-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, U2Ywt5VKNmdMueRBPjnQb3mnlWRwekP6Jz98vKq+WYN2SxsYuxp5SXI9nTM/VLio HvznZ394ZQFbmnuSeeYQ/g== 0000899140-07-001438.txt : 20070815 0000899140-07-001438.hdr.sgml : 20070815 20070815163015 ACCESSION NUMBER: 0000899140-07-001438 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20070815 DATE AS OF CHANGE: 20070815 GROUP MEMBERS: CHARLES R. KAYE GROUP MEMBERS: JOSEPH P. LANDY GROUP MEMBERS: WARBURG PINCUS & CO. GROUP MEMBERS: WARBURG PINCUS LLC GROUP MEMBERS: WARBURG PINCUS PARTNERS LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SCIENTIFIC LEARNING CORP CENTRAL INDEX KEY: 0001042173 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-EDUCATIONAL SERVICES [8200] IRS NUMBER: 943234458 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-58137 FILM NUMBER: 071060060 BUSINESS ADDRESS: STREET 1: 300 FRANK H. OGAWA PLAZA STREET 2: STE 600 CITY: OAKLAND STATE: CA ZIP: 94612-2040 BUSINESS PHONE: 5104443500 MAIL ADDRESS: STREET 1: 300 FRANK H. OGAWA PLAZA STREET 2: SUITE 600 CITY: OAKLAND STATE: CA ZIP: 94612-2040 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WARBURG PINCUS VENTURES LP CENTRAL INDEX KEY: 0000942263 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133784037 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: E M WARBURG PINCUS & CO INC STREET 2: 466 LEXINGTON AVE 10TH FL CITY: NEW YORK STATE: NY ZIP: 10017-3147 BUSINESS PHONE: 2128780600 MAIL ADDRESS: STREET 1: E M WARBURG PINCUS & CO INC STREET 2: 466 LEXINGTON AVE 10TH FL CITY: NEW YORK STATE: NY ZIP: 10017-3147 SC 13D/A 1 w3867476b.txt SECOND AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 2) Under the Securities Exchange Act of 1934* Scientific Learning Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.001 par value per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 808760 10 2 - -------------------------------------------------------------------------------- (CUSIP Number) Scott A. Arenare, Esq. Managing Director and General Counsel Warburg Pincus LLC 466 Lexington Avenue New York, New York 10017 (212) 878-0600 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Copies to: Peter H. Jakes, Esq. Willkie Farr & Gallagher LLP 787 Seventh Avenue New York, NY 10019-6099 (212) 728-8000 August 15, 2007 - -------------------------------------------------------------------------------- (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 that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss. 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 Rule 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). SCHEDULE 13D - ----------------------------------------- CUSIP No. 808760 10 2 - ----------------------------------------- - ----------- -------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION Warburg, Pincus Ventures, L.P. I.R.S. #13-3784037 - ----------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) N/A - ----------- -------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ----------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------------------------- --------- ----------------------------------------- 7 SOLE VOTING POWER 0 --------- ----------------------------------------- 8 SHARED VOTING POWER NUMBER OF SHARES BENEFICIALLY OWNED 1,375,000 BY EACH REPORTING --------- ----------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 0 --------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 1,375,000 - ----------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,375,000 - ----------- -------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ----------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.4% - ----------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) PN - ----------- -------------------------------------------------------------------- SCHEDULE 13D - ----------------------------------------- CUSIP No. 808760 10 2 - ----------------------------------------- - ----------- -------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION Warburg Pincus Partners LLC I.R.S. # 13-4069737 - ----------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) N/A - ----------- -------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ----------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - ---------------------------- --------- ----------------------------------------- 7 SOLE VOTING POWER 0 --------- ----------------------------------------- 8 SHARED VOTING POWER NUMBER OF SHARES BENEFICIALLY OWNED 1,375,000 BY EACH REPORTING --------- ----------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 0 --------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 1,375,000 - ----------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,375,000 - ----------- -------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ----------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.4% - ----------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) OO - ----------- -------------------------------------------------------------------- SCHEDULE 13D - ----------------------------------------- CUSIP No. 808760 10 2 - ----------------------------------------- - ----------- -------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION Warburg Pincus & Co. I.R.S. # 13-6358475 - ----------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) N/A - ----------- -------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ----------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - ---------------------------- --------- ----------------------------------------- 7 SOLE VOTING POWER 0 --------- ----------------------------------------- 8 SHARED VOTING POWER NUMBER OF SHARES BENEFICIALLY OWNED 1,375,000 BY EACH REPORTING --------- ----------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 0 --------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 1,375,000 - ----------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,375,000 - ----------- -------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ----------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.4% - ----------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) PN - ----------- -------------------------------------------------------------------- SCHEDULE 13D - ----------------------------------------- CUSIP No. 808760 10 2 - ----------------------------------------- - ----------- -------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION Warburg Pincus LLC I.R.S. # 13-3536050 - ----------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) N/A - ----------- -------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ----------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - ---------------------------- --------- ----------------------------------------- 7 SOLE VOTING POWER 0 --------- ----------------------------------------- 8 SHARED VOTING POWER NUMBER OF SHARES BENEFICIALLY OWNED 1,375,000 BY EACH REPORTING --------- ----------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 0 --------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 1,375,000 - ----------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,375,000 - ----------- -------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ----------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.4% - ----------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) OO - ----------- -------------------------------------------------------------------- SCHEDULE 13D - ----------------------------------------- CUSIP No. 808760 10 2 - ----------------------------------------- - ----------- -------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION Charles R. Kaye - ----------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) N/A - ----------- -------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ----------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - ---------------------------- --------- ----------------------------------------- 7 SOLE VOTING POWER 0 --------- ----------------------------------------- 8 SHARED VOTING POWER NUMBER OF SHARES BENEFICIALLY OWNED 1,375,000 BY EACH REPORTING --------- ----------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 0 --------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 1,375,000 - ----------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,375,000 - ----------- -------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ----------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.4% - ----------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN - ----------- -------------------------------------------------------------------- SCHEDULE 13D - ----------------------------------------- CUSIP No. 808760 10 2 - ----------------------------------------- - ----------- -------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION Joseph P. Landy - ----------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) N/A - ----------- -------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ----------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - ---------------------------- --------- ----------------------------------------- 7 SOLE VOTING POWER 0 --------- ----------------------------------------- 8 SHARED VOTING POWER NUMBER OF SHARES BENEFICIALLY OWNED 1,375,000 BY EACH REPORTING --------- ----------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 0 --------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 1,375,000 - ----------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,375,000 - ----------- -------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ----------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.4% - ----------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN - ----------- -------------------------------------------------------------------- This Amendment No. 2 to Schedule 13D ("Amendment No. 2") is being filed to amend the Amendment No. 1 ("Amendment No. 1") filed on December 7, 2001 to the Schedule 13D originally filed on March 19, 2001 (the "Original 13D"), and relates to the common stock, $0.001 par value per share (the "Common Stock"), of Scientific Learning Corporation, a Delaware corporation (the "Company"). Item 1. Security and Issuer The last sentence of Item 1 of the Original 13D is hereby amended as follows: "The address of the principal executive offices of the Company is 300 Frank H. Ogawa Plaza, Suite 600, Oakland, California 94612-2040." Item 2. Identity and Background Item 2 of Amendment No. 1 is hereby amended and restated in its entirety as set forth below. (a) This Amendment No. 2 is filed on behalf of Warburg, Pincus Ventures, L.P., a Delaware limited partnership ("WPV"), Warburg Pincus & Co., a New York general partnership ("WP"), Warburg Pincus LLC, a New York limited liability company ("WP LLC"), Warburg Pincus Partners LLC, a New York limited liability company ("WPP LLC"), Mr. Charles R. Kaye and Mr. Joseph P. Landy (collectively, the "Reporting Persons"). The Reporting Persons are making this single, joint filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each Reporting Person disclaims beneficial ownership of all shares of Common Stock except to the extent of any indirect pecuniary interest therein. (b) The address of the principal business and principal office of each of the Reporting Persons is c/o Warburg Pincus LLC, 466 Lexington Avenue, New York, New York 10017. The general partners of WP and the members of WP LLC, and their respective business addresses, are set forth on Schedule