sv8
As filed with the Securities and Exchange Commission on
September 19, 2005.
Registration
No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
NeuStar, Inc.
(Exact Name of Registrant as Specified in Its Charter)
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Delaware
(State of Incorporation) |
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46000 Center Oak Plaza
Sterling, Virginia 20166
(Address, including Zip Code, of
Principal Executive Offices) |
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52-2141938
(I.R.S. Employer
Identification Number) |
NEUSTAR, INC. 1999 EQUITY INCENTIVE PLAN
NEUSTAR, INC. 2005 STOCK INCENTIVE PLAN
(Full Title of the Plan)
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Jeffrey E. Ganek
Chairman and Chief Executive Officer
NeuStar, Inc.
46000 Center Oak Plaza
Sterling, Virginia 20166
(571) 434-5400 |
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Copies to:
Stephen I. Glover, Esq.
Gibson, Dunn & Crutcher LLP
1050 Connecticut Ave., NW
Washington, DC 20036
(202) 955-8500 |
(Name, Address and Telephone Number, including Area Code,
of
Agent For Service)
CALCULATION OF REGISTRATION FEE
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Proposed Maximum |
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Proposed Maximum |
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Amount of |
Title of Securities |
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Amount |
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Aggregate Offering |
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Aggregate |
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Registration |
to be Registered |
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to be Registered(1) |
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Price per Share |
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Offering Price |
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Fee |
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Class A Common Stock, $0.001 par value per share(2)
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14,479,463 |
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$4.36(3) |
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$63,144,342.31 |
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$7,432.09 |
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Class A Common Stock, $0.001 par value per share(4)
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6,100,010 |
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$28.70(5) |
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$175,070,287.00 |
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$20,605.77 |
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Total:
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20,579,473 |
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n/a |
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$238,214,629.31 |
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$28,037.86 |
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(1) |
Pursuant to Rule 416(a) under the Securities Act of 1933,
there is also being registered such additional shares of
Class A Common Stock that become available under the
foregoing plans in connection with changes in the number of
outstanding Class A Common Stock because of events such as
recapitalizations, stock dividends, stock splits and reverse
stock splits, and any other securities with respect to which the
outstanding shares are converted or exchanged. |
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(2) |
Consists of shares reserved for issuance upon exercise of
outstanding options and vesting of outstanding phantom stock
units under the NeuStar, Inc. 1999 Equity Incentive Plan and
shares reserved for issuance upon exercise of outstanding
options under the NeuStar, Inc. 2005 Stock Incentive Plan. |
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(3) |
Pursuant to Rule 457(h) under the Securities Act, the
proposed maximum offering price per share was calculated based
on the weighted average exercise price of the outstanding
options and phantom stock units. |
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(4) |
Consists of shares reserved for issuance under the NeuStar, Inc.
2005 Stock Incentive Plan. Any shares registered for issuance
under the NeuStar, Inc. 1999 Equity Incentive Plan that
become available due to forfeiture, expiration, settlement in
cash or other termination of outstanding options or phantom
stock units will be added to the shares registered for issuance
under the NeuStar, Inc. 2005 Stock Incentive Plan. |
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(5) |
Estimated solely for the purpose of calculating the registration
fee. The registration fee has been calculated in accordance with
Rule 457(h) under the Securities Act based upon the average
of the high and low prices for the Class A Common Stock on
September 16, 2005, as reported by the New York Stock
Exchange, which was $28.70. |
INTRODUCTION
This Registration Statement on Form S-8 is filed by
NeuStar, Inc., a Delaware corporation (the
Registrant or the Company), relating to
an aggregate of 20,579,473 shares of the Companys
Class A Common Stock, par value $0.001 per share (the
Common Stock), issuable under the NeuStar, Inc. 1999
Equity Incentive Plan (the 1999 Plan) and the
NeuStar, Inc. 2005 Stock Incentive Plan (the 2005
Plan).
