0001193125-14-143094.txt : 20140415 0001193125-14-143094.hdr.sgml : 20140415 20140414213438 ACCESSION NUMBER: 0001193125-14-143094 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 4 FILED AS OF DATE: 20140415 DATE AS OF CHANGE: 20140414 GROUP MEMBERS: AB ACQUISITIONS HOLDINGS LTD GROUP MEMBERS: AB ACQUISITIONS LTD GROUP MEMBERS: AB ACQUISITIONS LUXCO 1 S.A R.L. GROUP MEMBERS: AB ACQUISITIONS UK HOLDCO 7 LTD GROUP MEMBERS: AB ACQUISITIONS UK TOPCO LTD GROUP MEMBERS: ALLIANCE BOOTS GMBH GROUP MEMBERS: ALLIANCE BOOTS HOLDINGS LTD GROUP MEMBERS: ALLIANCE BOOTS INTERNATIONAL LTD GROUP MEMBERS: ALLIANCE BOOTS LTD GROUP MEMBERS: ALLIANCE BOOTS LUXEMBOURG S.A R.L. GROUP MEMBERS: ALLIANCE SANTE PARTICIPATIONS S.A. GROUP MEMBERS: BOND DRUG CO OF ILLINOIS, LLC GROUP MEMBERS: GEORGE R. ROBERTS GROUP MEMBERS: HENRY R. KRAVIS GROUP MEMBERS: KKR & CO. L.P. GROUP MEMBERS: KKR 2006 FUND (OVERSEAS), LIMITED PARTNERSHIP GROUP MEMBERS: KKR 2006 LTD GROUP MEMBERS: KKR ASSOCIATES 2006 (OVERSEAS), LIMITED PARTNERSHIP GROUP MEMBERS: KKR ASSOCIATES EUROPE II, LIMITED PARTNERSHIP GROUP MEMBERS: KKR EUROPE II LTD GROUP MEMBERS: KKR EUROPEAN FUND II, LIMITED PARTNERSHIP GROUP MEMBERS: KKR FUND HOLDINGS GP LTD GROUP MEMBERS: KKR FUND HOLDINGS L.P. GROUP MEMBERS: KKR GROUP HOLDINGS L.P. GROUP MEMBERS: KKR GROUP LTD GROUP MEMBERS: KKR MANAGEMENT LLC GROUP MEMBERS: KKR PEI ASSOCIATES, L.P. GROUP MEMBERS: KKR PEI GP LTD GROUP MEMBERS: KKR PEI INVESTMENTS, L.P. GROUP MEMBERS: KKR SPRINT (2006) LTD GROUP MEMBERS: KKR SPRINT (EUROPEAN II) LTD GROUP MEMBERS: KKR SPRINT (KPE) LTD GROUP MEMBERS: NEWCIP S.A. GROUP MEMBERS: STEFANO PESSINA GROUP MEMBERS: WAB HOLDINGS LLC GROUP MEMBERS: WALGREEN ARIZONA DRUG CO. GROUP MEMBERS: WALGREEN EASTERN CO., INC. GROUP MEMBERS: WALGREEN HASTINGS CO. GROUP MEMBERS: WALGREENS PHARMACY STRATEGIES, LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERISOURCEBERGEN CORP CENTRAL INDEX KEY: 0001140859 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-DRUGS PROPRIETARIES & DRUGGISTS' SUNDRIES [5122] IRS NUMBER: 233079390 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-77989 FILM NUMBER: 14763597 BUSINESS ADDRESS: STREET 1: 1300 MORRIS DRIVE CITY: CHESTERBROOK STATE: PA ZIP: 19087-5594 BUSINESS PHONE: 6107277000 MAIL ADDRESS: STREET 1: 1300 MORRIS DRIVE CITY: CHESTERBROOK STATE: PA ZIP: 19087-5594 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WALGREEN CO CENTRAL INDEX KEY: 0000104207 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-DRUG STORES AND PROPRIETARY STORES [5912] IRS NUMBER: 361924025 STATE OF INCORPORATION: IL FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 108 WILMOT RD CITY: DEERFIELD STATE: IL ZIP: 60015 BUSINESS PHONE: 8479402500 MAIL ADDRESS: STREET 1: 108 WILMOT RD CITY: DEERFIELD STATE: IL ZIP: 60015 SC 13D 1 d710833dsc13d.htm SC 13D SC 13D

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

 

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No.     )*

 

 

AMERISOURCEBERGEN CORPORATION

(Name of Issuer)

Common Stock, par value $0.01 per share

(Title of Class of Securities)

03073E105

(CUSIP Number)

 

 

 

Thomas J. Sabatino, Jr.

Executive Vice President – General Counsel, Corporate Secretary

Walgreen Co.

108 Wilmot Road

Deerfield, Illinois 60015

(847) 315-2500

 

Marco Pagni

Group Legal Counsel & Chief Administrative Officer

Alliance Boots GmbH

Untermattweg 8

3027 Bern, Switzerland

+ 44 207 138 1170

 

David J. Sorkin

Kohlberg Kravis Roberts & Co. L.P.

9 West 57th Street, Suite 4200

New York, New York 10019

(212) 750-8300

With a copy to:   With a copy to:   With a copy to:

Andrew R. Brownstein

Benjamin M. Roth

Wachtell, Lipton, Rosen & Katz

51 West 52nd Street

New York, New York 10019

(212) 403-1000

 

Benjamin Burman

Darrois Villey Maillot Brochier

69, avenue Victor Hugo

75116 Paris, France

+33 1 45 02 1919

 

Mark D. Pflug

Simpson Thacher & Bartlett LLP

425 Lexington Ave.

New York, New York 10017

(212) 455-2000

(Name, Address and Telephone Number

of Person

Authorized to Receive Notices

and Communications)

 

 

April 9, 2014

(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 §§ 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 §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).

(Continued on following pages)

 

 

 


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  WAB Holdings LLC

  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)

 

  AF, 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

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  OO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  Walgreens Pharmacy Strategies, LLC

  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)

 

  AF, 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

 

  Illinois

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  OO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  Bond Drug Company of Illinois, LLC

  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)

 

  AF, 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

 

  Illinois

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  OO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  Walgreen Eastern Co., Inc.

  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)

 

  AF, 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

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  Walgreen Arizona Drug Co.

  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)

 

  AF, 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

 

  Arizona

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  Walgreen Hastings Co.

  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)

 

  AF, 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

 

  Nebraska

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  Walgreen Co.

  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)

 

  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

 

  Illinois

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  HC, CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  Alliance Boots Luxembourg S.à r.l.

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Grand Duchy of Luxembourg

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (see instructions)

 

  OO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  Alliance Boots Holdings Limited

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  England and Wales

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  AB Acquisitions UK Holdco 7 Limited

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  England and Wales

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  AB Acquisitions Limited

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  England and Wales

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  Alliance Boots International Limited

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

  England and Wales

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  Alliance Boots Limited

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  England and Wales

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  AB Acquisitions UK Topco Limited

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  England and Wales

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  AB Acquisitions Luxco 1 S.à r.l.

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Grand Duchy of Luxembourg

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (see instructions)

 

  OO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  Alliance Boots GmbH

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Switzerland

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  OO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  AB Acquisitions Holdings Limited

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Gibraltar

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  OO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  Alliance Santé Participations S.A.

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Grand Duchy of Luxembourg

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  NEWCIP S.A.

  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)

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Grand Duchy of Luxembourg

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  Stefano Pessina

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Monaco

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  IN

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR Sprint (2006) Limited

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Cayman Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR 2006 Fund (Overseas), Limited Partnership

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Cayman Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

Type of Reporting Person (See Instructions)

 

  PN

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR Associates 2006 (Overseas), Limited Partnership

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Cayman Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  PN

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR 2006 Limited

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Cayman Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR Sprint (European II) Limited

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Cayman Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR European Fund II, Limited Partnership

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Cayman Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  PN

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR Associates Europe II, Limited Partnership

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Cayman Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  PN

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR Europe II Limited

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Cayman Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR Sprint (KPE) Limited

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Cayman Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR PEI Investments, L.P.

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Guernsey, Channel Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  PN

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR PEI Associates, L.P.

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Guernsey, Channel Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  PN

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR PEI GP Limited

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Cayman Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR Fund Holdings L.P.

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Cayman Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  PN

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR Fund Holdings GP Limited

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Cayman Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR Group Holdings L.P.

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Cayman Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  PN

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR Group Limited

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Cayman Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  CO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR & Co. L.P.

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  Cayman Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  PN

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  KKR Management LLC

  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)

 

  OO

  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

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  OO

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  Henry R. Kravis

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

  Type of Reporting Person (See Instructions)

 

  IN

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


13D

 

CUSIP No. 03073E105  

 

  1   

  Name of Reporting Person

 

  George R. Roberts

  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)

 

  OO

  5  

  Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)    ¨

 

  6  

  Citizenship or Place of Organization

 

  United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7    

Sole Voting Power

 

     8   

Shared Voting Power

 

11,461,043

     9   

Sole Dispositive Power

 

   10   

Shared Dispositive Power

 

11,461,043

11  

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,461,043

12  

  Check box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)    ¨

 

13  

  Percent of Class Represented by Amount in Row (11)

 

  5.0% *

14  

Type of Reporting Person (See Instructions)

 

  IN

 

* This calculation is based on 229,201,153 shares of Common Stock, par value $0.01 per share, outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.


Item 1. Security and Issuer.

This Statement on Schedule 13D (this “Schedule 13D”) relates to the Common Stock, par value $0.01 per share (“Common Stock”), of AmerisourceBergen Corporation, a Delaware corporation (the “Issuer”). The principal executive offices of the Issuer are located at 1300 Morris Drive, Chesterbrook, Pennsylvania 19087.

Information contained in this Schedule 13D with respect to each Reporting Person (as defined below) and, if applicable, its executive officers, directors and controlling persons, is given solely by such Reporting Person, and no other Reporting Person has responsibility for the accuracy or completeness of information supplied by such other Reporting Person.

 

Item 2. Identity and Background.

This Schedule 13D is being filed by: (i) WAB Holdings LLC, a Delaware limited liability company (“WAB Holdings”); (ii) Walgreens Pharmacy Strategies, LLC, an Illinois limited liability company (“WPS”); (iii) Bond Drug Company of Illinois, LLC, an Illinois limited liability company (“Bond Drug”); (iv) Walgreen Eastern Co., Inc., a New York corporation (“WEC”); (v) Walgreen Arizona Drug Co., an Arizona corporation (“WADC”); (vi) Walgreen Hastings Co., a Nebraska corporation (“WHC”); (vii) Walgreen Co., an Illinois corporation (“Walgreen”); (viii) Alliance Boots Luxembourg S.à r.l, a Luxembourg société à responsabilité limitée (limited liability company) (“AB Luxembourg”); (ix) Alliance Boots Holdings Limited, a private limited liability company organized under the laws of England and Wales (“AB Holdings”); (x) AB Acquisitions UK Holdco 7 Limited, a private limited liability company organized under the laws of England and Wales (“AB UK Holdco 7”); (xi) AB Acquisitions Limited, a private limited liability company organized under the laws of England and Wales (“AB Acquisitions”); (xii) Alliance Boots International Limited, a private limited liability company organized under the laws of England and Wales (“AB International”); (xiii) Alliance Boots Limited, a private limited liability company organized under the laws of England and Wales (“AB Limited”); (xiv) AB Acquisitions UK Topco Limited, a private limited liability company organized under the laws of England and Wales (“AB UK Topco”); (xv) AB Acquisitions Luxco 1 S.à r.l., a Luxembourg société à responsabilité limitée (limited liability company) (“AB Luxco 1”); (xvi) Alliance Boots GmbH, a Swiss Gesellschaft mit beschränkter Haftung (limited liability company) (“Alliance Boots”); (xvii) AB Acquisitions Holdings Limited, a private company limited by shares organized under the laws of Gibraltar (“AB Gibco”); (xviii) Alliance Santé Participations S.A., a Luxembourg société anonyme (corporation) (“ASP”); (xix) NEWCIP S.A., a Luxembourg société anonyme (corporation) (“NEWCIP”); (xx) Stefano Pessina, a Monaco citizen (“Pessina”); (xxi) KKR Sprint (2006) Limited, a Cayman Islands exempted limited company (“KKR Sprint 2006”); (xxii) KKR 2006 Fund (Overseas), Limited Partnership, a Cayman Islands exempted limited partnership (“KKR 2006 Fund Overseas LP”); (xxiii) KKR Associates 2006 (Overseas), Limited Partnership, a Cayman Islands exempted limited partnership (“KKR Associates 2006 Overseas LP”); (xxiv) KKR 2006 Limited, a Cayman Islands exempted limited company; (xxv) KKR Sprint (European II) Limited, a Cayman Islands exempted limited company (“KKR Sprint European II”); (xxvi) KKR European Fund II, Limited Partnership, a Cayman Islands exempted limited partnership (“KKR European Fund II”); (xxvii) KKR Associates Europe II, Limited Partnership, a Cayman Islands exempted limited partnership (“KKR Associates Europe II”); (xxviii) KKR Europe II Limited, a Cayman Islands exempted limited company; (xxix) KKR Sprint (KPE) Limited, a Cayman Islands exempted limited company (“KKR Sprint KPE”); (xxx) KKR PEI Investments, L.P., a Guernsey limited partnership (“KKR PEI Investments”); (xxxi) KKR PEI Associates, L.P., a Guernsey limited partnership (“KKR PEI Associates”); (xxxii) KKR PEI GP Limited, a Cayman Islands exempted limited company (“KKR PEI GP”); (xxxiii) KKR Fund Holdings LP, a Cayman Islands exempted limited partnership (“KKR Fund Holdings”); (xxxiv) KKR Fund Holdings GP Limited, a Cayman Islands exempted limited company (“KKR Fund Holdings GP”); (xxxv) KKR Group Holdings L.P., a Cayman Islands exempted limited partnership (“KKR Group Holdings”); (xxxvi) KKR Group Limited, a Cayman Islands exempted limited company (“KKR Group”); (xxxvii) KKR & Co. L.P., a Delaware limited partnership (“KKR & Co.”); (xxxviii) KKR Management LLC, a Delaware limited liability company (“KKR Management”); (xxxix) Henry R. Kravis, a United States citizen; and (xl) George R. Roberts, a United States citizen. WAB Holdings, WPS, Bond Drug, WEC, WADC, WHC, Walgreen, AB Luxembourg, AB Holdings, AB UK Holdco 7, AB Acquisitions, AB International, AB Limited, AB UK Topco, AB Luxco 1, Alliance Boots, AB Gibco, ASP, NEWCIP, Pessina, KKR Sprint 2006, KKR 2006 Fund Overseas LP, KKR Associates 2006 Overseas LP, KKR 2006 Limited, KKR Sprint European II, KKR European Fund II, KKR Associates Europe II, KKR Europe II Limited, KKR Sprint KPE, KKR PEI Investments, KKR PEI Associates, KKR PEI GP, KKR Fund Holdings, KKR Fund Holdings GP, KKR Group Holdings, KKR Group, KKR & Co., KKR Management, Mr. Kravis and Mr. Roberts are collectively referred to as the “Reporting Persons.” The agreement among the Reporting Persons relating to the joint filing of this Schedule 13D is attached as Exhibit 99.1 hereto.