I hereto. (c) The principal business of WPV is that of making private equity and related investments. The principal business of WP is acting as the managing member of WPP LLC. The principal business of WPP LLC is acting as general partner to certain private equity funds. The principal business of WP LLC is managing certain private equity funds, including WPV. The principal business of each Mr. Kaye and Mr. Landy is acting as a Managing General Partner of WP and Co-President and Managing Member of WP LLC. The principal occupation of each of the general partners of WP and the members of WP LLC is set forth on Schedule I hereto. (d) During the last five years, none of the Reporting Persons and, to the knowledge of the Reporting Persons, none of the partners, members or directors named on Schedule I, have been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). (e) During the last five years, none of the Reporting Persons and, to the knowledge of the Reporting Persons, none of the partners, members or directors named on Schedule I, have been 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 activity subject to, federal or state securities laws or finding any violations with respect to such laws. (f) WPV is a limited partnership organized under the laws of the State of Delaware. WPP LLC and WP LLC are each limited liability companies organized under -2- the laws of the State of New York. WP is a general partnership organized under the laws of the State of New York. Messrs. Kaye and Landy are citizens of the United States of America. Except as otherwise indicated on Schedule I hereto, each of the individuals referred to on Schedule I hereto is a citizen of the United States of America. Item 4. Purpose of Transaction Item 4 of Amendment No. 1 is hereby amended and restated in its entirety as set forth below. On August 9, 2007, WPV agreed to sell 7,661,638 shares of Common Stock (the "Shares"), pursuant to that certain Underwriting Agreement by and among the Company, WPV, the other selling stockholders named therein and ThinkEquity Partners LLC, BMO Capital Markets Corp. and Signal Hill Capital Group LLC, as representatives for the several underwriters named therein (the "Underwriting Agreement"). On August 15, 2007, the transactions contemplated by the Underwriting Agreement were consummated and, in connection therewith, WPV received aggregate proceeds (after giving effect to the payment of the underwriting discounts and commissions) of approximately $36,297,010. A copy of the form of Underwriting Agreement is included as Exhibit 2 hereto. The Reporting Persons may from time to time acquire additional shares of Common Stock or engage in discussions with the Company concerning further acquisitions of shares of Common Stock or further investments in the Company. Such further acquisitions or investments could be material. The Reporting Persons intend to review their investment in the Company on a continuing basis and, depending on the price and availability of shares of Common Stock, subsequent developments affecting the Company, the Company's business and prospects, other investments and business opportunities available to the Reporting Persons, general stock market and economic -3- conditions, tax considerations and other factors considered relevant, may decide at any time to increase, or to decrease, the size of their investment in the Company. Except as set forth in this Amendment No. 2, none of the Reporting Persons nor, to the best of their knowledge, any person listed on Schedule I of this Amendment No. 2 or in Item 1(a) or (d) of this Amendment No. 2 has any plans or proposals that relate to or would result in: (a) the acquisition by any person of additional securities of the Company, or the disposition of securities of the Company; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Company or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Company or any of its subsidiaries; (d) any change in the present Board of Directors (the "Board") or management of the Company, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the Board; (e) any material change in the present capitalization or dividend policy of the Company; (f) any other material change in the Company's business or corporate structure; (g) changes in the Company's charter, by-laws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Company by any person; (h) causing a class of securities of the Company to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Company becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Exchange Act; or (j) any action similar to any of those enumerated above. Item 5. Interest in Securities of the Issuer Item 5 of Amendment No. 1 is hereby amended and replaced in its entirety as set forth below. -4- (a) Immediately following the closing of the transactions contemplated by the Underwriting Agreement, each of the Reporting Persons may be deemed to beneficially own 1,375,000 shares of Common Stock, which are issuable upon the exercise of immediately exercisable warrants, representing approximately 7.4% of the outstanding Common Stock, based on the 17,212,576 shares of Common Stock as disclosed in the Company's Form S-1 filed with the Securities and Exchange Commission on July 27, 2007 and 1,375,000 shares of Common Stock which are issuable upon the exercise of the warrants. (b) Each of the Reporting Persons share the power to vote or to direct the vote and to dispose or to direct the disposition of the 1,375,000 shares of Common Stock, which are issuable upon the exercise of immediately exercisable warrants, that the Reporting Persons may be deemed to beneficially own. The Reporting Persons are making this single, joint filing because they may be deemed