-----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, HCS4ushLULv6CBDmN4+x8E8gJxMjlRonYE6Kd3NheOz3c0dOu1jmoHUr+T6OmQbb YZkGMqlareqSEpF+jEh3hA== 0000898822-05-000943.txt : 20050804 0000898822-05-000943.hdr.sgml : 20050804 20050804120258 ACCESSION NUMBER: 0000898822-05-000943 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20050804 DATE AS OF CHANGE: 20050804 GROUP MEMBERS: WARBURG PINCUS LLC GROUP MEMBERS: WARBURG PINCUS PARTNERS LLC GROUP MEMBERS: WARBURG, PINCUS & CO. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AVAYA INC CENTRAL INDEX KEY: 0001116521 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 223713430 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-59723 FILM NUMBER: 05998362 BUSINESS ADDRESS: STREET 1: 211 MOUNT AIRY RD CITY: BASKING RIDGE STATE: NJ ZIP: 07920 BUSINESS PHONE: 9089536000 MAIL ADDRESS: STREET 1: 211 MOUNT AIRY ROAD CITY: BASKING RIDGE STATE: NJ ZIP: 07920 FORMER COMPANY: FORMER CONFORMED NAME: LUCENT EN CORP DATE OF NAME CHANGE: 20000612 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WARBURG PINCUS EQUITY PARTNERS LP CENTRAL INDEX KEY: 0001075598 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 466 LEXINGTON AVE. CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2128780600 SC 13D/A 1 aug3f13d.txt SCHEDULE 13D/A ================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------------------------------------------ SCHEDULE 13D/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 6) AVAYA INC. (NAME OF ISSUER) COMMON STOCK, PAR VALUE $0.01 PER SHARE (TITLE OF CLASS OF SECURITIES) 053499 10 9 (CUSIP NUMBER) SCOTT A. ARENARE 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 OF COMMUNICATION) ------------------------------------------------ With a copy to: ANDREW R. BROWNSTEIN WACHTELL, LIPTON, ROSEN & KATZ 51 WEST 52ND STREET NEW YORK, NEW YORK 10019 (212) 403-1000 AUGUST 1, 2005 (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 Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box: [ ] ================================================================================ - ----------------------- ----------------------- CUSIP NO. 053499 10 9 SCHEDULE 13D/A (PAGE 2 OF 14) - ----------------------- ----------------------- - -------- ----------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Warburg, Pincus Equity Partners, L.P. I.R.S. Identification No. 13-3986317 - -------- ----------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------- ----------------------------------------------------------------------- 3 SEC USE ONLY [ ] - -------- ----------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - -------- ----------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ] - -------- ----------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------- ----------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF - 0 - SHARES ------ ------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 35,867,674* EACH ------ ------------------------------------------------ REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH - 0 - ------ ------------------------------------------------ 10 SHARED DISPOSITIVE POWER 35,867,674* - -------- ----------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 35,867,674* - -------- ----------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------- ----------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.3%* - -------- ----------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - -------- ----------------------------------------------------------------------- - ---------- *Assumes the full exercise of the Series A Warrants, Series B Warrants and Series C Warrants in accordance with their terms. - ----------------------- ----------------------- CUSIP NO. 053499 10 9 SCHEDULE 13D/A (PAGE 3 OF 14) - ----------------------- ----------------------- - -------- ----------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Warburg Pincus Partners LLC I.R.S. Identification No. 13-4069737 - -------- ----------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------- ----------------------------------------------------------------------- 3 SEC USE ONLY [ ] - -------- ----------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - -------- ----------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ] - -------- ----------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------- ----------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF - 0 - SHARES ------ ------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 37,955,211* EACH ------ ------------------------------------------------ REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH - 0 - ------ ------------------------------------------------ 10 SHARED DISPOSITIVE POWER 37,955,211* - -------- ----------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 37,955,211* - -------- ----------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------- ----------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.7%* - -------- ----------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO - -------- ----------------------------------------------------------------------- - ---------- *Assumes the full exercise of the Series A Warrants, Series B Warrants and Series C Warrants in accordance with their terms. - ----------------------- ----------------------- CUSIP NO. 053499 10 9 SCHEDULE 13D/A (PAGE 4 OF 