PART I
INFORMATION REQUIRED IN THE SECTION 10(a) PROSPECTUS
The information required in Part I of this Registration
Statement is included in the prospectus(es) for the 1999 Plan
and the 2005 Plan, which are not filed as part of this
Registration Statement pursuant to the Note to Part I of
Form S-8.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
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Item 3. |
Incorporation of Documents by Reference. |
The following documents previously filed with the Securities and
Exchange Commission (the Commission) are hereby
incorporated by reference into this Registration Statement:
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(a) The Registrants most recent Annual Report
pursuant to Section 13(a) or 15(d) of the Securities
Exchange Act of 1934, as amended (the Exchange Act),
or latest prospectus filed pursuant to Rule 424(b) under
the Securities Act of 1933, as amended (the Securities
Act), that contains audited financial statements for the
Registrants latest fiscal year for which such statements
have been filed. |
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(b) All other reports filed pursuant to Section 13(a)
or 15(d) of the Exchange Act since the end of the fiscal year
covered by the Registrants financial statements included
in the most recent annual report or prospectus referred to in
(a) above. |
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(c) The description of the Common Stock set forth under the
caption Description of Registrants Securities to be
Registered in the Registrants Registration Statement
on Form 8-A filed with the Commission on June 27,
2005, together with any amendment or report filed with the
Commission for the purpose of updating such description. |
All reports and other documents that the Registrant subsequently
files with the Commission pursuant to Sections 13(a),
13(c), 14, or 15(d) of the Exchange Act, prior to the
filing of a post-effective amendment indicating that the Company
has sold all of the securities offered under this Registration
Statement or that deregisters the distribution of all such
securities then remaining unsold, shall be deemed to be
incorporated by reference into this Registration Statement from
the date that the Company files such report or document. Any
statement contained in this Registration Statement or any report
or document incorporated into this Registration Statement by
reference, however, shall be deemed to be modified or superseded
for purposes of this Registration Statement to the extent that a
statement contained in a subsequently dated report or document
that is also considered part of this Registration Statement, or
in any amendment to this Registration Statement, is inconsistent
with such prior statement. The Registrants Exchange Act
file number with the Commission is 001-32548.
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Item 4. |
Description of Securities. |
Not applicable.
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Item 5. |
Interests of Named Experts and Counsel. |
Not applicable.
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Item 6. |
Indemnification of Directors and Officers. |
Section 145(a) of the Delaware General Corporation Law
provides that a Delaware corporation may indemnify any person
who was or is a party or is threatened to be made a party to any
threatened, pending or completed action, suit or proceeding,
whether civil, criminal, administrative or investigative (other
than an action by or in the right of the corporation) by reason
of the fact that such person is or was a director, officer,
employee or agent of the corporation, or is or was serving at
the request of the corporation as a director, officer, employee
or agent of another corporation or enterprise, against expenses
(including attorneys fees), judgments, fines and amounts
paid in settlement actually and reasonably incurred by such
person in connection with such action, suit or proceeding if he
or she acted in good faith and in a manner he or she reasonably
believed to be in or not opposed to the best interests of the
corporation, and, with respect to any criminal action or
proceeding, had no cause to believe his or her conduct was
unlawful.
Section 145(b) of the Delaware General Corporation Law
provides that a Delaware corporation may indemnify any person
who was or is a party or is threatened to be made a party to any
threatened, pending or completed action or suit by or in the
right of the corporation to procure a judgment in its favor by
reason of the fact that such person acted in any of the
capacities set forth above, against expenses (including
attorneys fees) actually and reasonably incurred by such
person in connection with the defense or settlement of such
action or suit if he or she acted under similar standards,
except that no indemnification may be made in respect of any
claim, issue or matter as to which such person shall have been
adjudged to be liable to the corporation unless and only to the
extent that the court in which such action or suit was brought
shall determine that, despite the adjudication of liability but
in view of all the circumstances of the case, such person is
fairly and reasonably entitled to be indemnified for such
expenses which the court shall deem proper.