All of the shares of Common Stock reported by the Reporting Persons in this Schedule 13D are held of record by WAB Holdings. WAB Holdings was formed solely for the purpose of investing in the Issuer.

WAB Holdings is jointly-owned directly by WPS and AB Luxembourg. WPS is a direct wholly-owned subsidiary of Bond Drug. Bond Drug is a direct wholly-owned subsidiary of WEC. WEC is a direct wholly-owned subsidiary of WADC. WADC is a direct wholly-owned subsidiary of WHC. WHC is a direct wholly-owned subsidiary of Walgreen. Walgreen, together with its subsidiaries, including WPS, Bond Drug, WEC, WADC and WHC, is principally engaged in the business of operating drugstore chains, including by offering products and services through drugstores, as well as through mail, by telephone and online.

AB Luxembourg is principally engaged in the business of investing in and holding the securities of subsidiary undertakings. AB Luxembourg is a direct wholly-owned subsidiary of AB Holdings. AB Holdings is a direct wholly-owned subsidiary of AB UK Holdco 7. AB UK Holdco 7 is a direct wholly-owned subsidiary of AB Acquisitions. AB Acquisitions is a direct wholly-owned subsidiary of AB International. AB International is a direct wholly-owned subsidiary of AB Limited. AB Limited is a direct wholly-owned subsidiary of AB UK Topco. AB UK Topco is a direct wholly-owned subsidiary of AB Luxco 1. AB Luxco 1 is a direct wholly-owned subsidiary (within the meaning of Rule 12b-2 promulgated under the Securities Exchange Act of 1934, as amended (the “Exchange Act”)) of Alliance Boots. Alliance Boots, together with its subsidiaries, including AB Luxembourg, AB Holdings, AB UK Holdco 7, AB Acquisitions, AB International, AB Limited, AB UK Topco and AB Luxco 1, is an international pharmacy-led health and beauty group, principally engaged in delivering a range of products and services to customers.

Alliance Boots is 55% held by AB Gibco. In addition, Walgreen indirectly owns a 45% equity interest in Alliance Boots and an option that provides Walgreen the right, but not the obligation, to elect to purchase the remaining 55% from AB Gibco during the six-month period beginning February 2, 2015 (such purchase of the remaining 55% pursuant to such option, the “Second Step Transaction”).

AB Gibco is principally engaged in the business of investing in and holding the securities of subsidiary undertakings, including Alliance Boots. AB Gibco is jointly-controlled by ASP, KKR Sprint 2006, KKR Sprint European II and KKR Sprint KPE. NEWCIP is the sole shareholder of ASP and Pessina holds 100% voting control over NEWCIP. The principal business of ASP and NEWCIP is the holding of investments. The principal business occupation of Pessina is as the Executive Chairman of Alliance Boots. Pessina is also a director of Walgreen.

KKR 2006 Fund Overseas LP is the sole shareholder of KKR Sprint 2006. KKR Associates 2006 Overseas LP is the general partner of KKR 2006 Fund Overseas LP. KKR 2006 Limited is the general partner of KKR Associates 2006 Overseas LP. KKR European Fund II is the controlling shareholder of KKR Sprint European II. KKR Associates Europe II is the general partner of KKR European Fund II. KKR Europe II Limited is the general partner of KKR Associates Europe II. KKR PEI Investments is the sole shareholder of KKR Sprint KPE. KKR PEI Associates is the general partner of KKR PEI Investments. KKR PEI GP is the general partner of KKR PEI Associates. KKR Fund Holdings is the sole shareholder of KKR 2006 Limited, KKR Europe II Limited and KKR PEI GP. KKR Fund Holdings GP is a general partner of KKR Fund Holdings. KKR Group Holdings is the sole shareholder of KKR Fund Holdings GP and a general partner of KKR Fund Holdings. KKR Group is the general partner of KKR Group Holdings. KKR & Co. is the sole shareholder of KKR Group. KKR Management is the general partner of KKR & Co. Messrs. Kravis and Roberts are officers and the designated members of KKR Management.

KKR Sprint 2006, KKR Sprint European II and KKR Sprint KPE are formed for the purpose of investing in AB Gibco. KKR Associates 2006 Overseas LP, KKR 2006 Limited, KKR Associates Europe II, KKR Europe II, KKR PEI Associates, KKR PEI GP are each principally engaged in the business of being a general partner, as described above. Each of KKR 2006 Overseas LP, KKR European Fund II, and KKR PEI Investments, KKR Fund Holdings, KKR Fund Holdings GP, KKR Group Holdings, KKR Group, KKR & Co. and KKR Management is principally engaged as a holding company for the subsidiaries engaged in the investment management business. The present principal occupation or employment of each of Messrs. Kravis and Roberts is as an executive of Kohlberg Kravis Roberts & Co. L.P. (“KKR”) and/or one or more of its affiliates.


The principal business office of WAB Holdings is:

 

c/o Walgreen Co.    c/o Alliance Boots Luxembourg S.À.R.L.
108 Wilmot Road    59, rue de Rollingergrund
Deerfield, Illinois 60015.    Luxembourg L-2440
   Grand Duchy of Luxembourg.

The principal business office of WPS, Bond Drug, WEC, WADC, WHC and Walgreen is:

c/o Walgreen Co.

108 Wilmot Road

Deerfield, Illinois 60015.

The principal business office of AB Luxembourg and AB Luxco 1 is:

59, rue de Rollingergrund

Luxembourg L-2440

Grand Duchy of Luxembourg.

The principal business office of AB Holdings, AB UK Holdco 7, AB Acquisitions, AB International, AB Limited, and AB UK Topco is:

Sedley Place, 4th Floor

361 Oxford Street

London W1C 2JL

United Kingdom.

The principal business office of Alliance Boots is:

Untermattweg 8

3027 Bern

Switzerland.

The principal business office of AB Gibco is:

57/63 Line Wall Road

Gibraltar.

The principal business office of ASP and NEWCIP is:

14, avenue de X Septembre

L-2550 Luxembourg

Grand Duchy of Luxembourg.

The business address of Pessina is:

24 Boulevard du Ténao

Monte Carlo

98000 Monaco.


The address of the principal business office of KKR Sprint 2006, KKR 2006 Fund Overseas LP, KKR Associates 2006 Overseas LP, KKR 2006 Limited, KKR Sprint European II, KKR European Fund II, KKR Associates Europe II, KKR Europe II Limited, KKR Sprint KPE, KKR PEI Investments, KKR PEI Associates, KKR PEI GP, KKR Fund Holdings, KKR Fund Holdings GP, KKR Group Holdings, KKR Group, KKR & Co., KKR Management and Mr. Kravis is:

c/o Kohlberg Kravis Roberts & Co. L.P.

9 West 57th Street, Suite 4200

New York, New York 10019

The address of the principal business office of Mr. Roberts is:

c/o Kohlberg Kravis Roberts & Co. L.P.

2800 Sand Hill Road, Suite 200

Menlo Park, CA 94025

Attached as Annex A hereto and incorporated herein by reference is a list containing the (a) name, (b) residence or business address, (c) present principal occupation or employment and the name, principal business address of any corporation or other organization in which such employment is conducted, and (d) citizenship, in each case of each director and executive officer of the Reporting Persons, as applicable.

During the last five years, each Reporting Person and, to the knowledge of such Reporting Person, each person listed in Annex A with respect to such Reporting Person, has not been convicted in any criminal proceeding (excluding traffic violations or similar misdemeanors) and has not been a party to a civil proceeding of any judicial or administrative body of competent jurisdiction as a result of which such person was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding of any violation with respect to such laws.

 

Item 3. Source and Amount of Funds or Other Consideration.

The 11,461,043 shares of Common Stock reported by the Reporting Persons in this Schedule 13D were acquired by WAB Holdings for an aggregate purchase price of approximately $716,683,328 (excluding brokerage commissions). Such shares of Common Stock were acquired with cash contributed to WAB Holdings by Walgreen, on behalf of WPS, pursuant to the LLC Agreement (as defined and further described below). Such funds were available from cash on Walgreen’s balance sheet.

 

Item 4. Purpose of Transaction.

The Framework Agreement and the Warrants

The following description of the Framework Agreement (as defined below) is qualified in its entirety by reference to the full text of the Framework Agreement, which is included as Exhibit 99.2 hereto and is incorporated herein by reference. The following description of the Warrants (as defined below) is qualified in its entirety by reference to the full text of the Warrants, which are included as Exhibits 99.3, 99.4, 99.5 and 99.6 hereto and are incorporated herein by reference.

On March 18, 2013, Walgreen, Alliance Boots and the Issuer entered into a Framework Agreement, dated as of March 18, 2013 (the “Framework Agreement”). Under the Framework Agreement, among other things, (1) Walgreen and Alliance Boots were granted the right to purchase up to 19,859,795 shares of Common Stock in open market transactions (such shares, the “Initial Open Market Shares”), (2) WPS was issued (i) a warrant to purchase up to 11,348,456 shares of Common Stock at an exercise price of $51.50 (“Walgreens Warrant 1”) and (ii) a warrant to purchase up to 11,348,456 shares of Common Stock at an exercise price of $52.50 (“Walgreens Warrant 2”), and (3) AB Luxembourg was issued (i) a warrant to purchase up to 11,348,456 shares of Common Stock at an exercise price of $51.50 (together with Walgreens Warrant 1, collectively “Warrant 1”) and (ii) a warrant to purchase up to


11,348,456 shares of Common Stock at an exercise price of $52.50 (together with Walgreens Warrant 2, collectively, “Warrant 2” and Warrant 1 and Warrant 2, collectively, the “Warrants”). The Framework Agreement also provides that, if at any time during the period when Warrant 1 is exercisable the market price of Common Stock is less than the then-applicable exercise price of Warrant 1, the holders of Warrant 1 shall have the right to acquire (either directly or through Walgreen or Alliance Boots or wholly-owned subsidiaries of either) in open market transactions up to an aggregate total 14,185,570 additional shares of Common Stock (the “Additional Open Market Shares”, and together with the Initial Open Market Shares, the “Open Market Purchase Rights”).

The number of Initial Open Market Shares and Additional Open Market Shares Walgreen and Alliance Boots are entitled to purchase is subject to adjustment for stock splits, stock dividends, reclassifications and certain issuances of Common Stock (or securities convertible into or exercisable for Common Stock). The number of shares issuable upon the exercise of Warrant 1 is reduced on a one-for-one basis by acquisitions of Additional Open Market Shares.

Warrant 1 is exercisable in whole or in part and from time to time during a period of six months, beginning on March 18, 2016, at an exercise price of $51.50 per share of Common Stock. Warrant 2 is exercisable in whole or in part and from time to time during a period of six months, beginning on March 18, 2017, at an exercise price of $52.50 per share of Common Stock.

If the Issuer enters into an agreement with a third party other than an Investor (as defined below), recommends that stockholders tender in response to a tender or exchange offer made by a third party other than an Investor or fails to recommend within the ten-business day period specified in Rule 14e-2(a) under the Exchange Act, that stockholders reject a tender or exchange offer made by a third party other than an Investor (any of the foregoing transactions, an “Acceleration Transaction”), and, in response to the foregoing, an Investor has made a Qualifying Public Acquisition Proposal (as defined below), then the Warrants become exercisable on (1) if the completion of the applicable Acceleration Transaction or Qualifying Public Acquisition Proposal requires stockholder approval, five business days before the applicable record date or (2) if such Acceleration Transaction or Qualifying Public Acquisition Proposal is structured as a tender/exchange offer, five business days before the initial expiration date of such tender/exchange offer. In addition, subject to certain exceptions, the Warrants become exercisable if the Issuer issues, authorizes the issuance of or agrees to issue voting securities other than Common Stock. Further, if a third party consummates an acquisition with respect to 30% or more of the Issuer, the Warrants will be accelerated and become exercisable immediately prior to such consummation.

