Federal Communications Commission
News Media Information 202 / 418-0500
445 12th St., S.W.
Washington, D.C. 20554
July 28, 2011
AUCTION OF 700 MHz BAND LICENSES CLOSES
WINNING BIDDERS ANNOUNCED FOR AUCTION 92
Down Payments and FCC Forms 601 and 602 Due August 11, 2011
Final Payments Due August 25, 2011
Ten-Day Petition to Deny Period
On July 25, 2011, the Federal Communications Commission completed an auction of 16
licenses in the 700 MHz Band. This auction, which was designated Auction 92, raised (in net bids) a
total of $19,770,250 with 7 bidders winning a total of 16 licenses.
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:
“Winning Bids” lists winning bidders and both their total gross and net
winning bid amounts.
“Bidder Payment/Refund” lists down payments and final payments owed
by winning bidders and refunds due, if any.1
“Multi-auction Withdrawal Payment” lists amount(s) or refund(s) due
for bidders in Auction 73 based upon reconciliation of final results of
Auctions 73 and 92.
“Default Payment” lists a default payment based upon reconciliation of
final results of Auctions 73 and 92.
“Instructions for Completing FCC Form 601 & FCC Form 602” provides
detailed information about how a winning bidder should complete the
required long-form application (FCC Form 601) and ownership
1 The amounts listed in Attachment B are based on upfront payments and net winning bids.
disclosure report (FCC Form 602) for 700 MHz licenses won in
A copy of this Public Notice will be sent via overnight delivery to each qualified bidder.
Concurrent with the release of this Public Notice, the Commission is making available
information previously withheld under the limited information procedures for Auction 92. Results files
that include the identities of bidders and the net amounts of bids are now available on the web page for
Auction 92 (http://wireless.fcc.gov/auctions/92
) and in the FCC Auction System
). The limited information results files (without the identities of bidders and the
net amounts of bids) remain available on the web page for Auction 92. 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
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 11, 2011
, each winning bidder in
Auction 92 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 bid. 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
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 11, 2011” 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).
Wire transfers for down payments must be received by the Commission by 6:00 p.m. ET
on August 11, 2011
. 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 11, 2011, it will be in
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 August 25, 2011 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 August 25, 2011
(or by 6:00 p.m. ET on September 9, 2011, along
2 47 C.F.R. § 1.2107(b).
. 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).
Section III. D., “Withdrawal, Default and Disqualification Payments,” below.
5 47 C.F.R. § 1.2109(a).
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
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
Wire transfers of final payments must be received by the Commission by 6:00 p.m. ET
on August 25, 2011
(or by 6:00 p.m. ET on September 9, 2011, 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
August 25, 2011 (or by 6:00 p.m. ET on September 9, 2011, along with the five percent late fee) it will
be in default.10
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
Method of Payment for Down and Final Payments
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.
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
. 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).
Section III.D., “Withdrawal, Default and Disqualification Payments,” below.
11 47 C.F.R. § 1.2110(f)(3)(vi).
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 92.
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.
transfer and 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 The winning
bidder should obtain confirmation from its financial institution that its wire transfer to U.S Bank was
successful and from Commission staff that the winning bidder’s payment has been received by the
Commission in the proper account. For confirmation that the Commission has timely received the
winning bidder’s down payment or final payment in the proper account, each winning bidder may contact
Gail Glasser of the Office of Managing Director’s Auctions Accounting Group at (202) 418-0578, or
Theresa Meeks at (202) 418-2945.
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 a winning bidder’s deposits. Each winning bidder must use in its FCC Form
159 the same FCC Registration Number (FRN) used for the applicant in the applicant’s short-form
application (FCC Form 175).
To submit funds by wire transfer, the winning bidder will need the following
ABA Routing Number: 021030004
33 Liberty Street
New York, NY 10045
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: “D092”)
PAYOR NAME: (same as FCC Form 159, Block 2)
LOCKBOX NO.: #979088
Questions concerning the calculation and submission of down payments, final payments,
the FCC Form 159, and refunds should be directed to Gail Glasser at (202) 418-0578.
Withdrawal, Default and Disqualification Payments
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
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
Margaret W. Wiener, Chief, Auctions and Spectrum Access Division, Wireless Telecommunications Bureau, DA 08-
622, 23 FCC Rcd 4765 (2008).
47 C.F.R. §§ 1.2104(g), 1.2109.
Bid Withdrawal Payments from Previous Auctions
Because Auction 92 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 Auction 73. Attachment C identifies bidders that owe withdrawal payments to the Commission
as a result of bids withdrawn in Auction 73. 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.17 Forthcoming orders
will assess such payments, and will specify due dates for the payment of any such obligations.
Default Payments from Previous Auctions
Because Auction 92 is now closed, the Commission can calculate a final default payment
owed as a result of the default on licenses in Auction 73. Such payments are identified in
. Forthcoming orders will assess such payments, and will specify due dates for the payment of any
Bid Default/Disqualification Payments from Auction 92
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 prescribed period of time, fails to submit a timely long-form
application, fails to make full payment, or is otherwise disqualified), the defaulting bidder will be subject
to the payment obligations described in section 1.2104(g)(2).18 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 percent of the defaulter’s bid or the subsequent winning bid, whichever is
less.19 The additional default payment for Auction 92 licenses was set at fifteen percent of the applicable
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 11, 2011, 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.21
If a winning bidder fails to pay the balance of its winning bid in a lump sum by the
applicable deadline as specified by the Commission, 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.22 If a winning bidder fails to pay (a) the balance of its winning bid by the payment deadline
on August 25, 2011, or (b) the balance of its winning bid plus the late fee by the late payment deadline on
47 C.F.R. § 1.2104(g)(1).
18 47 C.F.R. § 1.2104(g)(2). See also 47 C.F.R. § 1.2109.