Section 145 of the Delaware General Corporation Law further
provides that: (i) to the extent that a former or present
director or officer of a corporation has been successful in the
defense of any action, suit or proceeding referred to in
subsections (a) and (b) or in the defense of any
claim, issue or matter therein, such person shall be indemnified
against expenses (including attorneys fees) actually and
reasonably incurred by him or her in connection therewith;
(ii) indemnification provided for by Section 145 shall
not be deemed exclusive of any other rights to which the
indemnified party may be entitled; and (iii) the
corporation may purchase and maintain insurance on behalf of any
present or former director, officer, employee or agent of the
corporation or any person who at the request of the corporation
was serving in such capacity for another entity against any
liability asserted against such person and incurred by him or
her in any such capacity or arising out of his or her status as
such, whether or not the corporation would have the power to
indemnify him or her against such liabilities under
Section 145.
As permitted by Section 102(b)(7) of the Delaware General
Corporation Law, the Registrants Restated Certificate of
Incorporation provides that a director shall not be liable to
the Registrant or its stockholders for monetary damages for
breach of fiduciary duty as a director. However, such provision
does not eliminate or limit the liability of a director for acts
or omissions not in good faith or for breaching his or her duty
of loyalty, engaging in intentional misconduct or knowingly
violating a law, paying a dividend or approving a stock
repurchase that was illegal, or obtaining an improper personal
benefit. In addition, the Registrants Restated Certificate
of Incorporation and bylaws contain provisions requiring
indemnification of directors and executive officers of the
Registrant to the fullest extent authorized by the Delaware
General Corporation Law, and permitting the indemnification of
its other employees and agents (and employees and agents of its
subsidiaries and affiliates) to the fullest extent authorized
under the Delaware General Corporation Law. The Registrant has
entered into indemnification agreements with each of its
directors and each of its officers at the senior vice
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president level and above. These agreements provide for
indemnification to the fullest extent permitted by the Delaware
General Corporation Law.
Under the provisions of the Registrants Restated
Certificate of Incorporation, expenses incurred by a director or
executive officer in defending a civil or criminal suit or
proceeding shall be paid by the Registrant in advance of the
final disposition of such action, suit or proceeding upon
receipt of an undertaking by or on behalf of the person seeking
indemnification to repay such amounts if it is ultimately
determined that he or she is not entitled to be indemnified. The
Registrants Restated Certificate of Incorporation
currently authorizes, but does not require, advancement of
expenses to employees and agents of the Registrant on the same
conditions that apply to directors and executive officers of the
Registrant. The rights to indemnification set forth in the
Registrants Restated Certificate of Incorporation and
bylaws are not exclusive of any provisions with respect thereto
in other contracts or agreements between the Registrant and any
officer, director, employee or agent of the Registrant,
including the indemnification agreements described above.
The Registrant may, to the fullest extent permitted by the
Delaware General Corporation Law, purchase and maintain
insurance on behalf of any officer, director, employee or agent
against any liability that may be asserted against such person.
All of the Registrants directors and officers are covered
by insurance policies maintained by the Registrant against
certain liabilities for actions taken in their capacities as
such, including liabilities under the Securities Act.
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Item 7. |
Exemption from Registration Claimed. |
Not applicable.
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Exhibit |
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No. |
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Description |
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4 |
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Restated Certificate of Incorporation of the Registrant. |
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4 |
.2 |
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Bylaws of the Registrant. |
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4 |
.3 |
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Specimen Class A Common Stock Certificate. |
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4 |
.4 |
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Specimen Class B Common Stock Certificate. |
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4 |
.5 |
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Stockholders Agreement, dated June 28, 2005, by and among
NeuStar, Inc. and the stockholders named therein. |
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4 |
.6 |
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Registration Rights Agreement, dated as of June 5, 2001, by
and among NeuStar, Inc. and the stockholders named therein. |
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4 |
.7 |
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Form of Warrants dated December 7, 1999. |
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5 |
.1 |
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Opinion of Gibson, Dunn & Crutcher LLP. |
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10 |
.1 |
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NeuStar, Inc. 1999 Equity Incentive Plan. |
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10 |
.2 |
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NeuStar, Inc. 2005 Stock Incentive Plan. |
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23 |
.1 |
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Consent of Gibson, Dunn & Crutcher LLP. |
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23 |
.2 |
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Consent of Ernst & Young LLP. |
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24 |
.1 |
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Power of Attorney. |
1. The undersigned Registrant hereby undertakes:
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(a) To file, during any period in which offers or sales are
being made, a post-effective amendment to this Registration
Statement: |
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(i) To include any prospectus required by
Section 10(a)(3) of the Securities Act; |
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(ii) To reflect in the prospectus any facts or events
arising after the effective date of this Registration Statement
(or the most recent post-effective amendment thereof) which,
individually |
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or in the aggregate, represent a fundamental change in the
information set forth in the Registration Statement.
