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Auction 95 (Lower and Upper Paging Bands) Winning Bidders

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Released: August 9, 2013

PUBLIC NOTICE
Federal Communications Commission

News Media Information 202 / 418-0500

445 12th St., S.W.

Internet: http://www.fcc.gov

Washington, D.C. 20554

TTY: 1-888-835-5322

DA 13-1736
August 9, 2013

AUCTION OF LOWER AND UPPER PAGING BANDS LICENSES CLOSES

WINNING BIDDERS ANNOUNCED FOR AUCTION 95

Down Payments and FCC Forms 601 and 602 Due August 23, 2013

Final Payments Due September 9, 2013

Ten-Day Petition to Deny Period

I.

INTRODUCTION

1.
On August 6, 2013, the Federal Communications Commission completed an auction of
5,905 licenses for lower and upper paging bands spectrum. This auction, which was designated Auction
95, raised (in net bids) a total of $1,659,073.50, with 33 bidders winning a total of 3,104 licenses.

II.

AUCTION RESULTS

2.
This Public Notice provides detailed information concerning winning bidders, down
payments, final payments, refunds, FCC Forms 601 and 602 filing requirements, and licensing matters.
Key information appears in the following attachments:

Attachment A:

"Winning Bids" lists winning bidders and both their total gross and net
winning bid amounts.

Attachment B:

"Bidder Payment/Refund" lists down payments and final payments owed
by winning bidders and refunds due.1

Attachment C:

"Withdrawal Payment" lists bid withdrawal payments owed by bidders

Attachment D:

"Multi-auction Withdrawal Payment" lists amount(s) or refund(s) due for
bidders in Auctions 26, 40, 48 and 87 based upon reconciliation of final
results of Auctions 26, 40, 48, 87 and 95.

Attachment E:

"Default Payment Report" contains default payments based upon
reconciliation of final results of Auctions 26, 40, 48, and 95.

Attachment F:

"Instructions for Completing FCC Form 601 & FCC Form 602" provides
detailed information about how a winning bidder should complete the

1 The amounts listed in Attachment B are based on upfront payments and net winning bids.

required long-form application (FCC Form 601) and ownership
disclosure report (FCC Form 602) for paging licenses won in Auction 95.
A copy of this Public Notice will be sent via overnight delivery to each qualified bidder.
3.
Concurrent with the release of this Public Notice, the Commission is making available
information previously withheld under the limited information procedures for Auction 95. Results files
that include the identities of bidders and the net amounts of bids are now available on the web page for
Auction 95 (http://wireless.fcc.gov/auctions/95) and in the FCC Auction System
(http://auctions.fcc.gov/). The limited information results files (without the identities of bidders and the
net amounts of bids) remain available on the web page for Auction 95. Additionally, the publicly-
available applications to participate in the auction (FCC Forms 175) now display the licenses that were
selected by each applicant. The applications are viewable in the FCC Auction System via the Auction
Application Search (https://auctionfiling.fcc.gov/form175/search175/index.htm).

III.

POST-AUCTION PAYMENTS AND REQUIREMENTS

A.

Down Payments

4.
The Commission's rules require that within ten business days after the release of this
Public Notice, in this case by 6:00 p.m. Eastern Time (ET) on August 23, 2013, each winning bidder in
Auction 95 must have on deposit with the Commission enough funds to cover the down payment(s) on its
winning bid(s).2 Specifically, each winning bidder's total deposit must be twenty percent of the aggregate
net amount of its winning bids. If a winning bidder's upfront payment is not sufficient to meet this
requirement, the winning bidder must deposit additional funds to meet its required down payment.3
5.
The amount now due from each winning bidder, if any, is set out in the "Additional
Amount Due after Upfront Payment Balance Applied Due by August 23, 2013" column of Attachment B.
Note that a payment and FCC Remittance Advice Form (FCC Form 159) are necessary only if a winning
bidder's upfront payment does not cover the required total down payment (as reflected in Attachment B).
6.
Wire transfers for down payments must be received by the Commission by 6:00 p.m. ET
on August 23, 2013. If the winning bidder fails to complete this down payment process, consistent with
the payment method described in this Public Notice, by 6:00 p.m. ET on August 23, 2013, it will be in
default.4

B.

