Exhibit 10.30(B)

EX-10.30(B) 5 v85411exv10w30xby.txt EXHIBIT 10.30(B) Exhibit 10.30(b) Signature Page to Securities Purchase Agreement -- Additional Investment These signature pages are dated as of October 28, 2002 and constitute a legally binding supplement to the Securities Purchase Agreement dated as of October 10, 2002 between Superconductor Technologies Inc. and the Initial Investors named therein (the "Agreement"). Capitalized terms have the meanings assigned to them in the Agreement, and section references herein refer to sections of the Agreement. All representation and warranties are made as of the original date of the Agreement. The Agreement contemplates an aggregate investment in the Company between $15,000,000 and $20,000,000 on the Closing Date. The Initial Investors committed on October 10, 2002 to invest approximately $15.0 million on the Closing Date. Section 9.1 permits the sale of an additional $5.0 million of securities at the same price and on the same terms under the Agreement to a limited number of Additional Investors by having them execute these signature pages to the Agreement. Such sales are subject to certain conditions described in Section 9.1 and a right of first refusal described in Section 9.2. The Initial Investors and Additional Investors listed below desire to purchase, and the Company desires to issue and sell, upon the terms and conditions set forth in the Agreement, the following additional securities: (1) an aggregate of 5,263,317 shares of Common Stock and (2) Warrants to purchase up to an aggregate of 1,315,830 shares of Common Stock. These securities are in addition to, and not lieu of, the securities subscribed for by the Initial Investors on October 10, 2002. The Company represents and warrants that the sale of the foregoing securities complies with the conditions in Section 9.1. The Initial Investors have elected to subscribe for most of the remaining securities available under the Agreement (as set forth below opposite their names) and hereby waive the procedures concerning their right of first refusal in Section 9.2 with respect to the sale of securities to the Additional Investors as set forth below. IN WITNESS WHEREOF, the undersigned Initial Investors, Additional Investors and the Company have caused these signature pages to the Agreement to be duly executed in accordance with the provisions of Section 9 of the Agreement. "COMPANY" SUPERCONDUCTOR TECHNOLOGIES INC. By: --------------------------------------- M. Peter Thomas President and Chief Executive Officer S-14 "ADDITIONAL INVESTORS" RESIDENCE: California JUPITER PARTNERS Investment Amount: $525,000 ----------- Common Shares: 552,632 --------------- Warrant Shares: 138,158 By: -------------- -------------------------------- Alan R. Brudos, Partner Address for Notice: Jupiter Partners c/o Bryan & Edwards 600 Montgomery St., 35th Floor San Francisco, CA 94111 RESIDENCE: California WILLIAM C. EDWARDS TRUST UA 9/22/88 Investment Amount: $200,000 ------------ Common Shares: 210,526 ---------------- Warrant Shares: 52,632 --------------- ----------------------------------- Address for Notice: William C. Edwards, Trustee William C. Edwards 3000 Sand Hill Road Bldg.1 -- Suite 190 Menlo Park, CA 94025 RESIDENCE: California CREE ADAMS EDWARDS, TRUSTEE, CREE & JENNIFEREDWARDS FAMILY TRUST Investment Amount: $24,985 ---------- Common Shares: 26,300 By: Palo Alto Investors LLC -------------- Title: Investment Advisor Warrant Shares: 6,575 ------------- Address for Notice: By: Palo Alto Investors Mr. Will Edwards Title: Manager Palo Alto Investors 470 University Avenue Palo Alto, CA 94301 By: -------------------------------- Name: William L. Edwards Title: President S-15 WILLIAM H. DRAPER REVOCABLE TRUST RESIDENCE: California By: Palo Alto Investors LLC Investment Amount: $15,200 Title: Investment Advisor ---------- Common Shares: 16,000 -------------- Warrant Shares: 4,000 By: Palo Alto Investors ------------- Title: Manager Address for Notice: Mr. Will Edwards Palo Alto Investors By: 470 University Avenue ----------------------------- Palo Alto, CA 94301 Name: William L. Edwards Title: President RESIDENCE: California FRED M. GIBBONS