Notwithstanding the foregoing, any increase or decrease in
volume of securities offered (if the total dollar value of
securities offered would not exceed that which was registered)
and any deviation from the low or high end of the estimated
maximum offering range may be reflected in the form of
prospectus filed with the Commission pursuant to
Rule 424(b) if, in the aggregate, the changes in volume and
price represent no more than a 20 percent (20%) change in
the maximum aggregate offering price set forth in the
Calculation of Registration Fee table in the
effective registration statement; and |
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(iii) To include any material information with respect to
the plan of distribution not previously disclosed in this
Registration Statement or any material change to such
information in this Registration Statement; |
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provided, however, that paragraphs (1)(a)(i) and
(1)(a)(ii) do not apply if the information required to be
included in a post-effective amendment by those paragraphs is
contained in periodic reports filed with or furnished to the
Commission by the Registrant pursuant to Section 13 or
Section 15(d) of the Exchange Act that are incorporated by
reference in this Registration Statement; |
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(b) That, for the purpose of determining any liability
under the Securities Act, each such post-effective amendment
shall be deemed to be a new registration statement relating to
the securities offered therein, and the offering of such
securities at that time shall be deemed to be the initial bona
fide offering thereof; and |
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(c) To remove from registration by means of a
post-effective amendment any of the securities being registered
which remain unsold at the termination of the offering. |
2. The undersigned Registrant hereby undertakes that, for
purposes of determining any liability under the Securities Act,
each filing of the Registrants annual report pursuant to
Section 13(a) or Section 15(d) of the Exchange Act
that is incorporated by reference in this Registration Statement
shall be deemed to be a new registration statement relating to
the securities offered therein, and the offering of such
securities at that time shall be deemed to be the initial bona
fide offering thereof.
3. Insofar as indemnification for liabilities arising under
the Securities Act may be permitted to directors, officers and
controlling persons of the Registrant pursuant to the foregoing
provisions, or otherwise, the Registrant has been advised that
in the opinion of the Commission such indemnification is against
public policy as expressed in the Securities Act and is,
therefore, unenforceable. In the event that a claim for
indemnification against such liabilities (other than the payment
by the Registrant of expenses incurred or paid by a director,
officer or controlling person of the Registrant in the
successful defense of any action, suit or proceeding) is
asserted by such director, officer or controlling person in
connection with the securities being registered, the Registrant
will, unless in the opinion of its counsel the matter has been
settled by controlling precedent, submit to a court of
appropriate jurisdiction the question whether such
indemnification by it is against public policy as expressed in
the Securities Act and will be governed by the final
adjudication of such issue.
[SIGNATURES ON THE NEXT PAGE]
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933,
the Registrant certifies that it has reasonable grounds to
believe that it meets all of the requirements for filing on
Form S-8 and has duly caused this Registration Statement to
be signed on its behalf by the undersigned, thereunto duly
authorized, in the City of Sterling, Commonwealth of Virginia,
on September 19, 2005.
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Jeffrey E. Ganek |
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Chairman and Chief Executive Officer |
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature
appears below hereby constitutes and appoints Jeffrey E. Ganek
and Martin K. Lowen his true and lawful attorneys-in-fact and
agents, each with full power of substitution and resubstitution,
for him and in his name, place and stead, in any and all
capacities (unless revoked in writing), to sign any and all
amendments (including post-effective amendments) to the
Registration Statement to which this power of attorney is
attached, and to file the same, with all exhibits thereto, and
other documents in connection therewith, with the Securities and
Exchange Commission, granting unto said attorneys-in-fact and
agents full power and authority to do and perform each and every
act and thing requisite and necessary to be done in and about
the premises, as fully to all intents and purposes as he might
or could do in person, hereby ratifying and confirming all that
said attorneys-in-fact and agents or any of them, or their
substitute or substitutes, may lawfully do or cause to be done
by virtue hereof.