Final Payments

7.
Each winning bidder will be required to submit the balance of the net amount of its
winning bid(s) as set out in the "Final Balance Due by September 9, 2013 or (Refund)" column of
Attachment B.5 Each winning bidder must pay the full amount of the Final Balance Due shown in
Attachment B by 6:00 p.m. ET on September 9, 2013 (or by 6:00 p.m. ET on September 23, 2013, along
with the five percent late fee required by section 1.2109(a) of the Commission's rules), even if the
winning bidder plans to apply for a tribal lands bidding credit.6 Full and timely payment of winning bids

2 47 C.F.R. 1.2107(b).
3 Id. In the event a bidder has withdrawn a bid and is subject to a bid withdrawal payment, the bidder's upfront
payment will be first applied to satisfy the withdrawal payment before being applied toward its down payment. See
47 C.F.R. 1.2104(g)(1).
4 See section III.D., "Withdrawal, Default and Disqualification Payments," below.
5 47 C.F.R. 1.2109(a).
6 Id.
2

and any applicable late fees must be made in accordance with section 1.2109(a) of the Commission's
rules and must occur before action will be taken upon a winning bidder's long-form application (FCC
Form 601).7 Specifically, licenses will be granted only after the full and timely payment of winning bids
and any applicable late fees, in accordance with section 1.2109(a).8
8.
Wire transfers of final payments must be received by the Commission by 6:00 p.m. ET
on September 9, 2013 (or by 6:00 p.m. ET on September 23, 2013, along with the five percent late fee
required by section 1.2109(a) of the Commission's rules).9 If the winning bidder fails to complete the
final payment, consistent with the payment method described in this Public Notice, by 6:00 p.m. ET on
September 9, 2013 (or by 6:00 p.m. ET on September 23, 2013, along with the five percent late fee) it
will be in default.10
9.
An applicant's request for a tribal lands bidding credit has no effect on the applicant's
obligations to make any auction payments, including down and final payments, due before the award of
the credit.11 If a request for a tribal lands bidding credit is approved, the amount will be calculated and
awarded prior to license grant.12

C.

Method of Payment for Down and Final Payments

10.
All payments must be in U.S. dollars and made in the form of a wire transfer.13 No
checks, credit card payments, automated clearing house ("ACH"), or other forms of payment will be
accepted. Each payment must be accompanied by a completed FCC Form 159.14 A partially-completed
copy of FCC Form 159 for the down payment and for the final payment will be sent to each winning
bidder to facilitate submission of the correct payments.
11.
Each winning bidder is responsible for ensuring timely submission of its payment and for
timely filing of an accurate and complete FCC Remittance Advice Form (FCC Form 159). Each winning
bidder should coordinate with its financial institution well ahead of the due date regarding its wire transfer
and should allow sufficient time for the wire transfer to be initiated and completed prior to the deadline.
The Commission repeatedly has cautioned auction participants about the importance of planning ahead to
prepare for unforeseen last-minute difficulties in making payments by wire transfer.15

7 Id. A winning bidder that is found unqualified to be a Commission licensee will be deemed to have defaulted, its
application will be dismissed, and it will be liable for the payment set forth in section 1.2104(g)(2) of the
Commission's rules. See 47 C.F.R. 1.2104(g), 1.2109(c).
8 47 C.F.R. 1.2109(a).
9 Id.
10 See section III.D., "Withdrawal, Default and Disqualification Payments," below.
11 47 C.F.R. 1.2110(f)(3)(vi).
12 Id.
13 The wire transfer must be initiated by the winning bidder through its bank authorizing the bank to wire funds from
the bidder's account to the Commission's account designated to receive payments for financial obligations resulting
from Auction 95.
14 Copies of the FCC Form 159 may be obtained by calling the Commission's Forms Distribution Center at
(800) 418-3676 (outside Washington, DC) or (202) 418-3676. Copies of the FCC Form 159 can also be obtained
via the Internet (http://www.fcc.gov/formpage.html) or by calling from the handset of a fax machine the
Commission's Fax Information System at (202) 418-0177.
15 See, e.g, Letter to Lee G. Petro from Margaret W. Wiener, Chief, Auctions and Spectrum Access Division,
Wireless Telecommunications Bureau, DA 10-1270, 25 FCC Rcd 9046 (2010); Letter to David G. O'Neil from
3