to constitute a "person" or "group" within the meaning of Section 13(d)(3) of the Exchange Act. The filing of this Amendment No. 2 shall not be construed as an admission of such beneficial ownership or that the Reporting Persons constitute a person or group. (c) Upon the closing of the transactions contemplated by the Underwriting Agreement, WPV sold 7,661,638 shares of Common Stock at a public offering price of $5.00 per share, or $4.7375 after giving effect to the underwriting discounts and commissions. Other than the sale of 7,661,638 shares of Common Stock by WPV and the other transactions described in this Amendment No. 2, no transactions in the Common Stock were effected by any of the Reporting Persons during the past sixty days. (d) Not applicable. -5- (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer Item 6 of Amendment No. 1 is hereby amended to include the following sentence at the end thereof: "The information set forth in Item 4 and Item 5 of Amendment No. 2 is incorporated herein by reference." Item 7. Material to Be Filed as Exhibits 1. Joint Filing Agreement, dated as of August 15, 2007, by and among the Reporting Persons. 2. Form of Underwriting Agreement, by and among Scientific Learning Corporation, Warburg, Pincus Ventures, L.P., the other selling stockholders named therein and ThinkEquity Partners LLC, BMO Capital Markets Corp. and Signal Hill Capital Group LLC, as representatives for the several underwriters named therein, which is incorporated by reference from Scientific Learning Corporation's registration statement on Form S-1 filed with the Securities and Exchange Commission on July 26, 2007 (File No. 333-143093). -6- SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated: August 15, 2007 WARBURG, PINCUS VENTURES, L.P. By: Warburg Pincus Partners LLC, its General Partner By: Warburg Pincus & Co., its Managing Member By: /s/ Scott A. Arenare --------------------------------------- Name: Scott A. Arenare Title: Partner Dated: August 15, 2007 WARBURG PINCUS & CO. By: /s/ Scott A. Arenare --------------------------------------- Name: Scott A. Arenare Title: Partner Dated: August 15, 2007 WARBURG PINCUS LLC By: /s/ Scott A. Arenare --------------------------------------- Name: Scott A. Arenare Title: Member Dated: August 15, 2007 WARBURG PINCUS PARTNERS, LLC By: Warburg Pincus & Co., its Managing Member By: /s/ Scott A. Arenare --------------------------------------- Name: Scott A. Arenare Title: Partner Dated: August 15, 2007 By: /s/ Scott A. Arenare --------------------------------------- Name: Charles R. Kaye By: Scott A. Arenare, Attorney-in-Fact* Dated: August 15, 2007 By: /s/ Scott A. Arenare --------------------------------------- Name: Charles R. Kaye By: Scott A. Arenare, Attorney-in-Fact** * Power of Attorney given by Mr. Kaye was previously filed with the Securities and Exchange Commission on March 2, 2006 as an exhibit to a Schedule 13D filed by Building Products, LLC with respect to Builders FirstSource, Inc. ** Power of Attorney given by Mr. Landy was previously filed with the Securities and Exchange Commission on March 2, 2006 as an exhibit to a Schedule 13D filed by Building Products, LLC with respect to Builders FirstSource, Inc. SCHEDULE I ---------- Schedule I of Amendment No. 1 is hereby amended and restated in its entirety as follows: Set forth below is the name, position and present principal occupation of each of the general partners of Warburg Pincus & Co. ("WP") and members of Warburg Pincus LLC ("WP LLC"). Warburg Pincus Partners LLC, a direct subsidiary or WP, is the sole general partner of Warburg, Pincus Ventures, L.P. ("WPV"). WP LLC manages WPV. Except as otherwise indicated, the business address of each of such persons is 466 Lexington Avenue, New York, New York 10017, and each of such persons is a citizen of the United States.
GENERAL PARTNERS OF WP - ----------------------------------- -------------------------------------------------------------------------- PRESENT PRINCIPAL OCCUPATION IN ADDITION TO POSITION WITH WP, AND POSITIONS NAME WITH THE REPORTING ENTITIES - ----------------------------------- -------------------------------------------------------------------------- Joel Ackerman Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Scott A. Arenare Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- David Barr Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Sean D. Carney Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Mark Colodny Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- David A. Coulter Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Timothy J. Curt Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- W. Bowman Cutter Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Cary J. Davis Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- David W. Dorman Partner of WP; Member and Senior Advisor of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Michael Graff Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Patrick T. Hackett Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- E. Davisson Hardman Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Jeffrey A. Harris Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Stewart J. Hen Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- William H. Janeway Partner of WP; Member and Senior Advisor of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Julie A. Johnson Staples Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Chansoo Joung Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Peter R. Kagan Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Charles R. Kaye Managing General Partner of WP; Managing Member and Co-President of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Henry