The exercise prices and the number of shares issuable upon exercise of the Warrants are subject to anti-dilution adjustments for stock splits, stock dividends, reclassifications, noncash distributions, extraordinary cash dividends, certain above-market repurchases of Common Stock, business combination transactions and certain issuances of Common Stock (or securities convertible into or exercisable for Common Stock) at a price (or having a conversion or exercise price) that is less than the market price of Common Stock.

Among other potential consequences in respect of the failure to obtain certain required antitrust approvals, in the event that certain specified antitrust approvals are required to complete the purchase of the Initial Open Market Shares and the Additional Open Market Shares and the exercise of the Warrants, and such approvals are not received within one year of the applicable filing, the Investors can offer to sell to the Issuer the portion of Warrant 2 that cannot be exercised by the Investors. If the Issuer does not elect to purchase the relevant portion of Warrant 2, the Investors will be free to sell such portion of Warrant 2 to a third party.

If at any time the agreement, originally dated March 18, 2013 (as may be amended from time to time), governing the purchase by the Issuer of generic drugs through Walgreens Boots Alliance Development GmbH (“WBAD”), a global pharmaceutical sourcing joint venture between Walgreen and Alliance Boots, has been terminated (1) by the Issuer because of a material breach by, or insolvency of, WBAD or (2) by mutual agreement of the Issuer and WBAD or for certain legal reasons, the Issuer may cancel any unexercised Warrants and Open Market Purchase Rights. In the case of the foregoing clause (2), if the Issuer cancels any unexercised Warrants and Open Market Purchase Rights, Walgreen may cause the term of the Distribution Agreement (as defined below) to be reduced to the greater of (A) an aggregate four-year term and (2) two years from the date Walgreen elects to exercise this right.

In addition, in the event that a pharmaceutical distribution contract between the Issuer and Walgreen, originally dated March 18, 2013 (as may be amended from time to time) (the “Distribution Agreement”) is terminated by Walgreen because of a material breach by the Issuer, the Framework Agreement provides for the manner in which the transactions contemplated by the Framework Agreement will be unwound.


The shares of Common Stock reported by the Reporting Persons in this Schedule 13D are held of record by WAB Holdings and represent Initial Open Market Shares under the Framework Agreement.

The Shareholders Agreement

Pursuant to the Framework Agreement, the Issuer, Walgreen and Alliance Boots entered into the AmerisourceBergen Shareholders Agreement, dated as of March 18, 2013 (the “Shareholders Agreement”). The following description of the Shareholders Agreement is qualified in its entirety by reference to the full text of the Shareholders Agreement, which is included as Exhibit 99.7 hereto and is incorporated herein by reference.

The Shareholders Agreement sets forth certain governance arrangements and contains various provisions relating to the acquisition of additional equity interests in the Issuer, prohibitions on taking certain actions relating to the Issuer, stock purchase rights, transfer restrictions, board representation, voting arrangements, registration rights and other matters.

Pursuant to the Shareholders Agreement, upon Walgreen and Alliance Boots, together with their respective wholly-owned subsidiaries and WAB Holdings (collectively, the “Investors”), collectively owning 5% or more of the Common Stock, Walgreen is entitled to designate one director to the Board of Directors of the Issuer (the “Initial Designation Right”). In addition, upon the later to occur of (1) the exercise in full of Warrant 1 and (2) the acquisition in full by the Investors of the Initial Open Market Shares, Walgreen will be entitled to designate a second director to the Board (subject to certain rights of Alliance Boots in respect of selecting such designee). If the Investors divest equity securities of the Issuer such that they collectively own less than 14%, but at least 5%, of the Common Stock, Walgreen will no longer be entitled to designate two directors to the Board of Directors of the Issuer (the “Board”) and will only be entitled to designate one director to the Board. If the Investors divest equity securities of the Issuer such that they collectively own less than 5% of the Common Stock, Walgreen will no longer be entitled to designate any directors to the Board.

Pursuant to the Initial Designation Right, Walgreen expects that, on or prior to May 15, 2014, Gregory D. Wasson, President and Chief Executive Officer of Walgreen, will be appointed by the Board to serve as a director of the Issuer.

For so long as Walgreen has the right to designate a director to the Board, subject to certain exceptions, including matters related to acquisition proposals, the Investors will be obligated to vote all of their shares of Common Stock in accordance with the recommendation of the Board on all matters submitted to a vote of the Issuer’s stockholders (including the election of directors).

The Shareholders Agreement contains, among other things, certain restrictions on the Investors’ ability to transfer the Warrants and their shares of Common Stock. Subject to certain exceptions, including certain transfers among each other and/or with their respective wholly-owned subsidiaries, the Investors cannot transfer:

 

    the Warrants at any time (other than a portion of Warrant 2 as described above under the discussion of the Framework Agreement);

 

    any Initial Open Market Shares until the expiration of Warrant 1;

 

    any Additional Open Market Shares until the earlier of (1) the later of the two-year anniversary of (x) the exercise in full of Warrant 1, (y) the expiration of Warrant 1 and (z) the last purchase of Additional Open Market Shares by the Investors and (2) the irrevocable commitment by each of Walgreen and Alliance Boots not to exercise Warrant 2;

 

    any shares issued upon the exercise of Warrant 1 until the earlier of (1) the later of the two-year anniversary of (x) the exercise in full of Warrant 1, (y) the expiration of Warrant 1, and (z) the last purchase of Additional Open Market Shares by the Investors and (2) the irrevocable commitment by each of Walgreen and Alliance Boots not to exercise Warrant 2; or

 

    any shares issued upon the exercise of Warrant 2 until the later of the one-year anniversary of (1) the exercise in full of Warrant 2 and (2) the expiration of Warrant 2.


In addition, the Shareholders Agreement further provides that Walgreen and Alliance Boots cannot transfer Common Stock or other voting securities:

 

    (1) in transactions in which any person or group would acquire more than 5% of the Common Stock or (2) (x) to any person or group (other than activist investors) if after such transfer such person or group would own 10% or more of the Common Stock or (y) to any activist investor if after such transfer such activist investor would own 5% or more of the Common Stock;

 

    on any day, an amount greater than 10% of the Issuer’s 20-day average daily trading volume; or

 

    to any prohibited transferees on an enumerated list.

The Shareholders Agreement also contains certain standstill provisions that, among other things, and subject to certain exceptions, prohibit the Investors and their respective affiliates from acquiring additional shares of Common Stock. Among other things, the standstill provisions provide that the Investors cannot acquire any shares of Common Stock, other than (a) the Initial Open Market Shares, (b) the Additional Open Market Shares, (c) pursuant to the exercise of the Warrants, (d) pursuant to the exercise of preemptive rights (described below), (e) pursuant to the reinvestment of dividends or (f) pursuant to certain transfers among the Investors. In the case of acquisitions pursuant to clauses (a), (b), (d), (e) and (f), the standstill provisions further provide that the Investors’ collective beneficial ownership of shares of Common Stock is not permitted to exceed 30% of the issued and outstanding Common Stock (the “Ultimate Standstill Level”). In the event that (1) the Issuer conducts share repurchases that cause, or (2) the Investors exercise the Warrants in a manner that causes, in either case, the Investors’ collective beneficial ownership of Common Stock to exceed the Ultimate Standstill Level, the Issuer may require the Investors to sell Common Stock to the Issuer, at a market price determined pursuant to the Shareholders Agreement, such that their collective ownership no longer exceeds the Ultimate Standstill Level.

In addition, the standstill provisions prohibit, among other things, and subject to certain exceptions, the Investors from entering into voting agreements or granting a proxy to any other person; participating or engaging in a proxy solicitation with respect to the Issuer; seeking to control or influence the management or policies of the Issuer; or entering into or proposing a merger, business combination or other similar extraordinary transaction involving the Issuer.

The foregoing restrictions do not prohibit the Investors from, subject to certain requirements, making private proposals to the Issuer, or competing with third-party acquisition proposals. In the event that a third party makes an acquisition proposal for between 30% and 50% of the Issuer, then the Investors can make a competing acquisition proposal for either (1) all of the Issuer or (2) between 30% and 50% of the Issuer, provided that, in the case of clause (2), the Investors will not own more than 49% of the Issuer following such transaction. In addition, in the event that a third party makes an acquisition proposal for more than 50% of the Issuer, then the Investors can make a competing proposal to acquire at least 30% of the Issuer (each of the foregoing permitted competing acquisition proposals, a “Qualifying Public Acquisition Proposal”).

The Shareholders Agreement also provides that from and after the expiration of the transfer restrictions set forth in the Shareholders Agreement, the Investors will be granted customary registration rights with respect to Common Stock.

In addition, pursuant to the terms of the Shareholders Agreement, Walgreen and Alliance Boots will have preemptive rights to purchase their respective proportionate share of equity securities in future issuances of equity securities by the Issuer. These purchase rights will not apply to issuances in connection with conversions of certain convertible securities, equity compensation plan awards and certain other types of issuances.

The Shareholders Agreement will, subject to certain exceptions, terminate when the Investors’ collective beneficial ownership of Common Stock decreases to less than 5%.


The Transaction Rights Agreement and WAB Holdings LLC Agreement

In connection with entering into the Framework Agreement, the Shareholders Agreement and the issuance of the Warrants, Walgreen, WPS, Alliance Boots, AB Luxembourg and WAB Holdings entered into a Transaction Rights Agreement, dated as of March 18, 2013 (the “Transaction Rights Agreement”). The following description of the Transaction Rights Agreement and the Limited Liability Company Agreement of WAB Holdings, entered into by WPS and AB Luxembourg on March 18, 2013 (the “LLC Agreement”), is qualified in its entirety by reference to the full text of each of the Transaction Rights Agreement and the LLC Agreement, which are included as Exhibit 99.8 and Exhibit 99.9 hereto, respectively, and are incorporated herein by reference.

The Transaction Rights Agreement provides, among other things, that, in general, unless and until Walgreen fails to complete the Second Step Transaction, WAB Holdings will be the sole vehicle through which Walgreen and Alliance Boots acquire equity securities of the Issuer (other than the Warrants, which were issued by the Issuer to each of WPS and AB Luxembourg), including, without limitation, any Initial Open Market Shares.

If the Warrants become exercisable prior to the completion or failure of the Second Step Transaction, the Transaction Rights Agreement (together with the LLC Agreement), provides that WAB Holdings will acquire 100% of the Warrants from WPS and AB Luxembourg, in exchange for a payment by WAB Holdings equal to the fair market value of the Warrants as of their date of issuance (the “Warrants Transfer”).

Under the LLC Agreement, WPS has agreed to provide WAB Holdings with funding in connection with any acquisition of Common Stock pursuant to the arrangements described above, including the Initial Open Market Shares, as well as to complete the Warrants Transfer. The LLC Agreement also provides that, upon certain events, including the failure to complete the Second Step Transaction, at the election of AB Luxembourg (an “Equity Transfer Election”), AB Luxembourg will pay to WPS an amount equal to approximately 50% of the aggregate amount of funding theretofore provided by or on behalf of WPS to WAB Holdings to acquire Issuer equity securities (including pursuant to the Warrants Transfer), plus interest, following which WAB Holdings will dissolve, resulting in each of WPS and AB Luxembourg receiving 50% of the Issuer equity securities and other assets (if any) then held by WAB Holdings (a “50/50 Dissolution”). In the event of the failure to complete the Second Step Transaction, if AB Luxembourg does not make the Equity Transfer Election, WPS would thereafter solely own 100% of the Issuer equity securities and other assets (if any) held by WAB Holdings, and either (1) AB Luxembourg will be required to make a payment to WPS or (2) WPS will be required to make a payment to AB Luxembourg, in either case in an amount calculated to achieve the same economic outcome (based on the then-current market price of Common Stock) as a 50/50 Dissolution for each of AB Luxembourg and WPS.

Moreover, the Transaction Rights Agreement provides that, following a failure to complete the Second Step Transaction, subject to certain exceptions and to the extent the standstill provisions of the Shareholders Agreement are still applicable, each of Walgreen and Alliance Boots will not acquire equity securities of the Issuer if such acquisition would cause its beneficial ownership of Common Stock to exceed its pro rata share of the Ultimate Standstill Level.

The Transaction Rights Agreement also provides that, if Walgreen fails to complete the Second Step Transaction, to the extent that Walgreen is entitled under the Shareholders Agreement to designate two directors to the Board, the second director will be an executive officer of Alliance Boots, designated by the board of directors of Walgreen in consultation with and at the direction of Alliance Boots.

The LLC Agreement further provides that, subject to certain exceptions, WAB Holdings will be managed by a board of managers, comprised of two managers selected by WPS and two managers selected by AB Luxembourg. The current directors of WAB Holdings are set forth on Annex A hereto.

The shares of Common Stock reported by the Reporting Persons in this Schedule 13D were acquired in connection with Walgreen’s and Alliance Boots’ strategic, long-term relationship with the Issuer. The Reporting Persons will review on an ongoing and continuing basis their investment in the Issuer and, depending upon the factors discussed below, and subject to applicable law and contractual restrictions, including under the Shareholders Agreement, the Reporting Persons may in the future take actions with respect to the Issuer as they deem appropriate, including changing their current intentions, with respect to any or all matters required to be disclosed in this Schedule 13D.


Without limiting the foregoing, the Reporting Persons (subject to applicable law and contractual restrictions, including under the Shareholders Agreement) may acquire additional shares of Common Stock or other securities of the Issuer or may sell shares of Common Stock or other securities of the Issuer. Further, subject to applicable law and contractual restrictions described herein, including under the Shareholders Agreement, (a) the Reporting Persons may enter into derivative transactions or alternative structures with respect to the shares of Common Stock or the economic or voting rights attached thereto and (b) any open market or privately negotiated purchases, sales, distributions or other transactions may be made at any time without additional prior notice. Any alternative that the Reporting Persons may pursue will depend upon a variety of factors, including without limitation, current and anticipated future trading prices of the shares of Common Stock or other securities of the Issuer, the financial condition, results of operations and prospects of the Issuer and general economic, financial market and industry conditions, other investment and/or business opportunities available to the Reporting Persons, strategic considerations in respect of the Reporting Persons, general stock market and economic conditions, tax considerations and other factors.