12.
Down payments and final payments must be preceded by an accurate and complete
FCC Remittance Advice Form (FCC Form 159). At least one hour before placing the order for the wire
transfer (but on the same business day), the winning bidder must fax the completed FCC Form 159 to
U.S. Bank in St. Louis, Missouri, at (314) 418-4232. Proper completion of the FCC Form 159 is critical
to ensuring correct credit of the winning bidder's deposits. Each winning bidder must use the same FCC
Registration Number (FRN) for the applicant that was used in its short-form application (FCC Form 175)
on the FCC Form 159.
13.
To submit funds by wire transfer, the winning bidder will need the following information:
ABA Routing Number: 021030004
Receiving Bank:

TREAS NYC

33 Liberty Street
New York, NY 10045
ACCOUNT NAME:

FCC

ACCOUNT NUMBER: 27000001
OBI Field: (Skip one space between each information item) "AUCTIONPAY"
APPLICANT FRN: (same as FCC Form 159, block 21)
PAYMENT TYPE CODE: (same as FCC Form 159, block 24A: "D095")
PAYOR NAME: (same as FCC Form 159, Block 2)
LOCKBOX NO.: #979088
14.
Please direct questions concerning the calculation and submission of down payments,
final payments, and the FCC Form 159 to Gail Glasser of the Office of Managing Director's Auctions
Accounting Group at (202) 418-0578.
15.
A winning bidder should obtain confirmation from its financial institution that its wire
transfer to U.S Bank was successful. It should also confirm with Commission staff that its payment has
been received by the Commission in the proper account by the specified deadline. Such confirmation
may be obtained by contacting Gail Glasser at (202) 418-0578, or Theresa Meeks at (202) 418-2945.

D.

Withdrawal, Default and Disqualification Payments

16.
The Commission imposes payment obligations on bidders that withdraw provisionally
winning bids during the course of an auction, on those that default on payments due after an auction
closes, and on those that are disqualified.16
1.

Bid Withdrawal Payments

17.
A bidder that withdraws a provisionally winning bid during the course of an auction is
subject to a bid withdrawal payment obligation equal to the difference between the amount of the
withdrawn bid and the amount of the subsequent winning bid. No withdrawal payment will be assessed
for a withdrawn bid if either the subsequent winning bid or any of the intervening subsequent withdrawn
bids equals or exceeds that withdrawn bid.
18.
If a provisionally winning bid is withdrawn on a license that remains unsold at the close
of the auction, the bidder will be required to make an interim payment equal to ten percent of the net

Margaret W. Wiener, Chief, Auctions and Spectrum Access Division, Wireless Telecommunications Bureau, DA
08-622, 23 FCC Rcd 4765 (2008).
16 See 47 C.F.R. 1.2104(g), 1.2109.
4

amount of the withdrawn bid.17 This payment amount is deducted from any upfront payments or down
payments that the bidder has deposited with the Commission. If, in a subsequent auction, that license
receives a bid in an amount equal to or greater than the withdrawn bid amount, then no final bid
withdrawal payment will be assessed and, upon appropriate request, the Commission will refund the
interim payment. If, in a subsequent auction, the winning bid amount for that license is less than the
original bidder's withdrawn bid amount, then the withdrawing bidder will be required to make a final bid
withdrawal payment equal to either the difference between its net withdrawn bid and the subsequent net
winning bid, or the difference between its gross withdrawn bid and the subsequent gross winning bid,
whichever difference is smaller. The interim payment will be applied toward the final bid withdrawal
payment.
19.
Attachment C identifies bidders that owe withdrawal payments to the Commission as a
result of bid withdrawals made in Auction 95. Any upfront payments or down payments that the
withdrawing bidder has deposited with the Commission will first be applied to satisfy the withdrawal
payment(s) amount before being applied toward a winning bidder's down payment.
2.