14) - ----------------------- ----------------------- - -------- ----------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Warburg, Pincus & Co. I.R.S. Identification No. 13-6358475 - -------- ----------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------- ----------------------------------------------------------------------- 3 SEC USE ONLY [ ] - -------- ----------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - -------- ----------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ] - -------- ----------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------- ----------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF - 0 - SHARES ------ ------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 37,955,211* EACH ------ ------------------------------------------------ REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH - 0 - ------ ------------------------------------------------ 10 SHARED DISPOSITIVE POWER 37,955,211* - -------- ----------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 37,955,211* - -------- ----------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES - -------- ----------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.7%* - -------- ----------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - -------- ----------------------------------------------------------------------- - ---------- *Assumes the full exercise of the Series A Warrants, Series B Warrants and Series C Warrants in accordance with their terms. - ----------------------- ----------------------- CUSIP NO. 053499 10 9 SCHEDULE 13D/A (PAGE 5 OF 14) - ----------------------- ----------------------- - -------- ----------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Warburg Pincus LLC I.R.S. Identification No. 13-3536050 - -------- ----------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------- ----------------------------------------------------------------------- 3 SEC USE ONLY [ ] - -------- ----------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - -------- ----------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ] - -------- ----------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------- ----------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF - 0 - SHARES ------ ------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 37,955,211* EACH ------ ------------------------------------------------ REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH - 0 - ------ ------------------------------------------------ 10 SHARED DISPOSITIVE POWER 37,955,211* - -------- ----------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 37,955,211* - -------- ----------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------- ----------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.7%* - -------- ----------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO - -------- ----------------------------------------------------------------------- - ---------- *Assumes the full exercise of the Series A Warrants, Series B Warrants and Series C Warrants in accordance with their terms. CUSIP No. 053499 10 9 Schedule 13D/A Page 6 of 14 AMENDMENT NO. 6 TO SCHEDULE 13D Reference is made to the Statement on Schedule 13D filed on October 12, 2000 on behalf of Warburg, Pincus Equity Partners, L.P., a Delaware limited partnership ("WPEP"), Warburg Pincus & Co., a New York general partnership ("WP"), and Warburg Pincus LLC, a New York limited liability company ("WP LLC" and, together with WPEP, WP and WP Partners (as defined below), the "Reporting Entities"), as amended by Amendment No. 1 thereto filed on March 12, 2002, by Amendment No. 2 thereto filed on March 21, 2002, by Amendment No. 3 thereto filed December 24, 2002, by the Schedule TO/A filed February 6, 2003 by the Investors (as defined below), by Amendment No. 4 thereto filed on February 12, 2003 and by Amendment No. 5 thereto filed on October 23, 2003 (as so amended, the "Schedule 13D"). This Amendment No. 6 to the Schedule 13D amends the Schedule 13D as follows. All capitalized terms used without definition in this Amendment No. 6 to Schedule 13D shall have the meanings set forth in the Schedule 13D. The lead-in paragraph of the Schedule 13D is replaced with the following: This Schedule 13D is being filed on behalf of Warburg, Pincus Equity Partners, L.P., a Delaware limited partnership ("WPEP"), Warburg Pincus Partners, LLC, a New York limited liability company ("WP Partners") and a subsidiary of WP (as defined below), Warburg Pincus & Co., a New York general partnership ("WP"), and Warburg Pincus LLC, a New York limited liability company ("WP LLC" and, together with WPEP, WP and WP Partners, the "Reporting Entities"). This Schedule 13D relates to the common shares, par value $0.01, of Avaya Inc., a Delaware corporation (the "Company"). Unless the context otherwise requires, references herein to the "Common Stock" are to the shares of common stock of the Company, par value $0.01 per share. The holdings of Common Stock of WP, WP LLC and WP Partners in this Schedule 13D include certain shares of Common Stock which are beneficially held by Warburg, Pincus Netherlands Equity Partners I, C.V. ("WPNEPI") and Warburg, Pincus Netherlands Equity Partners III, C.V. ("WPNEPIII" and, together with WPNEPI and WPEP, the "Investors"). WP, WP LLC, WP Partners and the Investors are referred to herein as the "Group Members." ITEM 2. IDENTITY AND BACKGROUND. Item 2 of the Schedule 13D is replaced with the following: (a) This