In addition, without limitation, and subject to applicable law and contractual restrictions, including under the Shareholders Agreement, the Reporting Persons may engage in discussions with management, the Board, stockholders of the Issuer and other relevant parties or take other actions through their representatives on the Board or otherwise, concerning any extraordinary corporate transaction (including but not limited to a merger, reorganization or liquidation) or the business, operations, assets, strategy, future plans, prospects, corporate structure, board composition, management, capitalization, dividend policy, charter, bylaws, corporate documents, agreements (including alterations of the contractual agreements described herein), de-listing or de-registration of the Issuer.

Pursuant to the Initial Designation Right as described above, Walgreen expects that, on or prior to May 15, 2014, Gregory D. Wasson, President and Chief Executive Officer of Walgreen, will be appointed by the Board to serve as a director of the Issuer. In his capacity as a director of the Issuer, Mr. Wasson may have influence over the corporate activities of the Issuer, including activities which may relate to transactions described in paragraphs (a) through (j) of Item 4 of Schedule 13D.

While, with respect to each Reporting Person, the foregoing reflects activities presently contemplated in respect of the Issuer by such Reporting Person and, to the knowledge of such Reporting Person, the persons listed in Annex A hereto with respect to such Reporting Person, the foregoing is subject to change at any time. Except as set forth above, or as would occur upon completion of any of the matters discussed herein, with respect to each Reporting Person, such Reporting Person and, to the knowledge of such Reporting Person, the persons listed in Annex A hereto with respect to such Reporting Person, have no present plans or intentions which would result in or relate to any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.

 

Item 5. Interest in Securities of the Issuer.

The information set forth in Item 2 of this Schedule 13D is hereby incorporated by reference in this Item 5.

(a) and (b). The ownership percentages set forth below are based on 229,201,153 shares of Common Stock outstanding as of January 31, 2014, as reported by the Issuer on its Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2013, filed by the Issuer with the Securities and Exchange Commission on February 7, 2014.

As a result of its acquisition of Initial Open Market Shares pursuant to the Framework Agreement, WAB Holdings may be deemed to beneficially own 11,461,043 shares of Common Stock, representing approximately 5.0% of the total number of shares of Common Stock outstanding. By virtue of relationships reported in Item 2, each of the Reporting Persons may be deemed to share the power to vote or to direct the voting of, and to dispose or to direct the disposition of, such shares of Common Stock. As a result of the foregoing, each of the Reporting Persons may be deemed to beneficially own such shares of Common Stock that may be deemed to be beneficially owned by WAB Holdings.

Neither the filing of this Schedule 13D nor any of its contents shall be deemed to constitute an admission by any Reporting Person (other than WAB Holdings) that it is the beneficial owner of any shares of Common Stock for purposes of Section 13(d) of the Exchange Act, or for any other purpose, and such beneficial ownership is expressly disclaimed.


(c) Other than as described elsewhere in this Schedule 13D or as set forth in the attached Schedule I, with respect to each Reporting Person, such Reporting Person and, to the knowledge of such Reporting Person, the persons listed in Annex A hereto with respect to such Reporting Person, have not effected any transaction in shares of Common Stock in the past 60 days.

(d) Other than the Reporting Persons and the persons listed in Annex A hereto, no other person 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 the shares of Common Stock covered by this Schedule 13D.

(e) Not applicable.

 

Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.

The information set forth in Item 4 of this Schedule 13D is hereby incorporated by reference in this Item 6.

 

Item 7. Material to be Filed as Exhibits.

 

Exhibits

  

Description of Exhibits

99.1*    Joint Filing Agreement, dated as of April 14, 2014, by and among, WAB Holdings LLC, Walgreens Pharmacy Strategies, LLC, Bond Drug Company of Illinois, LLC, Walgreen Eastern Co., Inc., Walgreen Arizona Drug Co., Walgreen Hastings Co., Walgreen Co., Alliance Boots Luxembourg S.à r.l., Alliance Boots Holdings Limited, AB Acquisitions UK Holdco 7 Limited, AB Acquisitions Limited, Alliance Boots International Limited, Alliance Boots Limited, AB Acquisitions UK Topco Limited, AB Acquisitions Luxco 1 S.à r.l., Alliance Boots GmbH; AB Acquisitions Holdings Limited, Alliance Santé Participations S.A., NEWCIP S.A., Stefano Pessina, KKR Sprint 2006, KKR 2006 Fund Overseas LP, KKR Associates 2006 Overseas LP, KKR 2006 Limited, KKR Sprint European II, KKR European Fund II, KKR Associates Europe II, KKR Europe II Limited, KKR Sprint KPE, KKR PEI Investments, KKR PEI Associates, KKR PEI GP, KKR Fund Holdings, KKR Fund Holdings GP, KKR Group Holdings, KKR Group, KKR & Co., KKR Management, Henry R. Kravis and George R. Roberts.
99.2    Framework Agreement, dated as of March 18, 2013, by and among the Issuer, Walgreen Co. and Alliance Boots GmbH (filed as 10.1 to the Issuer’s Current Report on Form 8-K, filed on March 20, 2013 and incorporated by reference herein)
99.3    Warrant issued on March 18, 2013 (filed as 4.1 to the Issuer’s Current Report on Form 8-K, filed on March 20, 2013 and incorporated by reference herein)
99.4    Warrant issued on March 18, 2013 (filed as 4.2 to the Issuer’s Current Report on Form 8-K, filed on March 20, 2013 and incorporated by reference herein)
99.5    Warrant issued on March 18, 2013 (filed as 4.3 to the Issuer’s Current Report on Form 8-K, filed on March 20, 2013 and incorporated by reference herein)
99.6    Warrant issued on March 18, 2013 (filed as 4.4 to the Issuer’s Current Report on Form 8-K, filed on March 20, 2013 and incorporated by reference herein)
99.7    Shareholders Agreement, dated as of March 18, 2013, by and among the Issuer, Walgreen Co. and Alliance Boots GmbH (filed as 10.2 to the Issuer’s Current Report on Form 8-K, filed on March 20, 2013 and incorporated by reference herein)
99.8    Transaction Rights Agreement, dated as of March 18, 2013, by and among the Walgreen Co., Walgreens Pharmacy Strategies, LLC, Alliance Boots GmbH, Alliance Boots Luxembourg S.à r.l., and WAB Holdings LLC (filed as 10.3 to Walgreen Co.’s Current Report on Form 8-K, filed on March 20, 2013 and incorporated by reference herein)
99.9*    Limited Liability Company Agreement of WAB Holdings LLC, dated as of March 18, 2013, by and between Walgreens Pharmacy Strategies, LLC and Alliance Boots Luxembourg S.à r.l.
99.10*    Powers of Attorney

 

* Filed herewith.


Signature

After reasonable inquiry and to the best of the undersigned’s knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

 

WAB HOLDINGS LLC

/s/ Dan Morrell

Name:   Dan Morrell
Title:   Manager
WALGREENS PHARMACY STRATEGIES, LLC

/s/ Rick J. Hans

Name:   Rick J. Hans
Title:   Vice President and Treasurer
BOND DRUG COMPANY OF ILLINOIS, LLC

/s/ Rick J. Hans

Name:   Rick J. Hans
Title:   Vice President and Treasurer
WALGREEN EASTERN CO., INC.

/s/ Rick J. Hans

Name:   Rick J. Hans
Title:   Vice President and Treasurer 
WALGREEN ARIZONA DRUG CO.

/s/ Rick J. Hans

Name:   Rick J. Hans
Title:   Vice President
WALGREEN HASTINGS CO.

/s/ Rick J. Hans

Name:   Rick J. Hans
Title:   Vice President
WALGREEN CO.

/s/ Thomas J. Sabatino, Jr.

Name:   Thomas J. Sabatino, Jr.
Title:   Executive Vice President, General Counsel and Corporate Secretary


ALLIANCE BOOTS LUXEMBOURG S.À R.L.

/s/ Wolfgang Zettel

Name:   Wolfgang Zettel
Title:   A Gérant (A Manager)

/s/ Jean-Paul Goerens

Name:   Jean-Paul Goerens
Title:   B Gérant (B Manager)
ALLIANCE BOOTS HOLDINGS LIMITED

/s/ Frank Standish

Name:   Frank Standish
Title:   Director

/s/ Martin Delve

Name:   Martin Delve
Title:   Director
AB ACQUISITIONS UK HOLDCO 7 LIMITED

/s/ Frank Standish

Name:   Frank Standish
Title:   Director

/s/ Martin Delve

Name:   Martin Delve
Title:   Director
AB ACQUISITIONS LIMITED

/s/ Frank Standish

Name:   Frank Standish
Title:   Director

/s/ Martin Delve

Name:   Martin Delve
Title:   Director


ALLIANCE BOOTS INTERNATIONAL LIMITED

/s/ Stefano Pessina

Name:   Stefano Pessina
Title:   Director

/s/ Marco Pagni

Name:   Marco Pagni
Title:   Director
ALLIANCE BOOTS LIMITED

/s/ Frank Standish

Name:   Frank Standish
Title:   Director

/s/ Martin Delve

Name:   Martin Delve
Title:   Director
AB ACQUISITIONS UK TOPCO LIMITED

/s/ Frank Standish

Name:   Frank Standish
Title:   Director

/s/ Martin Delve

Name:   Martin Delve
Title:   Director


AB ACQUISITIONS LUXCO 1 S.À R.L.

/s/ Wolfgang Zettel

Name:   Wolfgang Zettel
Title:   A Gérant (A Manager)

/s/ Jean-Paul Goerens

Name:   Jean-Paul Goerens
Title:   B Gérant (B Manager)
ALLIANCE BOOTS GMBH

/s/ Stefano Pessina

Name:   Stefano Pessina
Title:   Director

/s/ Marco Pagni

Name:   Marco Pagni
Title:   Director
AB ACQUISITIONS HOLDINGS LIMITED

/s/ Stefano Pessina

Name:   Stefano Pessina
Title:   Director

/s/ Marco Pagni

Name:   Marco Pagni
Title:   Director


ALLIANCE SANTÉ PARTICIPATIONS S.A.

/s/ Stefano Pessina

Name:   Stefano Pessina
Title:   Administrateur (Director)

/s/ Jean-Paul Goerens

Name:   Jean-Paul Goerens
Title:   Administrateur (Director)
NEWCIP S.A.

/s/ Stefano Pessina

Name:   Stefano Pessina
Title:   Administrateur (Director)

/s/ Jean-Paul Goerens

Name:   Jean-Paul Goerens
Title:   Administrateur (Director)

/s/ Stefano Pessina

STEFANO PESSINA


KKR SPRINT (2006) LIMITED
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR 2006 FUND (OVERSEAS), LIMITED PARTNERSHIP
By:   KKR Associates 2006 (Overseas), Limited Partnership, its general partner
By:   KKR 2006 Limited, its general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR ASSOCIATES 2006 (OVERSEAS), LIMITED PARTNERSHIP
By:   KKR 2006 Limited, its general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR 2006 LIMITED
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR SPRINT (EUROPEAN II) LIMITED
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director


KKR EUROPEAN FUND II, LIMITED PARTNERSHIP
By:   KKR Associates Europe II, Limited Partnership, its general partner
By:   KKR Europe II Limited, its general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR ASSOCIATES EUROPE II, LIMITED PARTNERSHIP
By:   KKR Europe II Limited, its general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR EUROPE II LIMITED
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR SPRINT (KPE) LIMITED
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR PEI INVESTMENTS, L.P.
By:   KKR PEI Associates, L.P., its general partner
By:   KKR PEI GP Limited, its general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR PEI ASSOCIATES, L.P.
By:   KKR PEI GP Limited, its general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director


KKR PEI GP LIMITED
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR FUND HOLDINGS L.P.
By:   KKR Fund Holdings GP Limited, a general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR FUND HOLDINGS GP LIMITED
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR GROUP HOLDINGS L.P.
By:   KKR Group Limited, its general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director


KKR GROUP LIMITED
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR & CO. L.P.
By:   KKR Management LLC, its general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Chief Financial Officer
KKR MANAGEMENT LLC
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Chief Financial Officer
HENRY R. KRAVIS
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact
GEORGE R. ROBERTS
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact

Date: April 14, 2014


ANNEX A

WAB HOLDINGS, LLC

Jason Dubinsky

Director of WAB Holdings

Business Address: Walgreen Co., 108 Wilmot Road, Deerfield, Illinois 60015

Citizenship: United States

Present Principal Occupation: Treasurer, Walgreen Co.

Dan Morrell

Director of WAB Holdings

Business Address: Walgreen Co., 108 Wilmot Road, Deerfield, Illinois 60015

Citizenship: United States

Present Principal Occupation: Assistant Treasurer, Walgreen Co.

George Fairweather

Director of WAB Holdings

Business Address: c/o Alliance Boots, Sedley Place, 4th Floor, 361 Oxford Street, London W1C 2JL, United Kingdom

Citizenship: United Kingdom

Present Principal Occupation: Group Finance Director, Alliance Boots

Marco Pagni

Director of WAB Holdings

Business Address: c/o Alliance Boots, Sedley Place, 4th Floor, 361 Oxford Street, London W1C 2JL, United Kingdom.