Bid Withdrawal Payments from Previous Auctions

20.
Because Auction 95 is now closed, the Commission can calculate and assess final bid
withdrawal payments owed as a result of withdrawals of provisional winning bids on licenses that were
unsold in Auctions 26, 40, 48 and 87. Attachment D identifies bidders that owe withdrawal payments to
the Commission as a result of bids withdrawn in Auctions 26, 40, 48 and 87. Any upfront payments or
down payments that the withdrawing bidder has deposited with the Commission will first be applied to
satisfy the withdrawal payment amount before being applied towards a winning bidder's down payment.18
Forthcoming orders will assess such payments, and will specify due dates for the payment of any such
obligations.
3.

Default Payments from Previous Auctions

21.
Because Auction 95 is now closed, the Commission is in a position to calculate a final
default payment owed as a result of the default on a license won in prior auctions of paging licenses,
including Auctions 26, 40, and 48.19 Such payments are identified in Attachment E. Forthcoming orders
will assess such payments, and will specify due dates for the payment of any such obligations.
4.

Bid Default/Disqualification Payments from Auction 95

22.
If a winning bidder defaults or is disqualified after the close of the auction (i.e., fails to
remit the required down payment within the specified deadline, fails to submit a timely long-form
application, fails to make full payment of the balance of its winning bid(s) by the specified deadline, or is
otherwise disqualified for any reason), the defaulting bidder will be subject to the payment obligations
described in section 1.2104(g)(2).20 These payment obligations include both a deficiency payment, equal
to the difference between the amount of the defaulter's bid and the amount of the winning bid the next
time a license covering the same spectrum is won in an auction, plus an additional payment equal to a

17 See 47 C.F.R. 1.2104(g)(1). See also Auction of Lower and Upper Paging Bands Licenses Scheduled for July
16, 2013; Notice and Filing Requirements, Minimum Opening Bids, Upfront Payments, and Other Procedures for
Auction 95, Public Notice, DA 13-535, 28 FCC Rcd 3132, 3174-75 190-192 (WTB 2013) (Auction 95
Procedures Public Notice
).
18 See 47 C.F.R. 1.2104(g)(1).
19 No winning bidders in the Commission's 2010 auction of paging licenses (Auction 87) has defaulted.
20 47 C.F.R. 1.2104(g)(2). See also 47 C.F.R. 1.2109.
5

percent of the defaulter's bid or the subsequent winning bid, whichever is less.21 The additional default
payment for Auction 95 licenses was set at ten percent of the applicable bid.22
23.
If a winning bidder fails to remit the required down payment within ten business days
after the Commission has released this Public Notice, in this case by August 23, 2013, the bidder will be
deemed to have defaulted, its long-form application will be dismissed, and it will be liable for a default
payment as described above.23
24.
If a winning bidder fails to pay the balance of its winning bid in a lump sum by the
deadline specified in this public notice, it will be allowed to make a late payment within ten business days
after the payment deadline, provided that it also pays a late fee equal to five percent of the amount due.24
If a winning bidder fails to pay (a) the balance of its winning bid by the payment deadline on September
9, 2013, or (b) the balance of its winning bid plus the late fee by the late payment deadline on September
23, 2013, it will be deemed to have defaulted, and it will be subject to applicable default payments.25
25.
The Commission will review an applicant's long-form application only after receipt of
full and timely payment for the winning bid amount and any applicable late fees. The relevant license
will be granted only after determination that the long-form application meets Commission requirements
for grant.26
26.
A bidder that is found to have violated the antitrust laws or the Commission's rules in
connection with its participation in the competitive bidding process may be subject, in addition to any
other applicable sanctions, to forfeiture of its upfront payment, down payment, or full bid amount, and
may be prohibited from participating in future auctions.27

E.

Refund of Excess Payments

27.
Upfront monies on deposit that are in excess of an applicant's Auction 95 obligations
may be refunded to the payer of record as identified on the FCC Form 159. To receive a refund, an
applicant must submit a refund request and provide wire transfer instructions. Each applicant can provide
this information by using the Commission's Integrated Spectrum Auction System ("ISAS") to file its
refund information electronically using the "See Wire Transfer for Refund Purposes" link found on the
My Auctions page by

August 23, 2013

. After this date, an applicant must send a written request for
refund, along with the necessary wire transfer instructions and FRN, by fax to Gail Glasser of the Office
of the Managing Director at (202) 418-2843 (FAX). Any questions concerning refunds should be referred
to Gail Glasser at (202) 418-0578. Please verify that the Tax Identification Number (TIN) associated
with your FRN is correct. An FRN with no TIN on file cannot be processed until a TIN is provided.
Please visit the FCC Registration Number website https://apps.fcc.gov/coresWeb/publicHome.do to
update your records before submitting your refund request.