Pursuant to the requirements of the Securities Act of 1933,
this Registration Statement has been signed by the following
persons in the capacities indicated on September 19,
2005.
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Signature |
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Title |
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/s/ Jeffrey E. Ganek
Jeffrey E. Ganek |
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Chairman of the Board of Directors and
Chief Executive Officer
(Principal Executive Officer) |
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/s/ Jeffrey A. Babka
Jeffrey A. Babka |
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Senior Vice President and Chief Financial Officer (Principal
Financial Officer and
Principal Accounting Officer) |
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/s/ James G. Cullen
James G. Cullen |
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Director |
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/s/ Henry Geller
Henry Geller |
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Director |
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/s/ Dr. Henry
Kressel
Dr. Henry Kressel |
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Director |
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/s/ Joseph P. Landy
Joseph P. Landy |
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Director |
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/s/ Dr. Kenneth A.
Pickar
Dr. Kenneth A. Pickar |
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Director |
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Frank
L. Schiff |
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Director |
5
EXHIBIT INDEX
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Sequentially | |
Exhibit | |
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Numbered | |
No. | |
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Description |
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Page | |
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4 |
.1 |
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Restated Certificate of Incorporation of the Registrant
(incorporated by reference to Exhibit 3.1 to the
Registrants registration statement on Form S-1 (File
No. 333-123635) filed on June 28, 2005). |
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N/A |
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4 |
.2 |
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Bylaws of the Registrant (incorporated by reference to
Exhibit 3.2 to the Registrants registration statement
on Form S-1 (File No. 333-123635) filed on
June 28, 2005). |
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N/A |
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4 |
.3 |
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Specimen Class A Common Stock Certificate (incorporated by
reference to Exhibit 4.1 to the Registrants
registration statement on Form S-1 (File
No. 333-123635) filed on June 28, 2005). |
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N/A |
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4 |
.4 |
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Specimen Class B Common Stock Certificate (incorporated by
reference to Exhibit 4.2 to the Registrants
registration statement on Form S-1 (File
No. 333-123635) filed on June 28, 2005). |
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N/A |
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4 |
.5 |
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Stockholders Agreement, dated June 28, 2005, by and among
NeuStar, Inc. and the stockholders named therein (incorporated
by reference to the Exhibit 4.3 to the Registrants
report on Form 10-Q for the period ended June 30, 2005
filed on August 15, 2005). |
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N/A |
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4 |
.6 |
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Registration Rights Agreement, dated as of June 5, 2001, by
and among NeuStar, Inc. and the stockholders named therein
(incorporated by reference to Exhibit 4.4 to the
Registrants registration statement on Form S-1 (File
No. 333-123635) filed on April 8, 2005). |
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N/A |
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4 |
.7 |
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Form of Warrants dated December 7, 1999 (incorporated by
reference to Exhibit 4.5 to the Registrants
registration statement on Form S-1 (File
No. 333-123635) filed on May 11, 2005). |
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N/A |
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5 |
.1 |
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Opinion of Gibson, Dunn & Crutcher LLP. |
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E-1 |
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10 |
.1 |
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NeuStar, Inc. 1999 Equity Incentive Plan (incorporated by
reference to Exhibit 10.8 to the Registrants
registration statement on Form S-1 (File
No. 333-123635) filed on May 27, 2005). |
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N/A |
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10 |
.2 |
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NeuStar, Inc. 2005 Stock Incentive Plan (incorporated by
reference to Exhibit 10.9 to the Registrants
registration statement on Form S-1 (File
No. 333-123635) filed on May 27, 2005). |
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N/A |
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23 |
.1 |
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Consent of Gibson, Dunn & Crutcher LLP (contained in
Exhibit 5.1). |
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N/A |
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23 |
.2 |
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Consent of Ernst & Young LLP. |
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E-3 |
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24 |
.1 |
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Power of Attorney (included on the signature page of this
Registration Statement). |
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N/A |
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