Citizenship: United Kingdom

Present Principal Occupation: Group Legal Counsel & Chief Administrative Officer, Alliance Boots


WALGREENS PHARMACY STRATEGIES, LLC

OFFICERS

Unless otherwise noted, the business address for each person listed below is c/o Walgreen Co., 108 Wilmot Road, Deerfield, Illinois 60015. To the knowledge of Walgreen Co., all officers listed below are United States citizens.

Kermit R. Crawford, President

Present Principal Occupation: President, Pharmacy, Health and Wellness, Walgreen Co.

Richard Ashworth, Vice President

Present Principal Occupation: Healthcare Director, Alliance Boots; International Special Project, Walgreen Co.

Jeffrey Berkowitz, Vice President

Present Principal Occupation: President, Walgreens Boots Alliance Development GmbH

Michael Felish, Assistant Treasurer

Present Principal Occupation: Director, Tax Counsel and Tax Compliance, Walgreen Co.

Rick J. Hans, Vice President and Treasurer

Present Principal Occupation: Divisional Vice President of Investor Relations and Finance, Walgreen Co.

John A. Mann, Vice President

Present Principal Occupation: Divisional Vice President, Tax, Walgreen Co.

Brad Wasson, Vice President

Present Principal Occupation: Vice President, Pharmacy Services: Specialty Solutions Groups-Administration, Walgreen Co.


BOND DRUG COMPANY OF ILLINOIS, LLC

MANAGERS

Unless otherwise noted, the business address for each person listed below is c/o Walgreen Co., 108 Wilmot Road, Deerfield, Illinois 60015. To the knowledge of Walgreen Co., all managers listed below are United States citizens.

Kermit R. Crawford

Present Principal Occupation: President, Pharmacy, Health and Wellness, Walgreen Co.

Rick J. Hans

Present Principal Occupation: Divisional Vice President of Investor Relations and Finance, Walgreen Co.

Mark A. Wagner

Present Principal Occupation: President, Operations and Community Management, Walgreen Co.

OFFICERS

Unless otherwise noted, the business address for each person listed below is c/o Walgreen Co., 108 Wilmot Road, Deerfield, Illinois 60015. To the knowledge of Walgreen Co., all officers listed below are United States citizens.

Michael Felish, Assistant Treasurer

Present Principal Occupation: Director, Tax Counsel and Tax Compliance, Walgreen Co.

Rick J. Hans, Vice President and Treasurer

Present Principal Occupation: Divisional Vice President of Investor Relations and Finance, Walgreen Co.

John A. Mann, Vice President

Present Principal Occupation: Divisional Vice President, Tax, Walgreen Co.

Richard N. Steiner, Vice President

Present Principal Occupation: Director, Community and Real Estate Law: Eastern Region, Walgreen Co.

Mark A. Wagner, President

Present Principal Occupation: President, Operations and Community Management, Walgreen Co.


WALGREEN EASTERN CO., INC.

DIRECTORS

Unless otherwise noted, the business address for each person listed below is c/o Walgreen Co., 108 Wilmot Road, Deerfield, Illinois 60015. To the knowledge of Walgreen Co., all directors listed below are United States citizens.

Kermit R. Crawford

Present Principal Occupation: President, Pharmacy, Health and Wellness, Walgreen Co.

Rick J. Hans

Present Principal Occupation: Divisional Vice President of Investor Relations and Finance, Walgreen Co.

Mark A. Wagner

Present Principal Occupation: President, Operations and Community Management, Walgreen Co.

OFFICERS

Unless otherwise noted, the business address for each person listed below is c/o Walgreen Co., 108 Wilmot Road, Deerfield, Illinois 60015. To the knowledge of Walgreen Co., all officers listed below are United States citizens.

Kermit R. Crawford, Vice President

Present Principal Occupation: President, Pharmacy, Health and Wellness, Walgreen Co.

Michael Felish, Assistant Treasurer

Present Principal Occupation: Director, Tax Counsel and Tax Compliance, Walgreen Co.

Joseph H. Greenberg, Vice President

Present Principal Occupation: Divisional Vice President, Corporate, M&A and Securities Law, Walgreen Co.

Rick J. Hans, Vice President and Treasurer

Present Principal Occupation: Divisional Vice President of Investor Relations and Finance, Walgreen Co.

John A. Mann, Vice President

Present Principal Occupation: Divisional Vice President, Tax, Walgreen Co.

Michael Redstone, Assistant Secretary

Present Principal Occupation: Director, Community and Real Estate Law: Southwest Region, Walgreen Co.

Richard N. Steiner, Vice President

Present Principal Occupation: Director, Community and Real Estate Law: Eastern Region, Walgreen Co.

Mark A. Wagner, President

Present Principal Occupation: President, Operations and Community Management, Walgreen Co.


WALGREEN ARIZONA DRUG CO.

DIRECTORS

Unless otherwise noted, the business address for each person listed below is c/o Walgreen Co., 108 Wilmot Road, Deerfield, Illinois 60015. To the knowledge of Walgreen Co., all directors listed below are United States citizens.

Kermit R. Crawford

Present Principal Occupation: President, Pharmacy, Health and Wellness, Walgreen Co.

Rick J. Hans

Present Principal Occupation: Divisional Vice President of Investor Relations and Finance, Walgreen Co.

Mark A. Wagner

Present Principal Occupation: President, Operations and Community Management, Walgreen Co.

OFFICERS

Unless otherwise noted, the business address for each person listed below is c/o Walgreen Co., 108 Wilmot Road, Deerfield, Illinois 60015. To the knowledge of Walgreen Co., all officers listed below are United States citizens.

Kermit R. Crawford, Vice President

Present Principal Occupation: President, Pharmacy, Health and Wellness, Walgreen Co.

Jason Dubinsky, Treasurer

Present Principal Occupation: Vice President, Finance and Treasurer, Walgreen Co.

Michael Felish, Assistant Treasurer

Present Principal Occupation: Director, Tax Counsel and Tax Compliance, Walgreen Co.

Joseph H. Greenberg, Assistant Secretary, Vice President

Present Principal Occupation: Divisional Vice President, Corporate, M&A and Securities Law, Walgreen Co.

Rick J. Hans, Vice President

Present Principal Occupation: Divisional Vice President of Investor Relations and Finance, Walgreen Co.

John A. Mann, Vice President

Present Principal Occupation: Divisional Vice President, Tax, Walgreen Co.

Dan Morrell, Assistant Treasurer

Present Principal Occupation: Assistant Treasurer, Walgreen Co.

Richard N. Steiner, Vice President

Present Principal Occupation: Director, Community and Real Estate Law: Eastern Region, Walgreen Co.

Mark A. Wagner, President

Present Principal Occupation: President, Operations and Community Management, Walgreen Co.


WALGREEN HASTINGS CO.

DIRECTORS

Unless otherwise noted, the business address for each person listed below is c/o Walgreen Co., 108 Wilmot Road, Deerfield, Illinois 60015. To the knowledge of Walgreen Co., all directors listed below are United States citizens.

Kermit R. Crawford

Present Principal Occupation: President, Pharmacy, Health and Wellness, Walgreen Co.

Rick J. Hans

Present Principal Occupation: Divisional Vice President of Investor Relations and Finance, Walgreen Co.

Mark A. Wagner

Present Principal Occupation: President, Operations and Community Management, Walgreen Co.

OFFICERS

Unless otherwise noted, the business address for each person listed below is c/o Walgreen Co., 108 Wilmot Road, Deerfield, Illinois 60015. To the knowledge of Walgreen Co., all officers listed below are United States citizens.

Kermit R. Crawford, Vice President

Present Principal Occupation: President, Pharmacy, Health and Wellness, Walgreen Co.

Jason Dubinsky, Treasurer

Present Principal Occupation: Vice President, Finance and Treasurer, Walgreen Co.

Michael Felish, Assistant Treasurer

Present Principal Occupation: Director, Tax Counsel and Tax Compliance, Walgreen Co.

Joseph H. Greenberg, Assistant Secretary, Vice President

Present Principal Occupation: Divisional Vice President, Corporate, M&A and Securities Law, Walgreen Co.

Rick J. Hans, Vice President

Present Principal Occupation: Divisional Vice President of Investor Relations and Finance, Walgreen Co.

John A. Mann, Vice President

Present Principal Occupation: Divisional Vice President, Tax, Walgreen Co.

Dan Morrell, Assistant Treasurer

Present Principal Occupation: Assistant Treasurer, Walgreen Co.

Richard N. Steiner, Vice President

Present Principal Occupation: Director, Community and Real Estate Law: Eastern Region, Walgreen Co.

Mark A. Wagner, President

Present Principal Occupation: President, Operations and Community Management, Walgreen Co.


WALGREEN CO.

DIRECTORS

Unless otherwise noted, the business address for each person listed below is c/o Walgreen Co., 108 Wilmot Road, Deerfield, Illinois 60015. To the knowledge of Walgreen Co., all directors listed below are United States citizens, except for Janice M. Babiak, who is a citizen of the United States and the United Kingdom, Alan G. McNally, who is a citizen of Canada, Stefano Pessina, who is a citizen of Monaco, and Dominic Murphy, who is a citizen of the Republic of Ireland.

James A. Skinner

Present Principal Occupation: Retired Vice Chairman and CEO, McDonald’s Corp.

Greg D. Wasson

Present Principal Occupation: President and Chief Executive Officer, Walgreen Co.

Janice M. Babiak

Present Principal Occupation: Retired Managing Partner, Ernst & Young LLP

David J. Brailer, MD

Present Principal Occupation: Chairman, Health Evolution Partners

Steven A. Davis

Present Principal Occupation: Chairman and CEO, Bob Evans Farms, Inc.

William C. Foote

Present Principal Occupation: Retired Chairman of the Board and Chief Executive Officer, USG Corporation

Mark P. Frissora

Present Principal Occupation: Chairman and CEO, Hertz Global Holdings, Inc. and The Hertz Corporation

Ginger L. Graham

Present Principal Occupation: President and CEO, Two Trees Consulting

Alan G. McNally

Present Principal Occupation: Retired Chairman and Chief Executive Officer, Harris Financial Corporation

Dominic Murphy

Business address: Stirling Square, 7 Carlton Gardens, London SW1Y 5AD, United Kingdom

Present Principal Occupation: Individual Partner, Kohlberg Kravis Roberts & Co. Partners LLP.

Stefano Pessina

Present Principal Occupation: Executive Chairman, Alliance Boots

Nancy M. Schlichting

Present Principal Occupation: Chief Executive Officer, Henry Ford Health System

Alejandro Silva

Present Principal Occupation: Chairman and CEO, Evans Food Group, Inc.

EXECUTIVE OFFICERS

Unless otherwise noted, the business address for each person listed below is c/o Walgreen Co., 108 Wilmot Road, Deerfield, Illinois 60015. To the knowledge of Walgreen Co., all executive officers listed below are United States citizens, except for Alexander W. Gourlay, who is a citizen of the United Kingdom.


Gregory D. Wasson

Present Principal Occupation: President and Chief Executive Officer

Sona Chawla

Present Principal Occupation: President of Digital and Chief Marketing Officer

Kermit R. Crawford

Present Principal Occupation: President, Pharmacy, Health and Wellness

Alexander W. Gourlay

Present Principal Occupation: Executive Vice President, President of Customer Experience and Daily Living

Wade D. Miquelon

Present Principal Occupation: Executive Vice President, Chief Financial Officer and President, International

Mark A. Wagner

Present Principal Occupation: President, Operations and Community Management

Thomas J. Sabatino, Jr.

Present Principal Occupation: Executive Vice President, General Counsel and Corporate Secretary

Jeffrey Berkowitz

Present Principal Occupation: President, Walgreens Boots Alliance Development GmbH

Bradley M. Fluegel

Present Principal Occupation: Senior Vice President and Chief Strategy Officer

Mia M. Scholz

Present Principal Occupation: Senior Vice President, Corporate Financial Operations

Timothy J. Theriault

Present Principal Occupation: Senior Vice President and Chief Information, Innovation and Improvement Officer

Kathleen Wilson-Thompson

Present Principal Occupation: Senior Vice President and Chief Human Resources Officer

Robert G. Zimmerman

Present Principal Occupation: Senior Vice President, International and Global Chief Administration Officer

Theodore J. Heidloff

Present Principal Occupation: Divisional Vice President, Accounting and Controller


ALLIANCE BOOTS LUXEMBOURG S.À R.L.

MANAGERS (GÉRANTS)

Unless otherwise noted, the business address for each person listed below is 59, rue de Rollingergrund, L-2440 Luxembourg, Grand Duchy of Luxembourg. To the knowledge of Walgreen Co., all managers (gérants) listed below are Luxembourg citizens, except for Wolfgang Zettel and Stefan Lambert, each of whom is a citizen of the Federal Republic of Germany.

Wolfgang Zettel

Present Principal Occupation: Director, AVEGA S.à r.l.

Stefan Lambert

Present Principal Occupation: Director, AVEGA S.à r.l.

Simone Retter

Present Principal Occupation: Lawyer

Jean-Paul Goerens

Present Principal Occupation: Lawyer


ALLIANCE BOOTS HOLDINGS LIMITED

DIRECTORS

Unless otherwise noted, the business address for each person listed below is Sedley Place, 4th Floor, 361 Oxford Street, London W1C 2JL, United Kingdom.

Aidan G. Clare

Present Principal Occupation: Group Treasurer, Alliance Boots

Citizenship: Republic of Ireland

Martin C. Delve

Present Principal Occupation: Group Financial Controller, Alliance Boots

Citizenship: United Kingdom

Frank Standish

Present Principal Occupation: Group Corporate Secretary, Alliance Boots

Citizenship: Republic of Ireland

OFFICERS

Frank Standish is also the Company Secretary.

