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In December 1999, the Company consummated
the repurchase of all the outstanding shares of Series A Preferred
Stock and 750,000 Warrants for $12.0 million. At the same time,
the Company reduced the exercise price of the remaining 250,000
Warrants from $11.50 per share to $4.00 per share.
In February 2002, the Company consummated
the sale of 60,000 shares of Series B Preferred Stock and 2002 Warrants
to purchase 252,632 shares of Common Stock for an aggregate purchase
price of $6.0 million. The Company sold $4.0 million and $2.0 million
of Series B Preferred Stock and 168,422 and 84,210 Warrants to Mellon
Ventures, Inc. and Steven A. Webster, respectively. The Series B
Preferred Stock is convertible into Common Stock by the investors
at a conversion price of $5.70 per share, subject to adjustment,
and is initially convertible into 1,052,632 shares of Common Stock.
The approximately $5.8 million net proceeds of this financing were
used to fund the Company's ongoing exploration and development program
and general corporate purposes.
Dividends on the Series B Preferred Stock
will be payable in either cash at a rate of 8% per annum or, at
the Company's option, by payment in kind of additional shares of
the Series B Preferred Stock at a rate of 10% per annum. At December
31, 2002 the outstanding balance of the Series B Preferred Stock
had been increased by $0.5 million (5,294 shares) for dividends
paid in kind. In addition to the foregoing, if the Company declares
a cash dividend on the Common Stock of the Company, the holders
of shares of Series B Preferred Stock are entitled to receive for
each share of Series B Preferred Stock a cash dividend in the amount
of the cash dividend that would be received by a holder of the Common
Stock into which such share of Series B Preferred Stock is convertible
on the record date for such cash dividend. Unless all accrued dividends
on the Series B Preferred Stock shall have been paid and a sum sufficient
for the payment thereof set apart, no distributions may be paid
on any Junior Stock (which includes the Common Stock) (as defined
in the Statement of Resolutions for the Series B Preferred Stock)
and no redemption of any Junior Stock shall occur other than subject
to certain exceptions.
The Series B Preferred Stock is required
to be redeemed by the Company at any time after the third anniversary
of the initial issuance of the Series B Preferred Stock (the "Issue
Date") upon request from any holder at a price per share equal to
Purchase Price/Dividend Preference (as defined below). The Company
may redeem the Series B Preferred Stock after the third anniversary
of the Issue Date, at a price per share equal to the Purchase Price/Dividend
Preference and, prior to that time, at varying preferences to the
Purchase Price/Dividend Purchase. "Purchase Price/Dividend Preference"
is defined to mean, generally, $100 plus all cumulative and accrued
dividends on such share of Series B Preferred Stock.
In the event of any dissolution, liquidation
or winding up or certain mergers or sales or other disposition by
the Company of all or substantially all of its assets (a "Liquidation"),
the holder of each share of Series B Preferred Stock then outstanding
will be entitled to be paid out of the assets of the Company available
for distribution to its shareholders, the greater of the following
amounts per share of Series B Preferred Stock: (i) $100 in cash
plus all cumulative and accrued dividends and (ii) in certain circumstances,
the "as-converted" liquidation distribution, if any, payable in
such Liquidation with respect to each share of Common Stock.
Upon the occurrence of certain events constituting
a "Change of Control" (as defined in the Statement of Resolutions),
the Company is required to make an offer to each holder of Series
B Preferred Stock to repurchase all of such holder's Series B Preferred
Stock at an offer price per share of Series B Preferred Stock in
cash equal to 105% of the Change of Control Purchase Price, which
is generally defined to mean $100 plus all cumulative and accrued
dividends.
The 2002 Warrants have a five-year term and
entitle the holders to purchase up to 252,632 shares of Carrizo's
Common Stock at a price of $5.94 per share, subject to adjustment,
and are exercisable at any time after issuance. For accounting purposes,
the 2002 Warrants are valued at $0.06 per 2002 Warrant.
ABILITY TO MANAGE GROWTH AND ACHIEVE BUSINESS
STRATEGY
The Company's growth has placed, and is expected
to continue to place, a significant strain on the Company's financial,
technical, operational and administrative resources. The Company
has relied in the past and expects to continue to rely on project
partners and independent contractors that have provided the Company
with seismic survey planning and management, project and prospect
generation, land acquisition, drilling and other services. At December
31, 2002, the Company had 36 full-time employees. There will be
additional demands on the Company's financial, technical, operational
and administrative resources and continued reliance by the Company
on project partners and independent contractors, and these strains
on resources, additional demands and continued reliance may negatively
affect the Company. The Company's ability to grow will depend upon
a number of factors, including its ability to obtain leases or options
on properties for 3-D seismic surveys, its ability to acquire additional
3-D seismic data, its ability to identify and acquire new exploratory
sites, its ability to develop existing sites, its ability to continue
to retain and attract skilled personnel, its ability to maintain
or enter into new relationships with project partners and independent
contractors, the results of its drilling program, hydrocarbon prices,
access to capital and other factors. Although the Company intends
to
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