<PAGE> 1
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
ALAMOSA PCS HOLDINGS, INC.
-----------------------------------
(Name of Issuer)
COMMON STOCK, $0.01 PAR VALUE
-----------------------------------
(Title of Class of Securities)
011593100
-----------------------------------
(CUSIP Number)
C. JEDSON NAU
100 CRESCENT COURT,
SUITE 1700
DALLAS, TEXAS 75201
(214) 756-6100
(214) 756-6212 (FAX)
-----------------------------------
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
FEBRUARY 7, 2000
-----------------------------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check
the following box. [ ]
Note: Schedules filed in paper format shall include a signed original and five
copies of the Schedule, including all exhibits. See Section 240.13d-7 for other
parties to whom copies are to be sent.
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
<PAGE> 2
SCHEDULE 13D
- ---------------------- -------------------
CUSIP No. - 011593100 Page 2 of 10 Pages
- ---------------------- -------------------
- --------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only)
Rosewood Telecommunications, L.L.C.
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
0
NUMBER OF ------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 9,770,500
EACH ------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON 0
WITH ------------------------------------------
10 SHARED DISPOSITIVE POWER
9,770,500
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,770,500
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES [ ]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.9%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- --------------------------------------------------------------------------------
<PAGE> 3
SCHEDULE 13D
- --------------------- ------------------
CUSIP No. - 011593100 Page 3 of 10 Pages
- --------------------- ------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only)
Rosewood Financial, Inc.
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
0
NUMBER OF -----------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 9,770,500
EACH -----------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 0
-----------------------------------------------
10 SHARED DISPOSITIVE POWER
9,770,500
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,770,500
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.9%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
CO
- --------------------------------------------------------------------------------
<PAGE> 4
SCHEDULE 13D
- ---------------------- -------------------
CUSIP No. - 011593100 Page 4 of 10 Pages
- ---------------------- -------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only)
DFL Investing, Inc.
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
0
NUMBER OF -----------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 9,770,500
EACH -----------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 0
-----------------------------------------------
10 SHARED DISPOSITIVE POWER
9,770,500
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,770,500
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.9%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
CO
- --------------------------------------------------------------------------------
<PAGE> 5
SCHEDULE 13D
- ---------------------- -------------------
CUSIP No. - 011593100 Page 5 of 10 Pages
- ---------------------- -------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only)
The Rosewood Corporation
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Texas
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
0
NUMBER OF -----------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 9,770,500
EACH -----------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 0
-----------------------------------------------
10 SHARED DISPOSITIVE POWER
9,770,500
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,770,500
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.9%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
CO
- --------------------------------------------------------------------------------
<PAGE> 6
SCHEDULE 13D
- ---------------------- -------------------
CUSIP No. - 011593100 Page 6 of 10 Pages
- ---------------------- -------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only)
Caroline Hunt Trust Estate
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Texas
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
0
NUMBER OF -----------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 9,770,500
EACH -----------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 0
-----------------------------------------------
10 SHARED DISPOSITIVE POWER
9,770,500
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,770,500
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.9%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- --------------------------------------------------------------------------------
<PAGE> 7
-------------------
Page 7 of 10 Pages
-------------------
ITEM 1. SECURITY AND ISSUER
This Schedule 13D relates to the common stock, par value $0.01 (the
"Common Stock") of Alamosa PCS Holdings, Inc., a Delaware corporation (the
"Alamosa"). The principal executive offices of Alamosa are located at 4403
Brownfield Highway, Lubbock, Texas 79407.
ITEM 2. IDENTITY AND BACKGROUND
This statement is filed by Rosewood Telecommunications, L.L.C.
("Telecom"), Rosewood Financial, Inc. ("Financial"), DFL Investing, Inc ("DFL"),
The Rosewood Corporation ("Rosewood"), and Caroline Hunt Trust Estate ("CHTE",
and together with Telecom, Financial, DFL and Rosewood, the "Reporting
Persons"). CHTE owns 100% of Rosewood, which owns 100% of DFL, which owns 100%
of Financial. Financial and CHTE together own approximately 84% of Telecom. An
agreement among the Reporting Persons with respect to the filing of this
statement is attached hereto as Exhibit 1.