Other than the foregoing, Alliance Boots Holdings Limited has no other directors or executive officers.


AB ACQUISITIONS UK HOLDCO 7 LIMITED

DIRECTORS

Unless otherwise noted, the business address for each person listed below is Sedley Place, 4th Floor, 361 Oxford Street, London W1C 2JL, United Kingdom.

Aidan G. Clare

Present Principal Occupation: Group Treasurer, Alliance Boots

Citizenship: Republic of Ireland

Martin C. Delve

Present Principal Occupation: Group Financial Controller, Alliance Boots

Citizenship: United Kingdom

Frank Standish

Present Principal Occupation: Group Corporate Secretary, Alliance Boots

Citizenship: Republic of Ireland

OFFICERS

Frank Standish is also the Company Secretary.

Other than the foregoing, AB Acquisitions UK Holdco 7 Limited has no other directors or executive officers.


AB ACQUISITIONS LIMITED

DIRECTORS

Unless otherwise noted, the business address for each person listed below is Sedley Place, 4th Floor, 361 Oxford Street, London W1C 2JL, United Kingdom.

Aidan G. Clare

Present Principal Occupation: Group Treasurer, Alliance Boots

Citizenship: Republic of Ireland

Martin C. Delve

Present Principal Occupation: Group Financial Controller, Alliance Boots

Citizenship: United Kingdom

Frank Standish

Present Principal Occupation: Group Corporate Secretary, Alliance Boots

Citizenship: Republic of Ireland

OFFICERS

Frank Standish is also the Company Secretary.

Other than the foregoing, AB Acquisitions Limited has no other directors or executive officers.


ALLIANCE BOOTS INTERNATIONAL LIMITED

DIRECTORS

Unless otherwise noted, the business address for each person listed below is Sedley Place, 4th Floor, 361 Oxford Street, London W1C 2JL, United Kingdom.

Ornella Barra

Business Address: 24 Boulevard du Ténao, Monte Carlo, 98000 Monaco

Present Principal Occupation: Chief Executive, Wholesale and Brands, Alliance Boots

Citizenship: Monaco

George R. Fairweather

Present Principal Occupation: Group Finance Director, Alliance Boots

Citizenship: United Kingdom

Kenneth Murphy

Present Principal Occupation: Managing Director, Health & Beauty Division - International and Brands, Alliance Boots

Citizenship: United Kingdom

Marco Pagni

Present Principal Occupation: Group Legal Counsel & Chief Administrative Officer, Alliance Boots

Citizenship: United Kingdom

Stefano Pessina

Business Address: 24 Boulevard du Ténao, Monte Carlo, 98000 Monaco

Present Principal Occupation: Executive Chairman, Alliance Boots

Citizenship: Monaco

Simon Roberts

Present Principal Occupation: Managing Director, Health & Beauty Division - UK and Ireland, Alliance Boots

Citizenship: United Kingdom

OFFICERS

Frank Standish, Company Secretary

Business address: Sedley Place, 4th Floor, 361 Oxford Street, London W1C 2JL, United Kingdom

Present Principal Occupation: Group Corporate Secretary, Alliance Boots

Citizenship: Republic of Ireland

Other than the foregoing, Alliance Boots International Limited has no other directors or executive officers.


ALLIANCE BOOTS LIMITED

DIRECTORS

Unless otherwise noted, the business address for each person listed below is Sedley Place, 4th Floor, 361 Oxford Street, London W1C 2JL, United Kingdom.

Aidan G. Clare

Present Principal Occupation: Group Treasurer, Alliance Boots

Citizenship: Republic of Ireland

Martin C. Delve

Present Principal Occupation: Group Financial Controller, Alliance Boots

Citizenship: United Kingdom

George R. Fairweather

Present Principal Occupation: Group Finance Director, Alliance Boots

Citizenship: United Kingdom

Frank Standish

Present Principal Occupation: Group Corporate Secretary, Alliance Boots

Citizenship: Republic of Ireland

OFFICERS

Frank Standish is also the Company Secretary.

Other than the foregoing, Alliance Boots Limited has no directors or executive officers.


AB ACQUISITIONS UK TOPCO LIMITED

DIRECTORS

Unless otherwise noted, the business address for each person listed below is Sedley Place, 4th Floor, 361 Oxford Street, London W1C 2JL, United Kingdom.

Aidan G. Clare

Present Principal Occupation: Group Treasurer, Alliance Boots

Citizenship: Republic of Ireland

Martin C. Delve

Present Principal Occupation: Group Financial Controller, Alliance Boots

Citizenship: United Kingdom

Frank Standish

Present Principal Occupation: Group Corporate Secretary, Alliance Boots

Citizenship: Republic of Ireland

OFFICERS

Frank Standish is also the Company Secretary.

Other than the foregoing, AB Acquisitions UK Topco Limited has no other directors or executive officers.


AB ACQUISITIONS LUXCO 1 S.À R.L.

MANAGERS (GÉRANTS)

Unless otherwise noted, the business address for each person listed below is 59, rue de Rollingergrund, L-2440 Luxembourg, Grand Duchy of Luxembourg. To the knowledge of Walgreen Co., all managers (gérants) listed below are Luxembourg citizens, except for Wolfgang Zettel and Stefan Lambert, each of whom is a citizen of the Federal Republic of Germany.

Wolfgang Zettel

Present Principal Occupation: Director, AVEGA S.à r.l.

Stefan Lambert

Present Principal Occupation: Director, AVEGA S.à r.l.

Simone Retter

Present Principal Occupation: Lawyer

Jean-Paul Goerens

Present Principal Occupation: Lawyer


ALLIANCE BOOTS GMBH

DIRECTORS

Stefano Pessina

Business address: 24 Boulevard du Ténao, Monte Carlo, 98000 Monaco

Present Principal Occupation: Executive Chairman, Alliance Boots

Citizenship: Monaco

Ornella Barra

Business address: 24 Boulevard du Ténao, Monte Carlo, 98000 Monaco

Present Principal Occupation: Chief Executive, Wholesale and Brands, Alliance Boots

Citizenship: Monaco

George R. Fairweather

Business address: Sedley Place, 4th Floor, 361 Oxford Street, London W1C 2JL, United Kingdom

Present Principal Occupation: Group Finance Director, Alliance Boots

Citizenship: United Kingdom

Marco Pagni

Business address: Sedley Place, 4th Floor, 361 Oxford Street, London W1C 2JL, United Kingdom

Present Principal Occupation: Group Legal Counsel & Chief Administrative Officer, Alliance Boots

Citizenship: United Kingdom

Dominic Murphy

Business address: Stirling Square, 7 Carlton Gardens, London SW1Y 5AD, United Kingdom

Present Principal Occupation: Individual Partner, Kohlberg Kravis Roberts & Co. Partners LLP.

Citizenship: Republic of Ireland

Mattia Caprioli

Business address: Stirling Square, 7 Carlton Gardens, London SW1Y 5AD, United Kingdom

Present Principal Occupation: Individual Partner, Kohlberg Kravis Roberts & Co. Partners LLP

Citizenship: Republic of Italy

Sergio D’Angelo

Business address: Stirling Square, 7 Carlton Gardens, London SW1Y 5AD, United Kingdom

Present Principal Occupation: Individual Partner, Kohlberg Kravis Roberts & Co. Partners LLP.

Citizenship: Republic of Italy

Gregory D. Wasson

Business address: c/o Walgreen Co., 108 Wilmot Road, Deerfield, Illinois 60015, USA

Present Principal Occupation: President and Chief Executive Officer, Walgreen Co.

Citizenship: U.S.A.

Wade D. Miquelon

Business address: c/o Walgreen Co., 108 Wilmot Road, Deerfield, Illinois 60015, USA

Present Principal Occupation: Executive Vice President, Chief Financial Officer and President, International, Walgreen Co.

Citizenship: U.S.A

Thomas J. Sabatino, Jr.

Business address: c/o Walgreen Co., 108 Wilmot Road, Deerfield, Illinois 60015, USA

Present Principal Occupation: Executive Vice President, General Counsel and Corporate Secretary, Walgreen Co.

Citizenship: U.S.A


Robert G. Zimmerman

Business address: c/o Walgreen Co., 108 Wilmot Road, Deerfield, Illinois 60015, USA

Present Principal Occupation: Senior Vice President, International and Global Chief Administration Officer, Walgreen Co.

Citizenship: U.S.A.

Nick Land

Business address: c/o Alliance Boots GmbH, Untermattweg 8, 3027 Bern, Switzerland

Present Principal Occupation: Company Director

Citizenship: United Kingdom

Chris Britton

Business address: c/o Alliance Boots GmbH, Untermattweg 8, 3027 Bern, Switzerland

Present Principal Occupation: Manager, B&B Capital Partners

Citizenship: United Kingdom

Tony De Nunzio

Business address: c/o Alliance Boots GmbH, Untermattweg 8, 3027 Bern, Switzerland

Present Principal Occupation: Senior Adviser to Kohlberg Kravis Roberts & Co.

Citizenship: United Kingdom

Etienne Jornod

Business address: c/o Alliance Boots GmbH, Untermattweg 8, 3027 Bern, Switzerland

Present Principal Occupation: Executive Chairman, Galenica AG

Citizenship: Switzerland

OFFICERS

Frank Standish, Company Secretary

Business address: Sedley Place, 4th Floor, 361 Oxford Street, London W1C 2JL, United Kingdom

Present Principal Occupation: Group Corporate Secretary, Alliance Boots

Citizenship: Republic of Ireland

Other than the foregoing, Alliance Boots GmbH has no other directors or executive officers.


AB ACQUISITIONS HOLDINGS LTD

DIRECTORS

Stefano Pessina

Business address: 24 Boulevard du Ténao, Monte Carlo, 98000 Monaco

Present Principal Occupation: Executive Chairman, Alliance Boots

Citizenship: Monaco

Ornella Barra

Business address: 24 Boulevard du Ténao, Monte Carlo, 98000 Monaco

Present Principal Occupation: Chief Executive, Wholesale and Brands, Alliance Boots

Citizenship: Monaco

Mattia Caprioli

Business address: Stirling Square, 7 Carlton Gardens, London SW1Y 5AD, United Kingdom

Present Principal Occupation: Individual Partner, Kohlberg Kravis Roberts & Co. Partners LLP.

Citizenship: Republic of Italy

Juan X. Chincotta

Business address: c/o AB Acquisitions Holdings Limited, 57/63 Line Wall Road, Gibraltar

Present Principal Occupation: Lawyer

Citizenship: United Kingdom

Dominic Murphy

Business address: Stirling Square, 7 Carlton Gardens, London SW1Y 5AD, United Kingdom

Present Principal Occupation: Individual Partner, Kohlberg Kravis Roberts & Co. Partners LLP.

Citizenship: Republic of Ireland

Vikram Nagrani

Business address: c/o AB Acquisitions Holdings Limited, 57/63 Line Wall Road, Gibraltar

Present Principal Occupation: Lawyer

Citizenship: United Kingdom

Marco Pagni

Business address: Sedley Place, 4th Floor, 361 Oxford Street, London W1C 2JL, United Kingdom

Present Principal Occupation: Group Legal Counsel & Chief Administrative Officer, Alliance Boots

Citizenship: United Kingdom

Wolfgang Zettel

Business address: 59, rue de Rollingergrund, L-2440 Luxembourg, Grand Duchy of Luxembourg

Present Principal Occupation: Director, AVEGA S.à r.l.

Citizenship: Federal Republic of Germany

Other than the foregoing, AB Acquisitions Holdings Limited has no other directors or executive officers.


ALLIANCE SANTÉ PARTICIPATIONS S.A.

DIRECTORS (ADMINISTRATEURS)

Stefano Pessina

Business address: 24 Boulevard du Ténao, Monte Carlo, 98000 Monaco

Present Principal Occupation: Executive Chairman, Alliance Boots

Citizenship: Monaco

Ornella Barra

Business address: 24 Boulevard du Ténao, Monte Carlo, 98000 Monaco

Present Principal Occupation: Chief Executive, Wholesale and Brands, Alliance Boots

Citizenship: Monaco

Simone Retter

Business address: 14, avenue du X Septembre, L- 2550 Luxembourg, Grand Duchy of Luxembourg

Present Principal Occupation: Lawyer

Citizenship: Luxembourg

Jean-Paul Goerens

Business address: 14, avenue du X Septembre, L- 2550 Luxembourg, Grand Duchy of Luxembourg

Present Principal Occupation: Lawyer

Citizenship: Luxembourg

Other than the foregoing, Alliance Santé Participations S.A. has no other directors or executive officers.


NEWCIP S.A.

DIRECTORS (ADMINISTRATEURS)

Stefano Pessina

Business address: 24 Boulevard du Ténao, Monte Carlo, 98000 Monaco

Present Principal Occupation: Executive Chairman, Alliance Boots

Citizenship: Monaco

Ornella Barra

Business address: 24 Boulevard du Ténao, Monte Carlo, 98000 Monaco

Present Principal Occupation: Chief Executive, Wholesale and Brands, Alliance Boots

Citizenship: Monaco

Simone Retter

Business address: 14, avenue du X Septembre, L- 2550 Luxembourg, Grand Duchy of Luxembourg

Present Principal Occupation: Lawyer

Citizenship: Luxembourg

Jean-Paul Goerens

Business address: 14, avenue du X Septembre, L- 2550 Luxembourg, Grand Duchy of Luxembourg

Present Principal Occupation: Lawyer

Citizenship: Luxembourg

Other than the foregoing, NEWCIP S.A. has no other directors or executive officers.