F.

FCC Form 601

28.
Prior to 6:00 p.m. ET on August 23, 2013, each winning bidder must submit

21 Id. See also Auction 95 Procedures Public Notice, 28 FCC Rcd at 3178 206.
22 Auction 95 Procedures Public Notice, 28 FCC Rcd at 3178 207.
23 47 C.F.R. 1.2104(g)(2), 1.2109(b).
24 47 C.F.R. 1.2109(a).
25 47 C.F.R. 1.2104(g)(2), 1.2109(a), 1.2109(c).
26 47 C.F.R. 1.2109(a).
27 47 C.F.R. 1.2109(d).
6

electronically a properly-completed long-form application (FCC Form 601) for all licenses for which it
was the winning bidder in Auction 95. Attachment F provides instructions for completing the long-form
application and describes how certain information will be automatically transferred from a winning
bidder's short-form application (FCC Form 175) to its long-form application (FCC Form 601).
29.
An applicant that fails to submit the required long-form application before the specified
deadline and fails to establish good cause for any late-filed submission shall be deemed to have defaulted
and shall be subject to the payments set forth in section 1.2104(g) of the Commission's rules.28

G.

Tribal Lands Bidding Credit

30.
The Commission has implemented a tribal lands bidding credit to encourage the growth
of wireless services on the lands of federally-recognized tribes. For information relating to the tribal
lands bidding credit, see Attachment F.

H.

FCC Form 602

31.
Pursuant to sections 1.919 and 1.2107(f) of the Commission's rules, an applicant for a
license in an auctionable service must, at the time of submitting its FCC Form 601, have on file with the
Commission a current ownership disclosure information report (FCC Form 602) providing the applicant's
complete and accurate ownership information.29 As explained in Attachment F, filing an ownership
disclosure information report (FCC Form 602) is a separate requirement from, and in addition to, the
ownership reporting requirements associated with filing an FCC Form 601, Exhibit A.30 A winning
bidder should carefully follow the instructions set forth in Attachment F when filing its ownership
disclosure report.

I.

Maintaining Accuracy of Information

32.
After the auction closes, all required changes to an applicant's information must be made
by filing or amending the applicant's long-form application(s) (FCC Form 601) in the Commission's
Universal Licensing System.31 With the release of this Public Notice, applicants are no longer required to
maintain the accuracy and completeness of information furnished on their short-form applications and
exhibits.

J.

Application Processing, Petitions to Deny, and License Grant

33.
After its initial review of the long-form applications, the Commission will issue a public
notice listing the applications that are acceptable for filing. Pursuant to section 1.2108(b) of the
Commission's rules, interested parties will have ten days from release of that public notice to file
petitions to deny any of these applications.32 An applicant may file an opposition to any petition to deny
within five business days after the time for filing petitions to deny has expired.33 Replies must be filed
within five business days after the time for filing oppositions to a petition to deny has expired.34 The
Commission reminds all parties and their counsel that the Commission intends to use its authority fully to

28 47 C.F.R. 1.2104(g), 1.2107(c).
29 47 C.F.R. 1.919, 1.2107(f).
30 The FCC Form 601 ownership reporting requirement can be fulfilled by referencing the file number, date, and
name of filer of the appropriate FCC Form 602. See discussion in Attachment F.
31 47 C.F.R. 1.65.
32 47 C.F.R. 1.2108(b).
33 47 C.F.R. 1.2108(c).
34 Id.
7

deter the filing of frivolous pleadings.35
34.
After the long-form review process, if the Commission determines that additional
payment from an applicant is due, the Bureau will provide further instructions in a future public notice or
by demand letter.36 If the Commission determines that an applicant is otherwise qualified, that there are
no substantial and material issues of fact, and that no additional payments are due, the Commission will
issue a public notice announcing grant of the license to the applicant.37

IV.