statement is filed by the Reporting Entities. The Group Members are deemed to be a group within the meaning of Rule 13d-5. The general partner of each of the Investors is WP Partners. WP is the managing member of WP Partners. WP LLC manages each of the Investors. The general partners of WP and the members of WP LLC are set forth on Schedule I hereto. (b) The address of the principal business and principal office of each of the Reporting Entities and those persons listed on Schedule I is c/o Warburg Pincus & Co., 466 Lexington Avenue, New York, New York 10017. (c) The principal business of each of the Investors is that of making private equity and related investments. The principal business of WP Partners is acting as the general partner of the CUSIP No. 053499 10 9 Schedule 13D/A Page 7 of 14 Investors and several other related partnerships. The principal business of WP is acting as the managing member of WP Partners. The principal business of WP LLC is acting as manager of the Investors and several other related partnerships. (d) None of the Reporting Entities, nor, to the best of their knowledge, any of the directors, executive officers, control persons, general partners or members referred to in paragraph (a) above has, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). (e) Except for WPNEPI and WPNEPIII, which are organized under the laws of The Netherlands and except as otherwise indicated on Schedule I, each of the individuals referred to in paragraphs (a) and (d) above is a United States citizen. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. Item 5 of the Schedule 13D is replaced with the following: (a) The Reporting Entities beneficially own shares of Common Stock by virtue of the Investors' ownership of 25,219,655 shares of Common Stock and ownership of the Series A, Series B and Series C Warrants, which are immediately exercisable for an aggregate of 12,735,556 shares of Common Stock. As of August 3, 2005, WP, WP Partners and WP LLC each beneficially owned an aggregate of 37,955,211 shares of Common Stock, assuming the full exercise of the Series A, Series B and Series C Warrants. Also as of that date, WPEP beneficially owned 35,867,674 shares of Common Stock, assuming the full exercise of the Series A, Series B and Series C Warrants. Of the shares beneficially owned by WP, WP Partners and WP LLC, 2,087,537 shares represent the aggregate shares of Common Stock beneficially owned by WPNEPI and WPNEPIII. By reason of WP's, WP Partner's and WP LLC's respective relationships with the Investors, under Rule 13d-3 under the Exchange Act, WP, WP Partners and WP LLC may be deemed to beneficially own all of the shares of Common Stock that are beneficially owned by these entities. Assuming the full exercise of the Series A, Series B and Series C Warrants, as of August 3, 2005, the 37,955,211 shares of Common Stock beneficially owned by the Reporting Entities represented approximately 7.7% of the outstanding shares of Common Stock, after giving effect to the issuance of Common Stock upon the full exercise of the Series A, Series B and Series C Warrants (based on 477,043,010 shares of Common Stock outstanding as of April 30, 2005 as set forth in a Quarterly Report on Form 10-Q filed by the Issuer on May 10, 2005). Assuming the full exercise of the Series A, Series B and Series C Warrants, as of August 3, 2005, the 35,867,674 shares of Common Stock beneficially owned by WPEP represented approximately 7.3% of the outstanding shares of Common Stock, after giving effect to the issuance of Common Stock upon the full exercise of the Series A, Series B and Series C Warrants beneficially owned by WPEP. Assuming the full exercise of the Series A, Series B and Series C Warrants, as of August 3, 2005, the 2,087,537 shares of Common Stock beneficially owned by WPNEPI and WPNEPIII represented less than 1.0% of the outstanding shares of Common Stock, after giving effect to the issuance of CUSIP No. 053499 10 9 Schedule 13D/A Page 8 of 14 Common Stock upon the full exercise of the Series A, Series B and Series C Warrants beneficially owned by WPNEPI and WPNEPIII. (b) The Reporting Entities have beneficial ownership of 37,955,211 shares of Common Stock, of which WPEP has beneficial ownership of 35,867,674 shares of Common Stock and WPNEPI and WPNEPIII have beneficial ownership of 2,087,537 shares of Common Stock. Of these 37,955,211 shares of Common Stock, 25,219,655 shares are represented by the shares of Common Stock and the balance of 12,735,556 are represented by shares of Common Stock purchasable upon full exercise of the Series A, Series B and Series C Warrants. WPEP, WPNEPI and WPNEPIII each share voting power and dispositive power over their holdings of such shares with WP LLC, WP Partners and WP. (c) On August 1, 2005, the Investors distributed an aggregate of 9,999,994 shares of Common Stock to its partners. Except as described herein, during the last sixty days there were no transactions in shares of Common Stock effected by the Reporting Entities or, to the best of their knowledge, by any of the persons set forth on Schedule I to the Schedule 13D. (d) Except as set forth in this Item 5, no person other than each respective record owner referred to herein of the Securities is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such Securities. (e) Not applicable. ITEM 7. MATERIALS TO BE FILED AS EXHIBITS. Item 7 of the Schedule 13D is amended by replacing Exhibit 