Telecom is a Delaware limited liability company. The principal business
activities of Telecom are investments in telephone and telecommunications
activities. Financial is a Delaware corporation. The principal business
activities of Financial are investing in securities for its own account. DFL is
a Delaware corporation. The principal business activities of DFL are investing
in securities for its own account. Rosewood is a Texas corporation. The
principal business activity of Rosewood is to act as a holding company. CHTE is
a trust organized under the laws of the state of Texas. The principal
activities of CHTE are to invest in closely held stock, other securities and
ranching. The principal business and office address of each of the Reporting
Persons is 100 Crescent Court, Suite 1700, Dallas, Texas 75201.
The name, business address, present principal occupation or employment,
and citizenship of each director and executive officer of the Reporting Persons
are set forth on Attachment A hereto. Such persons disclaim beneficial ownership
of the shares of Common Stock held by Telecom.
During the last five years, none of the Reporting Persons nor, to the
best of their knowledge, any of their directors or executive officers, has been
(1) convicted of any criminal proceeding (excluding traffic violations or
similar misdemeanors) or (2) a party to a civil proceeding of a judicial or
administrative body of competent jurisdiction and as a result of such proceeding
was or is subject to a judgment, decree or final order enjoining future
violations of, or prohibiting or mandating activities subject to, federal or
state securities laws or finding any violation with respect to such laws.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
On February 3, 2000, Telecom acquired 45,500 shares of Common Stock for
$15.8525 per share, the initial public offering price less the underwriting
discount, by exercising its right to purchase a portion of up to 10% of the
common stock offered to the public in Alamosa's initial public offering of
Common Stock (the "10% Shares"). Telecom used additional capital contributions
to finance the acquisition of the 10% Shares.
<PAGE> 8
-------------------
Page 8 of 10 Pages
-------------------
On February 7, 2000, Telecom acquired an additional 9,725,000 shares of
Common Stock of Alamosa as a result of a merger of Alamosa PCS Holdings, Inc., a
Texas corporation ("Alamosa-Texas"), with and into its wholly-owned subsidiary,
Alamosa. Telecom's shares of Alamosa-Texas' common stock were exchanged for
shares of Common Stock of Alamosa at a ratio of 1:1 (the "Merger Shares").
ITEM 4. PURPOSE OF THE TRANSACTION
As stated in Item 3 above, the Reporting Persons acquired the Merger
Shares as a result of the merger.
The Reporting Persons acquired the 10% Shares and the Merger Shares for
investment purposes. Depending on market conditions and other factors, the
Reporting Persons may acquire additional shares as they deem appropriate,
whether in open market purchases, privately negotiated transactions or
otherwise. The Reporting Persons also reserve the right to dispose of some or
all of their shares in the open market, in privately negotiated transactions to
third parties or otherwise. The Reporting Persons have no plans or proposals
which relate to or would result in any action specified in clauses (a) through
(j) of Item 4 of Schedule 13D.
Mr. Schuyler B. Marshall, President of each of the Reporting Persons
other than CHTE, and Mr. Ray M. Clapp, Vice President of Telecom, currently
serve on the board of directors of Alamosa. However, there is no agreement or
arrangement among the Reporting Persons and Alamosa or any other person for
Messrs. Marshall and Clapp to continue to serve as directors of Alamosa.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
The responses of each Reporting Person to Items 7, 8, 9, 10, 11 and 13
on the cover page of this statement and Attachment A hereto relating to
beneficial ownership as well as voting and dispositive power are incorporated
herein by reference. The Reporting Persons share voting and dispositive power
as a result of their parent-subsidiary relationships.