Kressel Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- David Krieger Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Kevin Kruse Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Joseph P. Landy Managing General Partner of WP; Managing Member and Co-President of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Sidney Lapidus Partner of WP; Member and Senior Advisor of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Kewsong Lee Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Jonathan S. Leff Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Philip Mintz Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- James Neary Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Bilge Ogut Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Dalip Pathak Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Michael F. Profenius Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Stan Raatz Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Justin Sadrian Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Henry B. Schacht Partner of WP; Member and Senior Advisor of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Steven G. Schneider Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- John Shearburn Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Mimi Strouse Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Barry Taylor Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Christopher H. Turner Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- John L. Vogelstein Partner of WP; Member and Senior Advisor of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Elizabeth H. Weatherman Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- David J. Wenstrup Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Rosanne Zimmerman Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------- Pincus & Company LLC* - ----------------------------------- -------------------------------------------------------------------------- WP & Co. Partners, L.P.** - ----------------------------------- -------------------------------------------------------------------------- Warburg Pincus Principal Partnership, L.P.*** - ----------------------------------- -------------------------------------------------------------------------- Warburg Pincus Real Estate Principal Partnership, L.P.*** - ----------------------------------- -------------------------------------------------------------------------- Warburg Pincus 2006 Limited Partnership*** - ----------------------------------- -------------------------------------------------------------------------- _____________________ * New York limited liability company; primary activity is ownership interest in WP and WP LLC ** New York limited partnership; primary activity is ownership interest in WP *** Delaware limited partnership; primary activity is ownership interest in WP
MEMBERS OF WP LLC - ----------------------------------- ------------------------------------------------------------------------ PRESENT PRINCIPAL OCCUPATION IN ADDITION TO POSITION WITH WP LLC, AND POSITIONS NAME WITH THE REPORTING ENTITIES - ----------------------------------- ------------------------------------------------------------------------ Joel Ackerman Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Scott A. Arenare Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ David Barr Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Sean D. Carney Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Julian Cheng (1) Member and Managing Director of WP LLC - ----------------------------------- ------------------------------------------------------------------------ Stephen John Coates (2) Member and Managing Director of WP LLC - ----------------------------------- ------------------------------------------------------------------------ Mark Colodny Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ David A. Coulter Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Timothy J. Curt Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ W. Bowman Cutter Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Cary J. Davis Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ David W. Dorman Member and Senior Advisor of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Rajiv Ghatalia (1) Member and Managing Director of WP LLC - ----------------------------------- ------------------------------------------------------------------------ Michael Graff Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Patrick T. Hackett Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ E. Davisson Hardman Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Jeffrey A. Harris Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Stewart J. Hen Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ William H. Janeway Member and Senior Advisor of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Julie A. Johnson Staples Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Chansoo Joung Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Peter R. Kagan Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Charles R. Kaye Managing Member and Co-President of WP LLC; Managing General Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Rajesh Khanna (3) Member and Managing Director of WP LLC - ----------------------------------- ------------------------------------------------------------------------ Henry Kressel Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ David Krieger Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Kevin Kruse Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Joseph P. Landy Managing Member and Co-President of WP LLC; Managing General Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Sidney Lapidus Member and Senior Advisor