60093 Paul Yovovich 1007 Forest Avenue Wilmete, IL 60091-1757 Ralph Mor 11 Brook Road Sharon, MA 02067 Hedva Mor Rechov Hatziporen 6-Aleph 11. Bet Shemesh, ISRAEL 99000 Jeffrey Mor Rechov Hatziporen 6-Aleph Bet Shemesh, ISRAEL 99000 Jean Guy Dahan 12 Colburne Crescent, Apt. #3 Brookline, MA 02146 Naim Murad 75 Glengarry #502 Town of Mount Royal, PQ H3R 1A2 Canada John Meyrick 22 Lotus Avenue Scituate, MA 02066 Brett Phaneuf 380 Pine Street Marshfield, MA 02050 William J. O'Farrell 76 Taber Avenue Providence, RI 02906 Noreen D. O'Farrell 76 Taber Avenue Providence, RI 02906 William Ledingham 15 Wingate Road Wellesley, MA 02181 William Haney 61 Lincoln Road Wayland, MA 01778 Anne G. Haney 61 Lincoln Road Wayland, MA 01778 Lighthouse Capital Partners, L.P. 100 Drake's Landing, Suite 260 Greenbrae, CA ###-###-#### 12. Mark Holthouse 163 Upland Road Newtonville, MA 02160 Stephen Smith 5404 Spangler Avenue Bethesda, MD 20816 Sol Lerner 10 Flintlock Road Sharon, MA 02067 Henry Lerner One Celler Road Edison, NJ Leonard Epstein 193 Cheswick Road Brighton, MA 02135 Bella Lerner One Celler Road Edison, NJ Miriam Epstein 193 Chiswick Road Brighton, MA 02135 Brian S. Eberman 10 LaFayette Road Newton, MA 02162 Lee Capital Holdings, LLC One International Place Boston, MA 02110 Attn: Jonathan Lee Citizens Capital Incorporated 28 State Street, 15th Floor Boston, MA 02109 Attn: Robert Garrow Joseph Murphy 40 Maynard Farm Road Sudbury, MA 01776 Intervoice-Brite, Inc. 13. 17811 Waterview Parkway Dallas, TX 75252 14.