Except as set forth in Item 3 above and Attachment A hereto, no
Reporting Person nor, to the best knowledge of the Reporting Persons, any person
identified on Attachment A, beneficially owns any shares of Common Stock or has
effected any transactions in shares of Common Stock during the preceding 60
days.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER
Telecom, Mr. Marshall and Mr. Clapp have each entered into Lockup
Agreements with Salomon Smith Barney Inc. on behalf of the underwriters (herein
so called), the form of which is attached hereto as Exhibit 2, dated on or
before February 2, 2000. The Lockup Agreements provide that those persons will
not, directly or indirectly, offer, pledge, sell, or otherwise dispose of any
shares of capital stock of Alamosa, including but not limited to the filing, or
participation in the filing, of a registration statement with the Securities
and Exchange Commission (the "SEC") in respect of, or establish or increase a
put equivalent position or liquidate or decrease a call equivalent position
within the meaning of Section 16 of the Securities Exchange Act of 1934, as
<PAGE> 9
-------------------
Page 9 of 10 Pages
-------------------
amended, and the rules and regulations of the SEC promulgated thereunder with
respect to, any shares of capital stock or any securities convertible into, or
exercisable or exchangeable for such capital stock, or publicly announce an
intention to effect any such a transaction, without prior written consent of
Salomon Smith Barney Inc. until July 31, 2000. Notwithstanding the foregoing,
Telecom may transfer up to 100,000 shares of Common Stock to Yellow Rock PCS,
L.P.
Except as set forth above, no Reporting Person nor, to the best
knowledge of the Reporting Persons, any person identified on Attachment A is a
party to any other contract, arrangement, understanding or relationship, legal
or otherwise, with respect to any securities of Alamosa.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
Exhibit l Joint Filing Agreement, dated as of February 16, 2000, entered
into by and between Rosewood Telecommunications, L.L.C.,
Rosewood Financial, Inc., DFL Investing, Inc., The Rosewood
Corporation and Caroline Hunt Trust Estate.
Exhibit 2 Form of Lockup Agreement
<PAGE> 10
-------------------
Page 10 of 10 Pages
-------------------
SIGNATURE
After reasonable inquiry and to the best of the undersigned's knowledge
and belief, each of the undersigned certifies that the information set forth in
this statement is true, complete and correct.
Date: February 16, 2000
ROSEWOOD TELECOMMUNICATIONS,
L.L.C.
By: /s/ C. JEDSON NAU
-------------------------------
C. Jedson Nau
Senior Vice President
ROSEWOOD FINANCIAL, INC.
By: /s/ C. JEDSON NAU
-------------------------------
C. Jedson Nau
Senior Vice President
DFL INVESTING, INC.
By: /s/ C. JEDSON NAU
-------------------------------
C. Jedson Nau
Senior Vice President
THE ROSEWOOD CORPORATION
By: /s/ C. JEDSON NAU
-------------------------------
C. Jedson Nau
Senior Vice President
CAROLINE HUNT TRUST ESTATE
By: /s/ DON W. CRISP
-------------------------------
Don W. Crisp
Trustee
<PAGE> 11
ATTACHMENT A
DIRECTORS AND EXECUTIVE OFFICERS OF
ROSEWOOD TELECOMMUNICATIONS, L.L.C. ("TELECOM"), ROSEWOOD FINANCIAL, INC.
("FINANCIAL"), DFL INVESTING ("DFL"), THE ROSEWOOD CORPORATION ("ROSEWOOD")
AND THE TRUSTEE AND ADVISORY BOARD MEMBERS OF CAROLINE HUNT TRUST ESTATE
("CHTE")
<TABLE>
<CAPTION>
AMOUNT PRICE
PRESENT BUSINESS PRESENT PRINCIPAL OF DATE PER TYPE OF
NAME AND POSITION ADDRESS OCCUPATION SECURITIES ACQUIRED SHARE TRANSACTION PLEDGED
- ----------------- ---------------- ----------------- ---------- -------- ------ ----------- -------
<S> <C> <C> <C> <C> <C> <C> <C>
Schuyler B. 100 Crescent President of 28,000 12/9/99 $17.00 Director No
Marshall, President Court, Suite 1700 Telecom, options
of Telecom, Dallas, Texas Financial, DFL (1) (1) (1) (1)
Financial, DFL and 75201 and Rosewood
Rosewood, sole
manager of Telecom
and director of
Financial, DFL and
Rosewood
- ----------------- ---------------- ----------------- ---------- -------- ------ ----------- -------