of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Kewsong Lee Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Jonathan S. Leff Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Jeff Leng (1) Member and Managing Director of WP LLC - ----------------------------------- ------------------------------------------------------------------------ David Li (1) Member and Managing Director of WP LLC - ----------------------------------- ------------------------------------------------------------------------ Nicholas J. Lowcock (2) Member and Managing Director of WP LLC - ----------------------------------- ------------------------------------------------------------------------ Niten Malhan (3) Member and Managing Director of WP LLC - ----------------------------------- ------------------------------------------------------------------------ Philip Mintz Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ James Neary Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Bilge Ogut Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Dalip Pathak Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Michael F. Profenius Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Leo Puri (3) Member and Managing Director of WP LLC - ----------------------------------- ------------------------------------------------------------------------ Stan Raatz Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Justin Sadrian Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Henry B. Schacht Member and Senior Advisor of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Steven G. Schneider Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Joseph C. Schull (4) Member and Managing Director of WP LLC - ----------------------------------- ------------------------------------------------------------------------ John Shearburn Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Mimi Strouse Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Chang Q. Sun (1) Member and Managing Director of WP LLC - ----------------------------------- ------------------------------------------------------------------------ Barry Taylor Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Christopher H. Turner Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Simon Turton (2) Member and Managing Director of WP LLC - ----------------------------------- ------------------------------------------------------------------------ John L. Vogelstein Member and Senior Advisor of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Elizabeth H. Weatherman Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ David J. Wenstrup Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Peter Wilson (2) Member and Managing Director of WP LLC - ----------------------------------- ------------------------------------------------------------------------ Jeremy S. Young (2) Member and Managing Director of WP LLC - ----------------------------------- ------------------------------------------------------------------------ Rosanne Zimmerman Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- ------------------------------------------------------------------------ Pincus & Company LLC* - ----------------------------------- ------------------------------------------------------------------------ (1) Citizen of Hong Kong (2) Citizen of United Kingdom (3) Citizen of India (4) Citizen of Canada * New York limited liability company; primary activity is ownership interest in WP and WP LLC As of July 1, 2007
EX-1 3 w3867476c.txt JOINT FILING AGREEMENT Exhibit 1 --------- Exhibit 1 of the Original 13D is hereby amended and restated in its entirety as follows: JOINT FILING AGREEMENT THIS JOINT FILING AGREEMENT is entered into as of August 15, 2007, by and among the parties signatories hereto. The undersigned hereby agree that the Statement on Schedule 13D with respect to the shares of common stock, $0.001 par value per share, of Scientific Learning Corporation, a Delaware corporation, is, and any amendment thereafter signed by each of the undersigned shall be, filed on behalf of each undersigned pursuant to and in accordance with the provisions of 13d-1(k) under the Securities Exchange Act of 1934, as amended. Dated: August 15, 2007 WARBURG, PINCUS VENTURES, L.P. By: Warburg Pincus Partners LLC, its General Partner By: Warburg Pincus & Co., its Managing Member By: /s/ Scott A. Arenare --------------------------------------- Name: Scott A. Arenare Title: Partner Dated: August 15, 2007 WARBURG PINCUS & CO. By: /s/ Scott A. Arenare --------------------------------------- Name: Scott A. Arenare Title: Partner Dated: August 15, 2007 WARBURG PINCUS LLC By: /s/ Scott A. Arenare --------------------------------------- Name: Scott A. Arenare Title: Member Dated: August 15, 2007 WARBURG PINCUS PARTNERS, LLC By: Warburg Pincus & Co., its Managing Member By: /s/ Scott A. Arenare --------------------------------------- Name: Scott A. Arenare Title: Partner Dated: August 15, 2007 By: /s/ Scott A. Arenare --------------------------------------- Name: Charles R. Kaye By: Scott A. Arenare, Attorney-in-Fact* Dated: August 15, 2007 By: /s/ Scott A. Arenare --------------------------------------- Name: Charles R. Kaye By: Scott A. Arenare, Attorney-in-Fact** * Power of Attorney given by Mr. Kaye was previously filed with the Securities and Exchange Commission on March 2, 2006 as an exhibit to a Schedule 13D filed by Building Products, LLC with respect to Builders FirstSource, Inc. ** Power of Attorney given by Mr. Landy was previously filed with the Securities and Exchange Commission on March 2, 2006 as an exhibit to a Schedule 13D filed by Building Products, LLC with respect to Builders FirstSource, Inc. -----END PRIVACY-ENHANCED MESSAGE-----