1 thereto with the following: Exhibit 1. Joint Filing Agreement, dated August 3, 2005, by and among the Group Members. CUSIP No. 053499 10 9 Schedule 13D/A Page 9 of 14 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 3, 2005 WARBURG, PINCUS EQUITY PARTNERS, L.P. By: Warburg Pincus Partners, LLC its General Manager By: Warburg Pincus & Co., its Managing Member By: /s/ Scott A. Arenare ------------------------------------------- Name: Scott A. Arenare Title: Partner WARBURG PINCUS PARTNERS, LLC By: Warburg Pincus & Co., its Managing Member By: /s/ Scott A. Arenare --------------------- Name: Scott A. Arenare Title: Partner WARBURG PINCUS & Co. By: /s/ Scott A. Arenare ------------------------------------------- Name: Scott A. Arenare Title: Partner WARBURG PINCUS LLC By: /s/ Scott A. Arenare ------------------------------------------- Name: Scott A. Arenare Title: Member CUSIP No. 053499 10 9 Schedule 13D/A Page 10 of 14 WARBURG, PINCUS NETHERLANDS EQUITY PARTNERS I, C.V. 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 WARBURG, PINCUS NETHERLANDS EQUITY PARTNERS III, C.V. 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 CUSIP No. 053499 10 9 Schedule 13D/A Page 11 of 14 SCHEDULE I 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"). The sole general partner of Warburg, Pincus Equity Partners, L.P. ("WPEP") is Warburg Pincus Partners LLC ("WP Partners LLC"), a subsidiary of WP. WPEP, WP Partners LLC, WP and WP LLC are hereinafter collectively referred to as the "Reporting Entities". 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 - ------------------------ ------------------------------------------------------- Gregory Back Partner of WP; Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- David Barr Partner of WP; Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- Larry Bettino Partner of WP; Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- Harold Brown 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 - ------------------------ ------------------------------------------------------- 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 - ------------------------ ------------------------------------------------------- Oliver M. Goldstein Partner of WP; Member and Managing Director 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 - ------------------------ ------------------------------------------------------- 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 Vice Chairman of WP LLC - ------------------------ ------------------------------------------------------- Julie A. Johnson 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 - ------------------------ ------------------------------------------------------- Joseph P. Landy Managing General Partner of WP; Managing Member and Co-President of WP LLC - ------------------------ ------------------------------------------------------- Sidney Lapidus Partner of WP; Member and Managing Director 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 - ------------------------ ------------------------------------------------------- Rodman W. Moorhead III Partner of WP; Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- James Neary Partner of WP; Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- Dalip Pathak Partner of WP; Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- Lionel I. Pincus Partner of WP; Member and Chairman 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 - ------------------------ ------------------------------------------------------- Henry B. Schacht Partner of WP; Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- Steven G. Schneider Partner of WP; Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- Mimi Strouse Partner of WP; Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- CUSIP No. 053499 10 9 Schedule 13D/A Page 12 of 14 - ------------------------ ------------------------------------------------------- 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 Vice Chairman of WP LLC - ------------------------ ------------------------------------------------------- John R. Vrolyk Partner of WP; Member and Managing Director 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* - ------------------------ ------------------------------------------------------- NL & Co.** - ------------------------ ------------------------------------------------------- - --------------------- * 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. CUSIP No. 053499 10 9 Schedule 13D/A Page 13 of 14 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 - ------------------------ ------------------------------------------------------- Gregory Back Member and Managing Director of WP LLC; Partner of WP - ------------------------ ------------------------------------------------------- David Barr Member and Managing Director of WP LLC; Partner of WP - ------------------------ ------------------------------------------------------- Larry Bettino Member and Managing Director of WP LLC, Partner of WP - ------------------------ ------------------------------------------------------- Harold Brown Member and Managing Director of WP LLC; Partner of WP - ------------------------ ------------------------------------------------------- Sean D. Carney Member and Managing Director of WP LLC; Partner of WP - ------------------------ ------------------------------------------------------- Stephen John Coates (1) Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- Mark