Investment Amount: $25,460 By: Palo Alto Investors LLC ----------- Title: Investment Advisor Common Shares: 26,800 --------------- Warrant Shares: 6,700 -------------- By: Palo Alto Investors Title: Manager Address for Notice: Mr. Will Edwards Palo Alto Investors 470 University Avenue By: Palo Alto, CA 94301 ------------------------------ Name: William L. Edwards Title: President RESIDENCE: California PAUL C. EDWARDS Investment Amount: $24,985 By: Palo Alto Investors LLC ------------- Title: Investment Advisor Common Shares: 26,300 ----------------- Warrant Shares: 6,575 ---------------- By: Palo Alto Investors Title: Manager Address for Notice: Mr. Will Edwards Palo Alto Investors 470 University Avenue By: Palo Alto, CA 94301 ------------------------------ Name: William L. Edwards Title: President S-14 UBTI FREE, L.P. RESIDENCE: California By: Palo Alto Investors LLC Investment Amount: $ 47,025 Title: Investment Advisor ------------ Common Shares: 49,500 ---------------- Warrant Shares: 12,375 By: Palo Alto Investors --------------- Title: Manager Address for Notice: Mr. Will Edwards Palo Alto Investors By: 470 University Avenue ------------------------------------ Palo Alto, CA 94301 Name: William L. Edwards Title: President RESIDENCE: California WILLIAM C. EDWARDS REVOCABLE TRUST, U/A 9/22/88 Investment Amount: $172,345.20 ------------- Common Shares: 181,416 By: Palo Alto Investors LLC ----------------- Title: Investment Advisor Warrant Shares: 45,354 ---------------- Address for Notice: By: Palo Alto Investors Mr. Will Edwards Title: Manager Palo Alto Investors 470 University Avenue Palo Alto, CA 94301 By: ----------------------------------- Name: William L. Edwards Title: President "INITIAL INVESTORS" RESIDENCE: California ALLOY VENTURES 2002, L.P. Investment Amount: $1,601,752.25 -------------- Common Shares: 1,686,055 ------------------ Warrant Share 421,514 By: ----------------- ----------------------------------- Alloy Ventures 2002, LLC Address for Notice: Title: General Partner John F. Shoch, Ph.D. Alloy Ventures Managing Member of 480 Cowper Street, 2nd Floor Alloy Ventures 2002, LLC Palo Alto, CA 94301 S-14 RESIDENCE: California ALLOY PARTNERS 2002, L.P. Investment Amount: $43,247.80 ------------ Common Shares: 45,524 ---------------- Warrant Shares: 11,381 By: --------------- -------------------------------- Alloy Ventures 2002, LLC Address for Notice: Title: General Partner John F. Shoch, Ph.D. Alloy Ventures Managing Member of 480 Cowper Street, 2nd Floor Alloy Ventures 2002, LLC Palo Alto, CA 94301 RESIDENCE: Delaware WILMINGTON SECURITIES, INC. Investment Amount: $ 0 ------------ Common Shares: 0 ---------------- Warrant Shares: 0 By: --------------- -------------------------------- Andrew H. McQuarrie, President Address for Notice: Wilmington Securities, Inc. 824 Market Street, Suite 900 Wilmington, DE 19801 Attn: Andrew H. McQuarrie RESIDENCE: Pennsylvania HENRY L. HILLMAN, ELSIE HILLIARD HILLMAN AND C.G. GREFENSTETTE, Investment Amount: $810,000 TRUSTEES OF THE HENRY L.HILLMAN ------------- TRUST U/A/T DATED NOVEMBER 18, 1985 Common Shares: 852,632 ----------------- Warrant Shares: 213,158 ---------------- Address for Notice: By: c/o Maurice J. White -------------------------------- The Hillman Company C.G. Grefenstette, Trustee 1800 Grant Building Pittsburgh, PA 15219 shares and warrants S-15 RESIDENCE: Pennsylvania C.G. GREFENSTETTE AND L.M. WAGNER, TRUSTEES U/A/T DATED DECEMBER 30, Investment Amount: $0 1976 FOR THE CHILDREN OF JULIET LEA ----------- HILLMAN SIMONDS Common Shares: 0 -------------- Warrant Shares: 0 ------------- By: Address for Notice: --------------------------------- c/o Maurice J. White C.G. Grefenstette, Trustee The Hillman Company 1800 Grant Building By: Pittsburgh, PA 15219 -------------------------------- L.M. Wagner, Trustee RESIDENCE: Pennsylvania C.G. GREFENSTETTE AND L.M. WAGNER, TRUSTEES U/A/T DATED DECEMBER 30, 1976 Investment Amount: $0 FOR THE CHILDREN OF AUDREY HILLMAN -------- FISHER Common Shares: 0 ------------ Warrant Shares: 0 ------------ Address for Notice: By: c/o Maurice J. White --------------------------------- The Hillman Company C.G. Grefenstette, Trustee 