OTHER IMPORTANT INFORMATION

A.

Maintaining Prohibition on Certain Communications

35.
To ensure the competitiveness of the auction process, the Commission's rules prohibit
auction applicants for licenses in any of the same or overlapping geographic license areas from
communicating with each other about bids, bidding strategies, or settlements, unless such applicants have
identified each other on their short-form applications as parties with whom they have entered into
agreements under section 1.2105(a)(2)(viii).38 As explained more fully in the Auction 95 Procedures
Public Notice
, this prohibition began at the short-form application filing deadline at 6:00 p.m. ET on May
9, 2013 and continues until the down payment deadline, which is 6:00 p.m. ET on August 23, 2013.39
36.
The prohibition on certain communications applies to all applicants in Auction 95 (unless
they have identified each other on their short-form applications as parties with whom they have entered
into agreements under section 1.2105(a)(2)(viii)), regardless of whether an applicant became a qualified
bidder or actually participated in the bidding.40 This prohibition continues for all applicants until the
down payment deadline regardless of whether an applicant is a winning bidder or needs to make an
additional payment by the down payment deadline.41 Each applicant in this auction certified its
compliance with section 1.2105(c) when it filed its short-form application.42

B.

Return of SecurID Tokens

37.
The SecurID tokens distributed to qualified bidders are tailored to this auction and will
not work for future auctions. The Commission will send each bidder, along with the copy of this Public
Notice, a pre-addressed, stamped envelope to return its SecurID tokens. Each bidder should return its
SecurID tokens to the Commission for recycling by

August 23, 2013

.

35 See Commission Taking Tough Measures Against Frivolous Pleadings, Public Notice, FCC 96-42, 11 FCC Rcd
3030 (1996).
36 Commission staff may determine, for example, that a winning bidder is not entitled to the level of bidding credit
that it has claimed and may require an additional payment to cover the amount of any percentage discount for which
it was not eligible.
37 See 47 C.F.R. 1.2108(d), 1.2109(a).
38 47 C.F.R. 1.2105(a)(2)(viii), 1.2105(c). See also Amendment of Part 1 of the Commission's Rules
Competitive Bidding Procedures, WT Docket No. 97-82, Seventh Report and Order, FCC 01-270, 16 FCC Rcd
17546 (2001); Order on Reconsideration of the Third Report and Order, Fifth Report and Order, and Fourth
Further Notice of Proposed Rule Making
, FCC 00-274, 15 FCC Rcd 15293, 15297-98 7-8 (2000).
39 See Auction 95 Procedures Public Notice, 28 FCC Rcd at 3136-38 10-17.
40 Id., 28 FCC Rcd at 3136 10-11.
41 Id., 28 FCC Rcd at 3138 17.
42 47 C.F.R. 1.2105(a)(2)(ix).
8

C.

Contact Information

38.
For further information, contact:

News Media

Wireless Telecommunications Bureau

Cecilia Sulhoff at (202) 418-0587

Licensing Information

Mobility Division

Service Rules, Policies, Regulations
Kathy Harris (legal) or Keith Harper (technical) at
Licensing Issues (including filing of Forms 601
(202) 418-0620
and 602), Engineering Issues
Due Diligence, Incumbency Issues

Auction Payment Information

FCC Auctions Accounting Branch

Wire Transfers
Gail Glasser at (202) 418-0578, or
Refunds
Theresa Meeks at (202) 418-2945, or
(202) 418-2843 (fax)

Auction 95 Information

Auctions and Spectrum Access Division

General Auction Information, Process, and
Lisa Stover (Project Manager) or
Procedures
Debbie Smith (Auction Analyst), at
(717) 338-2868
Auction Rules, Policies, and Regulations
Howard Davenport (Attorney) at (202) 418-0660

Accessible Formats

Consumer and Governmental Affairs Bureau

Braille, large print, electronic files, or
(202) 418-0530 or (202) 418-0432 (TTY)
audio format for people with disabilities
fcc504@fcc.gov

FCC Internet Sites

http://www.fcc.gov
http://wireless.fcc.gov/auctions
http://wireless.fcc.gov/uls
- FCC -
9

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