Colodny 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 - ------------------------ ------------------------------------------------------- Oliver M. Goldstein Member and Managing Director of WP LLC; Partner of WP - ------------------------ ------------------------------------------------------- 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 - ------------------------ ------------------------------------------------------- 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 - ------------------------ ------------------------------------------------------- Sung-Jin Hwang (2) Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- William H. Janeway Member and Vice Chairman of WP LLC; Partner of WP - ------------------------ ------------------------------------------------------- Julie A. Johnson 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 - ------------------------ ------------------------------------------------------- Joseph P. Landy Managing Member and Co-President of WP LLC; Managing General Partner of WP - ------------------------ ------------------------------------------------------- Sidney Lapidus Member and Managing Director 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 - ------------------------ ------------------------------------------------------- David Li (4) Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- Nicholas J. Lowcock (1) Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- John W. MacIntosh (5) Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- Rodman W. Moorhead III Member and Managing Director of WP LLC; Partner of WP - ------------------------ ------------------------------------------------------- James Neary Member and Managing Director of WP LLC; Partner of WP - ------------------------ ------------------------------------------------------- Bilge Ogut (6) Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- Dalip Pathak Member and Managing Director of WP LLC; Partner of WP - ------------------------ ------------------------------------------------------- Lionel I. Pincus Member and Chairman of WP LLC; Partner of WP - ------------------------ ------------------------------------------------------- Pulak Chandan Prasad (3) Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- Michael F. Profenius Member and Managing Director of WP LLC; Partner of WP - ------------------------ ------------------------------------------------------- Stan Raatz Member and Managing Director of WP LLC; Partner of WP - ------------------------ ------------------------------------------------------- Henry B. Schacht Member and Managing Director of WP LLC; Partner of WP - ------------------------ ------------------------------------------------------- Steven G. Schneider Member and Managing Director of WP LLC; Partner of WP - ------------------------ ------------------------------------------------------- Joseph C. Schull (5) Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- Mimi Strouse Member and Managing Director of WP LLC; Partner of WP - ------------------------ ------------------------------------------------------- Chang Q. Sun (4) Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- CUSIP No. 053499 10 9 SCHEDULE 13D/A Page 14 of 14 - ------------------------ ------------------------------------------------------- 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 - ------------------------ ------------------------------------------------------- John L. Vogelstein Member and Vice Chairman of WP LLC; Partner of WP - ------------------------ ------------------------------------------------------- John R. Vrolyk Member and Managing Director 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 (1) Member and Managing Director of WP LLC - ------------------------ ------------------------------------------------------- Jeremy S. Young (1) 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 United Kingdom (2) Citizen of Korea (3) Citizen of India (4) Citizen of Hong Kong (5) Citizen of Canada (6) Citizen of Turkey * New York limited liability company; primary activity is ownership interest in WP and WP LLC As of July 1, 2005 EX-99.1 2 ex1to13d.txt JOINT FILING AGREEMENT EXHIBIT 1 JOINT FILING AGREEMENT The undersigned hereby agree that the amendment to the statement on Schedule 13D with respect to the Common Stock of Avaya Inc. is, and any further amendment thereto 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. WARBURG, PINCUS EQUITY PARTNERS, L.P. By: Warburg Pincus Partners, LLC its General Manager By: Warburg Pincus & Co., its Managing Member By: /s/ Scott A. Arenare ----------------------------------- Name: Scott A. Arenare Title: Partner Dated: August 3, 2005 WARBURG PINCUS PARTNERS, LLC By: Warburg Pincus & Co., its Managing Member By: /s/ Scott A. Arenare ----------------------------------- Name: Scott A. Arenare Title: Partner Dated: August 3, 2005 WARBURG PINCUS & Co. By: /s/ Scott A. Arenare ----------------------------------- Name: Scott A. Arenare Title: Partner Dated: August 3, 2005 WARBURG PINCUS LLC By: /s/ Scott A. Arenare ----------------------------------- Name: Scott A. Arenare Title: Member Dated: August 3, 2005 WARBURG, PINCUS NETHERLANDS EQUITY PARTNERS I, C.V. 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 3, 2005 WARBURG, PINCUS NETHERLANDS EQUITY PARTNERS III, C.V. 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 3, 2005 -----END PRIVACY-ENHANCED MESSAGE-----