Ray M. Clapp, Vice 500 Crescent Managing 43,000 12/9/99 $17.00 Director No
President and Court, Suite 300 director of options
director of Telecom Dallas, Texas acquisitions and (1) (1) (1) (1)
75201 investments for
The Rosewood
Corporation
- ----------------- ---------------- ----------------- ---------- -------- ------ ----------- -------
Don W. Crisp, 100 Crescent Chairman of the (1) (1) (1) (1) No
director of Financial, Court, Suite 1700 Board of
DFL and Rosewood, Dallas, Texas Rosewood
Chairman of the 75201
Board of Rosewood
and Trustee of
CHTE
- ----------------- ---------------- ----------------- ---------- -------- ------ ----------- -------
Susan L. Fish, senior 100 Crescent Senior vice (1) (1) (1) (1) No
vice president and Court, Suite 1700 president and
chief financial officer Dallas, Texas chief financial
of Financial, DFL 75201 officer of
and Rosewood and Rosewood
director of Financial
and DFL
- ----------------- ---------------- ----------------- ---------- -------- ------ ----------- -------
C. Jedson Nau, 100 Crescent Senior vice (1) (1) (1) (1) No
senior vice president Court, Suite 1700 president and
and general counsel Dallas, Texas general counsel
of Financial, DFL 75201 of Rosewood
and Rosewood
- ----------------- ---------------- ----------------- ---------- -------- ------ ----------- -------
Stephen H. Sands, 100 Crescent Executive (1) (1) (1) (1) No
senior vice president Court, Suite 1700 director of
of DFL and director Dallas, Texas Rosewood and
of Rosewood 75201 certain
subsidiaries
- ----------------- ---------------- ----------------- ---------- -------- ------ ----------- -------
</TABLE>
<PAGE> 12
<TABLE>
<CAPTION>
AMOUNT PRICE
PRESENT BUSINESS PRESENT PRINCIPAL OF DATE PER TYPE OF
NAME AND POSITION ADDRESS OCCUPATION SECURITIES ACQUIRED SHARE TRANSACTION PLEDGED
- ----------------- ---------------- ----------------- ---------- -------- ------ ----------- -------
<S> <C> <C> <C> <C> <C> <C> <C>
Laurie Sands 100 Crescent Executive director (1) (1) (1) (1) No
Harrison, director of Court, Suite 1700 of Rosewood and
Rosewood Dallas, Texas certain
75201 subsidiaries
- ----------------- ---------------- ----------------- ---------- -------- ------ ----------- -------
David K. Sands, 100 Crescent Executive director (1) (1) (1) (1) No
director of Rosewood Court, Suite 1700 of Rosewood and
Dallas, Texas certain
75201 subsidiaries
- ----------------- ---------------- ----------------- ---------- -------- ------ ----------- -------
J. B. Sands, director 100 Crescent Executive director (1) (1) (1) (1) No
of Rosewood Court, Suite 1700 of Rosewood and
Dallas, Texas certain subsidiaries
75201
- ----------------- ---------------- ----------------- ---------- -------- ------ ----------- -------
Patrick B. Sands, 100 Crescent Executive director (1) (1) (1) (1) No
director of Rosewood Court, Suite 1700 of Rosewood and
Dallas, Texas certain subsidiaries
75201
- ----------------- ---------------- ----------------- ---------- -------- ------ ----------- -------
John M. Dziminski, 100 Crescent President of 2,000 2/3/00 $17.00 Directed No
senior vice president Court, Suite 1700 Rosewood Management share
of Rosewood Dallas, Texas Corporation purchase
75201 (1) (1) (1) (1)
- ----------------- ---------------- ----------------- ---------- -------- ------ ----------- -------
Tom Hunt, member 5000 Chairman of the (1) (1) (1) (1) No
of the advisory board Thanksgiving Board and director
of CHTE Tower of Hunt Petroleum
Dallas, Texas Corporation and the
75201 management of
numerous personal
and family interests
- ----------------- ---------------- ----------------- ---------- -------- ------ ----------- -------
Charles P. 16475 Dallas Management of (1) (1) (1) (1) No
Summerall, member Parkway personal and family
of the advisory board Dallas, Texas interests
of CHTE 75252
- ----------------- ---------------- ----------------- ---------- -------- ------ ----------- -------
</TABLE>
1 Each of these persons does not own any shares of Common Stock,
other than as indicated or in connection with his or her pro rata
interests, if any, in Telecom or CHTE.