. See also Auction 92 Procedures Public Notice
, 26 FCC Rcd at 3386 ¶¶ 203-04.
20 Auction 92 Procedures Public Notice
, 26 FCC Rcd at 3386 ¶ 204.
21 47 C.F.R. §§ 1.2104(g)(2), 1.2109(b).
22 47 C.F.R. § 1.2109(a).
September 9, 2011, it will be deemed to have defaulted, and it will be subject to applicable default
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 applicant’s long-form application meets Commission
requirements for grant.24
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.25
Refund of Excess Payments
Upfront monies on deposit that are in excess of an applicant’s Auction 92 obligations
may be refunded to the payer of record as identified on the FCC Form 159. To be eligible 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”)
and clicking on the “See Wire Transfer for Refund Purposes” link under the Post-Auction section of the
My Auctions web page by
August 25, 2011
. After this date, an applicant must send a written request for
refund, along with the necessary wire transfer instructions and the applicant’s FRN, by fax to Gail
Glasser of the Office of the Managing Director at (202) 418-2843. Any questions concerning refunds
should be referred to Gail Glasser at (202) 418-0578.
FCC Form 601
Prior to 6:00 p.m. ET on August 11, 2011
, each winning bidder must electronically
submit a properly-completed long-form application (FCC Form 601) for all licenses for which it was the
winning bidder in Auction 92. Attachment E 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).
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.26
Tribal Lands Bidding Credit
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 E.
23 47 C.F.R. §§ 1.2104(g)(2), 1.2109(a), 1.2109(c).
24 47 C.F.R. § 1.2109(a).
25 47 C.F.R. § 1.2109(d).
26 47 C.F.R. §§ 1.2104(g), 1.2107(c).
FCC Form 602
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.27 As explained in Attachment E, 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.28
A winning bidder should carefully follow the instructions set forth in Attachment E when filing its
ownership disclosure report.
Maintaining Accuracy of Information
After the auction closes, each applicant must make all changes to its information in the
Commission’s Universal Licensing System using FCC Form 601.29 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.
Application Processing, Petitions to Deny, and License Grant
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.30 An applicant may file an opposition to any petition to deny
within five business days after the filing deadline for petitions to deny its long-form application.31
Replies must be filed within five business days after the filing deadline for oppositions to a petition to
deny a long-form application.32 The Commission reminds all parties and their counsel that the
Commission intends to use its authority fully to deter the filing of frivolous pleadings.33
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.34 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.35
27 47 C.F.R. §§ 1.919, 1.2107(f).
28 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 E.
29 47 C.F.R. § 1.65.
30 47 C.F.R. § 1.2108(b).
31 47 C.F.R. § 1.2108(c).
“Commission Taking Tough Measures Against Frivolous Pleadings,” Public Notice
, FCC 96-42, 11 FCC Rcd
34 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.
47 C.F.R. §§ 1.2108(d), 1.2109(a).
OTHER IMPORTANT INFORMATION
Maintaining Prohibition on Certain Communications
To ensure the competitiveness of the auction process, the Commission’s rules prohibit
auction applicants for licenses in any of the same 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).36 As explained more fully in the Auction 92 Procedures Public Notice
prohibition began at the short-form application filing deadline at 6:00 p.m. ET on May 11, 2011 and
continues until the down payment deadline, which is 6:00 p.m. ET on August 11, 2011
The prohibition on certain communications applies to all applicants in Auction 92
(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, and the 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.38 Each applicant in this auction certified its
compliance with section 1.2105(c) when its short-form application was filed.39
Return of SecurID® Tokens
The SecurID® tokens distributed to qualified bidders are tailored to this auction and will
not work for future auctions. Each bidder should return its SecurID® tokens to the Commission for
recycling. 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 the tokens by
August 11, 2011
For further information, contact:
Wireless Telecommunications Bureau
Matt Nodine at (202) 418-1646
Service Rules, Policies, Regulations
Michael Connelly (legal) or Keith Harper
Licensing Issues (including filing of Forms 601
(technical) at (202) 418-0620
and 602), Engineering Issues
Due Diligence, Incumbency Issues
36 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).
37 See Auction 92 Procedures Public Notice
, 26 FCC Rcd at 3347 ¶ 13.
., 26 FCC Rcd at 3345-47 ¶¶ 8-13.
39 47 C.F.R. § 1.2105(a)(2)(ix).
Auction Payment Information
FCC Auctions Accounting Branch
Gail Glasser at (202) 418-0578, or
Theresa Meeks at (202) 418-2945, or
(202) 418-2843 (fax)
Auction 92 Information
Auctions and Spectrum Access Division
General Auction Information, Process, and
Lisa Stover, Project Manager, or Debbie Smith,
Auction Analyst, at (717) 338-2868
Auction Rules, Policies, and Regulations
Lynne Milne at (202) 418-0660
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
FCC Internet Sites
http://www.fcc.gov http://wireless.fcc.gov/auctions http://wireless.fcc.gov/uls
- FCC -