KKR SPRINT (2006) LIMITED

DIRECTORS

William J. Janetschek

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of Kohlberg Kravis Roberts & Co. L.P. (“KKR”) and/or one or more of its affiliates

Citizenship: United States


KKR 2006 LIMITED

DIRECTORS

Henry R. Kravis

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

George R. Roberts

Business address: 2800 Sand Hill Road, Suite 200, Menlo Park, CA 94025

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

William J. Janetschek

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

David J. Sorkin

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

OFFICERS

Todd A. Fisher

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

William J. Janetschek

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

David J. Sorkin

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

Scott C. Nuttall

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

Alexander Navab, Jr.

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

Michael W. Michelson

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States


Johannes P. Huth

Business address: Stirling Square, 7 Carlton Gardens, London SW1Y 5AD, United Kingdom

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: Federal Republic of Germany

Joseph Y. Bae

Business address: Level 56, Cheung Kong Center, 2 Queen’s Road Central, Hong Kong

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

Marc S. Lipschultz

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

Michael M. Calbert

Business address: 2800 Sand Hill Road, Suite 200, Menlo Park, CA 94025

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States


KKR SPRINT (EUROPEAN II) LIMITED

DIRECTORS

William J. Janetschek

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States


KKR EUROPE II LIMITED

DIRECTORS

Henry R. Kravis

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

George R. Roberts

Business address: 2800 Sand Hill Road, Suite 200, Menlo Park, CA 94025

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

William J. Janetschek

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

David J. Sorkin

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

OFFICERS

William J. Janetschek

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

David J. Sorkin

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

Suzanne Donohoe

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States


KKR SPRINT (KPE) LIMITED

DIRECTORS

William J. Janetschek

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States


KKR PEI GP LIMITED

DIRECTORS

Todd A. Fisher

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

William J. Janetschek

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

David J. Sorkin

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

OFFICERS

Henry R. Kravis

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

George R. Roberts

Business address: 2800 Sand Hill Road, Suite 200, Menlo Park, CA 94025

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

William J. Janetschek

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

David J. Sorkin

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States


KKR FUND HOLDINGS GP LIMITED

DIRECTORS

Todd A. Fisher

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

William J. Janetschek

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

David J. Sorkin

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

OFFICERS

Henry R. Kravis

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

George R. Roberts

Business address: 2800 Sand Hill Road, Suite 200, Menlo Park, CA 94025

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

William J. Janetschek

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

David J. Sorkin

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States


KKR GROUP LIMITED

DIRECTORS

Todd A. Fisher

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

William J. Janetschek

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

David J. Sorkin

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

OFFICERS

Henry R. Kravis

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

George R. Roberts

Business address: 2800 Sand Hill Road, Suite 200, Menlo Park, CA 94025

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

William J. Janetschek

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

David J. Sorkin

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States


KKR MANAGEMENT LLC

OFFICERS

Henry R. Kravis

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

George R. Roberts

Business address: c/o Kohlberg Kravis Roberts & Co. L.P., 2800 Sand Hill Road, Suite 200, Menlo Park, CA 94025

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

Todd A. Fisher

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

William J. Janetschek

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States

David J. Sorkin

Business address: 9 West 57th Street, Suite 4200, New York, New York 10019

Present Principal Occupation: Executive of KKR and/or one or more of its affiliates

Citizenship: United States


Schedule I

Transactions in Shares of Common Stock by Reporting Persons in the Past 60 Days

 

Reporting Person

   Date    Transaction    Number of Shares
of Common Stock*
     Price Per Share**  

WAB Holdings

   4/9/14    Purchase      60,000       $ 65.1870   

WAB Holdings

   4/7/14    Purchase      215,000       $ 63.9361   

WAB Holdings

   4/4/14    Purchase      200,000       $ 65.3107   

WAB Holdings

   4/3/14    Purchase      160,000       $ 65.6395   

WAB Holdings

   4/2/14    Purchase      175,000       $ 65.8594   

WAB Holdings

   4/1/14    Purchase      150,000       $ 65.6451   

 

* The number of securities reported represents an aggregate number of shares purchased in multiple open market transactions over a range of purchase prices.
** The price reported represents the weighted average price (excluding brokerage commissions). WAB Holdings undertakes to provide the staff of the SEC, the Issuer or a stockholder of the Issuer, upon request, the number of shares purchased by such Reporting Person at each separate price within the range.


EXHIBIT INDEX

 

Exhibits

  

Description of Exhibits

99.1*    Joint Filing Agreement, dated as of April 14, 2014, by and among, WAB Holdings LLC, Walgreens Pharmacy Strategies, LLC, Bond Drug Company of Illinois, LLC, Walgreen Eastern Co., Inc., Walgreen Arizona Drug Co., Walgreen Hastings Co., Walgreen Co., Alliance Boots Luxembourg S.à r.l., Alliance Boots Holdings Limited, AB Acquisitions UK Holdco 7 Limited, AB Acquisitions Limited, Alliance Boots International Limited, Alliance Boots Limited, AB Acquisitions UK Topco Limited, AB Acquisitions Luxco 1 S.à r.l., Alliance Boots GmbH; AB Acquisitions Holdings Limited, Alliance Santé Participations S.A., NEWCIP S.A., Stefano Pessina, KKR Sprint 2006, KKR 2006 Fund Overseas LP, KKR Associates 2006 Overseas LP, KKR 2006 Limited, KKR Sprint European II, KKR European Fund II, KKR Associates Europe II, KKR Europe II Limited, KKR Sprint KPE, KKR PEI Investments, KKR PEI Associates, KKR PEI GP, KKR Fund Holdings, KKR Fund Holdings GP, KKR Group Holdings, KKR Group, KKR & Co., KKR Management, Henry R. Kravis and George R. Roberts.
99.2    Framework Agreement, dated as of March 18, 2013, by and among the Issuer, Walgreen Co. and Alliance Boots GmbH (filed as 10.1 to the Issuer’s Current Report on Form 8-K, filed on March 20, 2013 and incorporated by reference herein)
99.3    Warrant issued on March 18, 2013 (filed as 4.1 to the Issuer’s Current Report on Form 8-K, filed on March 20, 2013 and incorporated by reference herein)
99.4    Warrant issued on March 18, 2013 (filed as 4.2 to the Issuer’s Current Report on Form 8-K, filed on March 20, 2013 and incorporated by reference herein)
99.5    Warrant issued on March 18, 2013 (filed as 4.3 to the Issuer’s Current Report on Form 8-K, filed on March 20, 2013 and incorporated by reference herein)
99.6    Warrant issued on March 18, 2013 (filed as 4.4 to the Issuer’s Current Report on Form 8-K, filed on March 20, 2013 and incorporated by reference herein)
99.7    Shareholders Agreement, dated as of March 18, 2013, by and among the Issuer, Walgreen Co. and Alliance Boots GmbH (filed as 10.2 to the Issuer’s Current Report on Form 8-K, filed on March 20, 2013 and incorporated by reference herein)
99.8    Transaction Rights Agreement, dated as of March 18, 2013, by and among the Walgreen Co., Walgreens Pharmacy Strategies, LLC, Alliance Boots GmbH, Alliance Boots Luxembourg S.à r.l., and WAB Holdings LLC (filed as 10.3 to Walgreen Co.’s Current Report on Form 8-K, filed on March 20, 2013 and incorporated by reference herein)
99.9*    Limited Liability Company Agreement of WAB Holdings LLC, dated as of March 18, 2013, by and between Walgreens Pharmacy Strategies, LLC and Alliance Boots Luxembourg S.à r.l.
99.10*    Powers of Attorney

 

* Filed herewith.
EX-99.1 2 d710833dex991.htm EX-99.1 EX-99.1

Exhibit 99.1

JOINT FILING AGREEMENT

JOINT FILING AGREEMENT, dated as of April 14, 2014, by and among (i) WAB Holdings LLC, a Delaware limited liability company (“WAB Holdings”); (ii) Walgreens Pharmacy Strategies, LLC, an Illinois limited liability company (“WPS”); (iii) Bond Drug Company of Illinois, LLC, an Illinois limited liability company (“Bond Drug”); (iv) Walgreen Eastern Co., Inc., a New York corporation (“WEC”); (v) Walgreen Arizona Drug Co., an Arizona corporation (“WADC”); (vi) Walgreen Hastings Co., a Nebraska corporation (“WHC”); (vii) Walgreen Co., an Illinois corporation (“Walgreen”); (viii) Alliance Boots Luxembourg S.à r.l, a Luxembourg société à responsabilité limitée (limited liability company) (“AB Luxembourg”); (ix) Alliance Boots Holdings Limited, a private limited liability company organized under the laws of England and Wales (“AB Holdings”); (x) AB Acquisitions UK Holdco 7 Limited, a private limited liability company organized under the laws of England and Wales (“AB UK Holdco 7”); (xi) AB Acquisitions Limited, a private limited liability company organized under the laws of England and Wales (“AB Acquisitions”); (xii) Alliance Boots International Limited, a private limited liability company organized under the laws of England and Wales (“AB International”); (xiii) Alliance Boots Limited, a private limited liability company organized under the laws of England and Wales (“AB Limited”); (xiv) AB Acquisitions UK Topco Limited, a private limited liability company organized under the laws of England and Wales (“AB UK Topco”); (xv) AB Acquisitions Luxco 1 S.à r.l., a Luxembourg société à responsabilité limitée (limited liability company) (“AB Luxco 1”); (xvi) Alliance Boots GmbH, a Swiss Gesellschaft mit beschränkter Haftung (limited liability company) (“Alliance Boots”); (xvii) AB Acquisitions Holdings Limited, a private company limited by shares organized under the laws of Gibraltar (“AB Gibco”); (xviii) Alliance Santé Participations S.A., a Luxembourg société anonyme (corporation) (“ASP”); (xix) NEWCIP S.A., a Luxembourg société anonyme (corporation) (“NEWCIP”); (xx) Stefano Pessina, a Monaco citizen (“Pessina”); (xxi) KKR Sprint (2006) Limited, a Cayman Islands exempted limited company (“KKR Sprint 2006”); (xxii) KKR 2006 Fund (Overseas), Limited Partnership, a Cayman Islands exempted limited partnership (“KKR 2006 Fund Overseas LP”); (xxiii) KKR Associates 2006 (Overseas), Limited Partnership, a Cayman Islands exempted limited partnership (“KKR Associates 2006 Overseas LP”); (xxiv) KKR 2006 Limited, a Cayman Islands exempted limited company; (xxv) KKR Sprint (European II) Limited, a Cayman Islands exempted limited company (“KKR Sprint European II”); (xxvi) KKR European Fund II, Limited Partnership, a Cayman Islands exempted limited partnership (“KKR European Fund II”); (xxvii) KKR Associates Europe II, Limited Partnership, a Cayman Islands exempted limited partnership (“KKR Associates Europe II”); (xxviii) KKR Europe II Limited, a Cayman Islands exempted limited company; (xxix) KKR Sprint (KPE) Limited, a Cayman Islands exempted limited company (“KKR Sprint KPE”); (xxx) KKR PEI Investments, L.P., a Guernsey limited partnership (“KKR PEI Investments”); (xxxi) KKR PEI Associates, L.P., a Guernsey limited partnership (“KKR PEI Associates”); (xxxii) KKR PEI GP Limited, a Cayman Islands exempted limited company (“KKR PEI GP”); (xxxiii) KKR Fund Holdings LP, a Cayman Islands exempted limited partnership (“KKR Fund Holdings”); (xxxiv) KKR Fund Holdings GP Limited, a Cayman Islands exempted limited company (“KKR Fund Holdings GP”); (xxxv) KKR Group Holdings L.P., a Cayman Islands exempted limited partnership (“KKR Group Holdings”); (xxxvi) KKR Group Limited, a Cayman Islands exempted limited company (“KKR Group”); (xxxvii) KKR & Co. L.P., a Delaware limited partnership (“KKR & Co.”); (xxxviii) KKR Management LLC, a Delaware limited liability company (“KKR Management”); (xxxix) Henry R. Kravis, a United States citizen; and (xl) George R. Roberts, a United States citizen. WAB Holdings, WPS, Bond Drug, WEC, WADC, WHC, Walgreen, AB Luxembourg, AB Holdings, AB UK Holdco 7, AB Acquisitions, AB International, AB Limited, AB UK Topco, AB Luxco 1, Alliance Boots, AB Gibco, ASP, NEWCIP, Pessina, KKR Sprint 2006, KKR 2006 Fund Overseas LP, KKR Associates 2006 Overseas LP, KKR 2006 Limited, KKR Sprint European II, KKR European Fund II, KKR Associates Europe II, KKR Europe II Limited, KKR Sprint KPE, KKR PEI Investments, KKR PEI Associates, KKR PEI GP, KKR Fund Holdings, KKR Fund Holdings GP, KKR Group Holdings, KKR Group, KKR & Co., KKR Management, Mr. Kravis and Mr. Roberts are collectively referred to as the “Reporting Persons.”


WHEREAS, each of the Reporting Persons beneficially owns (or may be deemed to beneficially own, as applicable) shares of common stock, par value $0.01 per share (“Common Stock”), of AmerisourceBergen Corporation, a Delaware corporation (the “Issuer”); and

WHEREAS, the Reporting Persons may be deemed to constitute a “group” with respect to the beneficial ownership of the Common Stock for purposes of Rule 13d-1 and Schedule 13D promulgated by the Securities and Exchange Commission.