<PAGE> 13
INDEX TO EXHIBITS
<TABLE>
<CAPTION>
EXHIBIT
NUMBER DESCRIPTION
- ------- -----------
<S> <C>
Exhibit l Joint Filing Agreement, dated as of February 16, 2000, entered
into by and between Rosewood Telecommunications, L.L.C.,
Rosewood Financial, Inc., DFL Investing, Inc., The Rosewood
Corporation and Caroline Hunt Trust Estate.
Exhibit 2 Form of Lockup Agreement
</TABLE>
<PAGE> 1
EXHIBIT 1
JOINT FILING AGREEMENT
In accordance with Rule 13d-1(k) promulgated under the Securities
Exchange Act of 1934, as amended, the persons named below agree to the joint
filing on behalf of each of them a Statement on Schedule 13D (including
amendments thereto) with regard to the common stock of Alamosa PCS Holdings,
Inc., and further agree that this Joint Filing Agreement be included as an
Exhibit to such joint filings. In evidence thereof, the undersigned, being duly
authorized, hereby execute this Agreement as of the 16th day of February, 2000.
ROSEWOOD TELECOMMUNICATIONS,
L.L.C.
By: /s/ C. JEDSON NAU
-------------------------------
C. Jedson Nau
Senior Vice President
ROSEWOOD FINANCIAL, INC.
By: /s/ C. JEDSON NAU
-------------------------------
C. Jedson Nau
Senior Vice President
DFL INVESTING, INC.
By: /s/ C. JEDSON NAU
-------------------------------
C. Jedson Nau
Senior Vice President
THE ROSEWOOD CORPORATION
By: /s/ C. JEDSON NAU
-------------------------------
C. Jedson Nau
Senior Vice President
CAROLINE HUNT TRUST ESTATE
By: /s/ DON W. CRISP
-------------------------------
Don W. Crisp
Trustee
<PAGE> 1
[FORM OF LOCK-UP AGREEMENT] EXHIBIT 2
[LETTERHEAD OF UNDERSIGNED]
Alamosa PCS Holdings, Inc.
Public Offering of Common Stock
, 2000
Salomon Smith Barney Inc.
Lehman Brothers Inc.
Credit Suisse First Boston Corporation
Deutsche Bank Securities Inc.
As Representatives of the several Underwriters,
c/o Salomon Smith Barney Inc.
388 Greenwich Street
New York, New York 10013
Ladies and Gentlemen:
This letter is being delivered to you in connection with the proposed
Underwriting Agreement (the "Underwriting Agreement"), between Alamosa PCS
Holdings, Inc., a corporation (the "Company"), and each of you as
representatives of a group of Underwriters named therein, relating to an
underwritten public offering of Common Stock, $.01 par value (the "Common
Stock"), of the Company.
In order to induce you and the other Underwriters to enter into the
Underwriting Agreement, the undersigned will not, without the prior written
consent of Salomon Smith Barney Inc., offer, sell, contract to sell, pledge or
otherwise dispose of, (or enter into any transaction which is designed to, or
might reasonably be expected to, result in the disposition (whether by actual
disposition or effective economic disposition due to cash settlement or
otherwise) by the Company or any affiliate of the Company or any person in
privity with the Company or any affiliate of the Company) directly or
indirectly, including the filing (or participation in the filing of) a
registration statement with the Securities and Exchange Commission in respect
of, or establish or increase a put equivalent position or liquidate or decrease
a call equivalent position within the meaning of Section 16 of the Securities
Exchange Act of 1934, as amended, and the rules and regulations of the
Securities and Exchange Commission promulgated thereunder with respect to, any
shares of capital stock of the Company or any securities convertible into, or
exercisable or exchangeable for such capital stock, or publicly announce an
intention to effect any such transaction, for a period of 180 days after the
date of the Underwriting Agreement, other than shares of Common Stock disposed
of as bona fide gifts to persons who also enter into lock-
<PAGE> 2
up agreements in the form hereof which terminate 180 days after the date of the
Underwriting Agreement.
If for any reason the Underwriting Agreement shall be terminated prior
to the Closing Date (as defined in the Underwriting Agreement), the agreement
set forth above shall likewise be terminated.
Yours very truly,
[SIGNATURE OF OFFICER, DIRECTOR OR MAJOR
STOCKHOLDER]
[NAME AND ADDRESS OF OFFICER, DIRECTOR OR MAJOR
STOCKHOLDER]