1800 Grant Building Pittsburgh, PA 15219 By: -------------------------------- L.M. Wagner, Trustee RESIDENCE: Pennsylvania C.G. GREFENSTETTE AND L.M. WAGNER, TRUSTEES U/A/T DATED DECEMBER 30, 1976 Investment Amount: $0 FOR THE CHILDREN OF HENRY LEA ----------- HILLMAN, JR. Common Shares: 0 --------------- Warrant Shares: 0 --------------- Address for Notice: By: c/o Maurice J. White --------------------------------- The Hillman Company C.G. Grefenstette, Trustee 1800 Grant Building Pittsburgh, PA 15219 By: -------------------------------- L.M. Wagner, Trustee S-16 RESIDENCE: Pennsylvania C.G. GREFENSTETTE AND L.M. WAGNER, TRUSTEES U/A/T DATED DECEMBER 30, Investment Amount: $0 1976 FORTHE CHILDREN OF WILLIAM -------- TALBOTT HILLMAN Common Shares: 0 ------------ Warrant Shares: 0 ----------- By: --------------------------------- Address for Notice: C.G. Grefenstette, Trustee c/o Maurice J. White The Hillman Company By: --------------------------------- 1800 Grant Building L.M. Wagner, Trustee Pittsburgh, PA 15219 RESIDENCE: New York SPECIAL SITUATIONS FUND III, L.P. Investment Amount: $446,880 ---------- Common Shares: 470,400 --------------- Warrant Shares: 117,600 By: --------------- ---------------------------------- Name: David Greenhouse Address for Notice: Title: General Partner 153 E. 53rd Street, 51st Floor New York, NY 10022 RESIDENCE: New York SPECIAL SITUATIONS FUND CAYMAN, L.P. Investment Amount: $214,130 ----------- Common Shares: 225,400 --------------- Warrant Shares: 56,350 By: -------------- --------------------------------- Name: David Greenhouse Address for Notice: Title: General Partner 153 E. 53rd Street, 51st Floor New York, NY 10022 RESIDENCE: New York SPECIAL SITUATIONS PRIVATE EQUITY FUND, L.P. Investment Amount: $148,960 ------------ Common Shares: 156,800 ---------------- Warrant Shares: 39,200 By: --------------- ---------------------------------- Name: David Greenhouse Address for Notice: Title: General Partner 153 E. 53rd Street, 51st Floor New York, NY 10022 S-17 RESIDENCE: New York SPECIAL SITUATIONS TECHNOLOGY FUND, L.P. Investment Amount: $0 ------ Common Shares: 0 ---------- Warrant Shares: 0 By: --------- ----------------------------------- Name: David Greenhouse Address for Notice: Title: General Partner 153 E. 53rd Street, 51st Floor New York, NY 10022 RESIDENCE: California MICRO CAP PARTNERS, L.P. Investment Amount: $0 By: Palo Alto Investors LLC -------- Title: General Partner Common Shares: 0 ------------ Warrant Shares: 0 ----------- By: Palo Alto Investors Address for Notice: Title: Manager Mr. Will Edwards Palo Alto Investors 470 University Avenue By: Palo Alto, CA 94301 ---------------------------------- Name: William L. Edwards Title: President RESIDENCE: British Columbia Her Majesty the Queen in Right of the Province British Columbia Investment Amount: $0 --------- Common Shares: 0 By: Wellington Management Company, LLP ------------- Title: Investment Adviser Warrant Shares: 0 ------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento 75 State Street By: Boston, MA 02109 ---------------------------------- Name: Julie A. Jenkins Title: Vice President and Counsel S-18 RESIDENCE: Michigan The Dow Chemical Employees' Retirement Plan Investment Amount: $57,000 --------------- By: Wellington Management Company, LLP Common Shares: 60,000 Title: Investment Adviser ------------------- Warrant Shares: 15,000 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento By: 75 State Street --------------------------------------- Boston, MA 02109 Name: Julie A. Jenkins Title: Vice President and Counsel RESIDENCE: New York The Retirement Program Plan for Employees of Union Carbide Corporation Investment Amount: $47,500 --------------- Common Shares: 50,000 By: Wellington Management Company, LLP ------------------- Title: Investment Adviser Warrant Shares: 12,500 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento 75 State Street By: Boston, MA 02109 ------------------------------------------ Name: Julie A. Jenkins Title: Vice President and Counsel RESIDENCE: Singapore Government of Singapore Investment Corporation Pte Ltd Investment Amount: $ 0 --------------- Common Shares: 0 By: Wellington Management Company, LLP ------------------- Title: Investment Adviser Warrant Shares: 0 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento 75 State Street By: Boston, MA 02109 --------------------------------------- Name: Julie A. Jenkins Title: Vice President and Counsel S-19 RESIDENCE: Maryland Howard Hughes Medical Institute Investment Amount: $61,750 By: Wellington Management Company, LLP --------------- Title: Investment Adviser Common Shares: 65,000 ------------------- Warrant Shares: 16,250 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento By: 75 State Street ----------------------------------- Boston, MA 02109 Name: Julie A. Jenkins Title: Vice President and Counsel RESIDENCE: New York New York State Nurses Association Pension Plan Investment Amount: $41,800 --------------- By: Wellington Management Company, LLP Common Shares: 44,000 Title: Investment Adviser ------------------- Warrant Shares: 11,000 ----------------- Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento By: 75 State Street ---------------------------------- Boston, MA 02109 Name: Julie A. Jenkins Title: Vice President and Counsel RESIDENCE: Ohio Ohio Carpenters' Pension Fund Investment Amount: $109,250 By: Wellington Management Company, LLP --------------- Common Shares: 115,000 Title: Investment Adviser ------------------- Warrant Shares: 28,750 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento By: 75 State Street ---------------------------------- Boston, MA 02109 Name: Julie A. Jenkins Title: Vice President and Counsel S-20 RESIDENCE: Ohio Laborers' District Council and Contractors' of Ohio Pension Fund Investment Amount: $71,250 --------------- Common Shares: 75,000 By: Wellington Management Company, LLP ------------------- Title: Investment Adviser Warrant Shares: 18,750 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento 75 State Street By: Boston, MA 02109 -------------------------------------- Name: Julie A. Jenkins Title: Vice President and Counsel RESIDENCE: Oregon Oregon Investment Council Investment Amount: $ 0 By: Wellington Management Company, LLP --------------- Title: Investment Adviser Common Shares: 0 ------------------- Warrant Shares: 0 ------------------- Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento By: 75 State Street -------------------------------------- Boston, MA 02109 Name: Julie A. Jenkins Title: Vice President and Counsel RESIDENCE: New Jersey The Robert Wood Johnson Foundation Investment Amount: $66,500 By: Wellington Management Company, LLP --------------- Title: Investment Adviser Common Shares: 70,000 ------------------- Warrant Shares: 17,500 ------------------- Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento By: 75 State Street --------------------------------------- Boston, MA 02109 Name: Julie A. Jenkins Title: Vice President and Counsel S-21 RESIDENCE: Massachusetts WTC-CIF Emerging Companies Portfolio Investment Amount: $ 0 By: Wellington Management Company, LLP --------------- Title: Investment Adviser Common Shares: 0 ------------------- Warrant Shares: 0 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento By: 75 State Street ----------------------------------- Boston, MA 02109 Name: Julie A. Jenkins Title: Vice President and Counsel RESIDENCE: Massachusetts WTC-CTF Emerging Companies Portfolio Investment Amount: $ 0 By: Wellington Management Company, LLP --------------- Title: Investment Adviser Common Shares: 0 ------------------- Warrant Shares: 0 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento By: 75 State Street ---------------------------------- Boston, MA 02109 Name: Julie A. Jenkins Title: Vice President and Counsel RESIDENCE: Australia Australian Retirement Fund Investment Amount: $ 9,500 By: Wellington Management Company, LLP --------------- Title: Investment Adviser Common Shares: 10,000 ------------------- Warrant Shares: 2,500 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento By: 75 State Street ----------------------------------- Boston, MA 02109 Name: Julie A. Jenkins Title: Vice President and Counsel S-22 RESIDENCE: Alberta, Canada TELUS Corporation Investment Amount: $ 0 By: Wellington Management Company, LLP --------------- Title: Investment Adviser Common Shares: 0 ------------------- Warrant Shares: 0 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento By: 75 State Street ------------------------------------ Boston, MA 02109 Name: Julie A. Jenkins Title: Vice President and Counsel RESIDENCE: Australia JB Were Global Small Companies Fund Investment Amount: $66,500 By: Wellington Management Company, LLP --------------- Title: Investment Adviser Common Shares: 70,000 ------------------- Warrant Shares: 17,500 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento By: 75 State Street ------------------------------------- Boston, MA 02109 Name: Julie A. Jenkins Title: Vice President and Counsel RESIDENCE: New Zealand NZ Funds Global Small Companies Trust Investment Amount: $ 0 By: Wellington Management Company, LLP --------------- Title: Investment Adviser Common Shares: 0 ------------------- Warrant Shares: 0 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento By: 75 State Street ------------------------------------ Boston, MA 02109 Name: Julie A. Jenkins Title: Vice President and Counsel S-23 RESIDENCE: Australia Retail Employees' Superannuation Pty Ltd Investment Amount: $0 By: Wellington Management Company, LLP --------------- Title: Investment Adviser Common Shares: 0 ------------------- Warrant Shares: 0 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento By: 75 State Street ------------------------------------ Boston, MA 02109 Name: Julie A. Jenkins Title: Vice President and Counsel RESIDENCE: Pennsylvania SEI Institutional Investment Trust, Small Cap Growth Fund Investment Amount: $66,500 --------------- Common Shares: 70,000 By: Wellington Management Company, LLP ------------------- Title: Investment Adviser Warrant Shares: 17,500 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento 75 State Street By: Boston, MA 02109 ------------------------------------ Name: Julie A. Jenkins Title: Vice President and Counsel RESIDENCE: Pennsylvania SEI Institutional Managed Trust, Small Cap Growth Fund Investment Amount: $ 95,000 --------------- Common Shares: 100,000 By: Wellington Management Company, LLP ------------------- Title: Investment Adviser Warrant Shares: 25,000 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento 75 State Street By: Boston, MA 02109 ------------------------------------ Name: Julie A. Jenkins Title: Vice President and Counsel S-24 RESIDENCE: Alberta, Canada TELUS Foreign Equity Active Pool Investment Amount: $7,600 By: Wellington Management Company, LLP --------------- Title: Investment Adviser Common Shares: 8,000 ------------------- Warrant Shares: 2,000 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento By: 75 State Street ------------------------------------- Boston, MA 02109 Name: Julie A. Jenkins Title: Vice President and Counsel RESIDENCE: Australia Telstra Super Pty Ltd Investment Amount: $ 0 By: Wellington Management Company, LLP --------------- Title: Investment Adviser Common Shares: 0 ------------------- Warrant Shares: 0 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento By: 75 State Street ------------------------------------- Boston, MA 02109 Name: Julie A. Jenkins Title: Vice President and Counsel RESIDENCE: Ireland WMP (Dublin) -- Global Smaller Companies Equity Investment Amount: $ 0 --------------- Common Shares: 0 By: Wellington Management Company, LLP ------------------- Title: Investment Adviser Warrant Shares: 0 ------------------ Address for Notice: Wellington Management Company, LLP Attn: Gina Di Mento 75 State Street By: Boston, MA 02109 ------------------------------------- Name: Julie A. Jenkins Title: Vice President and Counsel S-25 Approval of Additional Investors Pursuant to Section 9.1 of the Agreement, the following Initial Investors hereby consent to the sale of securities to the Additional Investors listed on these signature pages at the price and on the terms set forth in the Agreement. ALLOY VENTURES 2002, LLC By: ------------------------------------ Name: John F. Shoch Title: Managing Member WELLINGTON MANAGEMENT COMPANY, LLP By: ------------------------------------ Name: Julie A. Jenkins Title: Vice President and Counsel S-26