NOW, THEREFORE, the parties hereto agree as follows:

1. The Reporting Persons (collectively, the “Reporting Group”) shall prepare a single statement containing the information required by Schedule 13D with respect to their respective interests in the Common Stock, including any amendments thereto (the “Reporting Group Schedule 13D”), and the Reporting Group Schedule 13D shall be filed on behalf of each of them.

2. Each member of the Reporting Group shall be responsible for the timely filing of the Reporting Group Schedule 13D and any necessary amendments thereto, and for the completeness and accuracy of the information concerning him or it contained therein, but shall not be responsible for the completeness and accuracy of the information concerning any other party contained therein, except to the extent that he or it knows or has reason to believe that such information is inaccurate.

3. This Agreement shall continue unless terminated by any party hereto.

4. Thomas J. Sabatino, Jr., Marco Pagni and David J. Sorkin shall be designated as the persons authorized to receive notices and communications with respect to the Reporting Group Schedule 13D and any amendments thereto.

5. This Agreement may be executed in counterparts, each of which taken together shall constitute one and the same instrument.


IN WITNESS WHEREOF, the undersigned have executed this Agreement as of the date first above written.

 

WAB HOLDINGS LLC

/s/ Dan Morrell

Name:   Dan Morrell
Title:   Manager
WALGREENS PHARMACY STRATEGIES, LLC

/s/ Rick J. Hans

Name:   Rick J. Hans
Title:   Vice President and Treasurer
BOND DRUG COMPANY OF ILLINIOIS, LLC

/s/ Rick J. Hans

Name:   Rick J. Hans
Title:   Vice President and Treasurer
WALGREEN EASTERN CO., INC.

/s/ Rick J. Hans

Name:   Rick J. Hans
Title:   Vice President and Treasurer
WALGREEN ARIZONA DRUG CO.

/s/ Rick J. Hans

Name:   Rick J. Hans
Title:   Vice President
WALGREEN HASTINGS CO.

/s/ Rick J. Hans

Name:   Rick J. Hans
Title:   Vice President
WALGREEN CO.

/s/ Thomas J. Sabatino, Jr.

Name:   Thomas J. Sabatino, Jr.
Title:   Executive Vice President, General Counsel and Corporate Secretary


ALLIANCE BOOTS LUXEMBOURG

S.À R.L.

/s/ Wolfgang Zetter

Name:   Wolfgang Zetter
Title:   A Gérant (A Manager)

/s/ Jean-Paul Goerens

Name:   Jean-Paul Goerens
Title:   B Gérant (B Manager)
ALLIANCE BOOTS HOLDINGS LIMITED

/s/ Frank Standish

Name:   Frank Standish
Title:   Director

/s/ Martin Delve

Name:   Martin Delve
Title:   Director
AB ACQUISITIONS UK HOLDCO 7 LIMITED

/s/ Frank Standish

Name:   Frank Standish
Title:   Director

/s/ Martin Delve

Name:   Martin Delve
Title:   Director


AB ACQUISITIONS LIMITED

/s/ Frank Standish

Name:   Frank Standish
Title:   Director

/s/ Martin Delve

Name:   Martin Delve
Title:   Director
ALLIANCE BOOTS INTERNATIONAL LIMITED

/s/ Stefano Pessina

Name:   Stefano Pessina
Title:   Director

/s/ Marco Pagni

Name:   Marco Pagni
Title:   Director
ALLIANCE BOOTS LIMITED

/s/ Frank Standish

Name:   Frank Standish
Title:   Director

/s/ Martin Delve

Name:   Martin Delve
Title:   Director


AB ACQUISITIONS UK TOPCO LIMITED

/s/ Frank Standish

Name:   Frank Standish
Title:   Director

/s/ Martin Delve

Name:   Martin Delve
Title:   Director
AB ACQUISITIONS LUXCO 1 S.À R.L.

/s/ Wolfgang Zetter

Name:   Wolfgang Zetter
Title:   A Gérant (A Manager)

/s/ Jean-Paul Goerens

Name:   Jean-Paul Goerens
Title:   B Gérant (B Manager)
ALLIANCE BOOTS GMBH

/s/ Stefano Pessina

Name:   Stefano Pessina
Title:   Director

/s/ Marco Pagni

Name:   Marco Pagni
Title:   Director
AB ACQUISITIONS HOLDINGS LIMITED

/s/ Stefano Pessina

Name:   Stefano Pessina
Title:   Director

/s/ Marco Pagni

Name:   Marco Pagni
Title:   Director


ALLIANCE SANTÉ PARTICIPATIONS S.A.

/s/ Stefano Pessina

Name:   Stefano Pessina
Title:   Administrateur (Director)

/s/ Jean-Paul Goerens

Name:   Jean-Paul Goerens
Title:   Administrateur (Director)
NEWCIP S.A.

/s/ Stefano Pessina

Name:   Stefano Pessina
Title:   Administrateur (Director)

/s/ Jean-Paul Goerens

Name:   Jean-Paul Goerens
Title:   Administrateur (Director)

/s/ Stefano Pessina

STEFANO PESSINA


KKR SPRINT (2006) LIMITED
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR 2006 FUND (OVERSEAS), LIMITED PARTNERSHIP
By:   KKR Associates 2006 (Overseas), Limited Partnership, its general partner
By:   KKR 2006 Limited, its general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR ASSOCIATES 2006 (OVERSEAS), LIMITED PARTNERSHIP
By:   KKR 2006 Limited, its general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR 2006 LIMITED
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR SPRINT (EUROPEAN II) LIMITED
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR EUROPEAN FUND II, LIMITED PARTNERSHIP
By:   KKR Associates Europe II, Limited Partnership, its general partner
By:   KKR Europe II Limited, its general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director


KKR ASSOCIATES EUROPE II, LIMITED PARTNERSHIP
By:   KKR Europe II Limited, its general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR EUROPE II LIMITED
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR SPRINT (KPE) LIMITED
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR PEI INVESTMENTS, L.P.
By:   KKR PEI Associates, L.P., its general partner
By:   KKR PEI GP Limited, its general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR PEI ASSOCIATES, L.P.
By:   KKR PEI GP Limited, its general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR PEI GP LIMITED
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director


KKR FUND HOLDINGS L.P.
By:   KKR Fund Holdings GP Limited, a general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR FUND HOLDINGS GP LIMITED
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR GROUP HOLDINGS L.P.
By:   KKR Group Limited, its general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR GROUP LIMITED
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Director
KKR & CO. L.P.
By:   KKR Management LLC, its general partner
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Chief Financial Officer
KKR MANAGEMENT LLC
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact for William J. Janetscheck, Chief Financial Officer
HENRY R. KRAVIS
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact


GEORGE R. ROBERTS
By:  

/s/ Richard J. Kreider

Name:   Richard J. Kreider
Title:   Attorney-in-fact
EX-99.9 3 d710833dex999.htm EX-99.9 EX-99.9

Exhibit 99.9

LIMITED LIABILITY COMPANY AGREEMENT

OF

WAB HOLDINGS LLC


LIMITED LIABILITY COMPANY AGREEMENT

OF

WAB HOLDINGS LLC

Walgreens Pharmacy Strategies, LLC, an Illinois limited liability company (the “Walgreens Party”), and Alliance Boots Luxembourg S.à.r.l., a private limited liability company (société à responsabilité limitée) incorporated under the laws of the Grand Duchy of Luxembourg (the “AB Party”), are executing this LIMITED LIABILITY COMPANY AGREEMENT (as amended from time to time, this “Agreement”) of WAB Holdings LLC, a Delaware limited liability company (the “Company”), dated as of March 18, 2013 (the “Effective Date”).

RECITALS

WHEREAS, on March 15, 2013, the Company was formed as a limited liability company under the laws of the State of Delaware by filing a Certificate of Formation for the Company with the Secretary of State of Delaware (the “Certificate”) pursuant to the provisions of the Delaware Limited Liability Company Act (as amended from time to time, the “Act”);

WHEREAS, pursuant to that certain Transaction Rights Agreement, to be entered into immediately following the execution hereof, by and among the Company, Walgreen Co., an Illinois corporation and (directly or indirectly) the wholly owning parent company of the Walgreens Party (“Walgreens”), the Walgreens Party, the AB Party and Alliance Boots GmbH, a private limited liability company incorporated under the laws of Switzerland and (directly or indirectly) the wholly owning parent company of the AB Party (“AB”) (the “TRA”), upon the occurrence of certain events as specified in the TRA, the Company shall acquire from (a) Walgreens and/or other Walgreens Investors, in exchange for a payment by the Company to Walgreens and/or other Walgreens Investors of the amount determined pursuant to the terms of the TRA (the “Walgreens Warrant Purchase Price”) and (b) AB and/or other AB Investors, in exchange for payment by the Company to AB and/or other AB Investors of an amount equal to the Walgreens Warrant Purchase Price (the “AB Warrant Purchase Price” and, together with the Walgreens Warrant Purchase Price, collectively, the “Warrant Purchase Price”), the Warrants (the “Warrants Transfer”); and

WHEREAS, from time to time after the issuance of Class A Units in accordance with the terms of this Agreement, the TRA and the Transaction Documents, the Company may acquire, hold, exercise, vote, Transfer and/or take other actions in respect of Equity Securities (which term, for all purposes of this Agreement shall include the Warrants) of AmerisourceBergen Corporation, a Delaware corporation (“ABC”), and/or Derivative Instruments (which term, for all purposes of this Agreement shall exclude the Warrants), including without limitation effecting the Warrants Transfer (collectively, the “JV Activities”).


NOW, THEREFORE, the Members, acting pursuant to the Act, in consideration of the mutual promises and agreements made in this Agreement and intending to be legally bound, hereby agree as follows:

ARTICLE I

DEFINITIONS

1.1 Definitions. Capitalized terms used in this Agreement (including Exhibits and Schedules hereto) but not defined in the body hereof shall have the meanings (a) ascribed to them in Exhibit A or (b) ascribed to them in the TRA, as applicable.

ARTICLE II

ORGANIZATION

2.1 Formation and Admission. The formation of the Company as of March 15, 2013 as a limited liability company pursuant to the provisions of the Act is hereby confirmed. Upon the filing of the Certificate, Octavian S. Timaru’s powers as an “authorized person” with respect to the Company shall have ceased, and each of the Walgreens Party and the AB Party shall have been, and hereby are, admitted as Members of the Company, the Walgreens Party being hereby issued ten (10) Class W Units and the AB Party being hereby issued ten (10) Class F Units. The rights, duties, and liabilities of the Members shall be as provided in the Act, except as otherwise provided herein. The Members shall be deemed to have notice of, and be bound by, the terms and conditions set forth in this Agreement. To the extent that the rights or obligations of any Member are different by reason of any provision of this Agreement than they would be in the absence of such provision, this Agreement shall, to the extent permitted by the Act, control.

2.2 Name. The Company shall conduct its activities under the name WAB Holdings LLC. The Board may change the name of the Company from time to time.

2.3 Term. The term of the Company commenced on the date of filing of the Certificate in accordance with the Act and shall continue in perpetuity; provided, that the Company may be dissolved, wound up and terminated in accordance with Article X.

2.4 Purpose; Powers. The character of the business of the Company is to conduct the JV Activities and such other activities as are ancillary or incidental thereto, including without limitation effecting the transactions expressly contemplated by this Agreement, the TRA or as otherwise approved by the Board. The Company shall have the power and authority to take such actions and engage in such activities necessary, appropriate, advisable, ancillary or incidental to accomplish the foregoing purpose.

2.5 Place of Business. The Company’s principal office and place of business shall be located at such place or places within or outside the State of Delaware as the Board may from time to time designate.

2.6 Registered Agent and Office. The Company’s registered agent and office in the State of Delaware shall be the office of the initial registered agent named in the Certificate, or such other registered agent and/or registered office as the Board may determine.

2.7 Foreign Qualification. Each Person designated by the Board, as an authorized person within the meaning of Section 18-204(a) of the Act, shall have the power and authority to

 

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execute, file and publish any certificates, notices, statements or other documents (and any amendments and/or restatements thereof) necessary to permit the Company to conduct business as a limited liability company in each jurisdiction where the Company elects to do business. At the request of the Board, each Member shall execute, acknowledge, swear to and deliver all certificates and other instruments conforming with this Agreement that are necessary or appropriate to qualify, continue and/or terminate the Company as a foreign entity in all such jurisdictions in which the Company may conduct business; provided, that no Member shall be required to file any general consent to service of process or to qualify as a foreign corporation, limited liability company, partnership or other entity in any jurisdiction in which it is not already so qualified.

2.8 Title to Assets. Title to assets of the Company shall be in the name of the Company. The Members shall not have any interest in any specific assets of the Company. The Membership Interest of each Member is personal property.

2.9 No State-Law Partnership. The Members intend that the Company shall not be a partnership (including a limited partnership) or joint venture, and that no Member, director or officer shall be a partner or joint venturer of any other Member, director or officer, for any purposes and this Agreement shall not be construed to the contrary.

ARTICLE III

MEMBERS; MEMBERSHIP INTERESTS

3.1 Members. The names and addresses of the Members, the number and type of Membership Units held by each Member and the capital contribution, if any, of each Member, in each case effective immediately following the effectiveness of this Agreement, are set forth on Schedule I hereto. The Board shall update Schedule I and ensure that it accurately reflects the information to be provided for therein. Any reference in this Agreement to Schedule I shall be deemed to be a reference to Schedule I as amended and in effect from time to time.

3.2 Membership Interests. The Membership Interests of the Members shall be represented solely by issued and outstanding Membership Units, which may be divided only into the classes as set forth below in this Section 3.2. Each such class of Membership Units shall have the privileges, preferences, duties, liabilities, obligations and rights set forth in this Agreement with respect to such class.

(a) The Company is authorized to issue only the following Membership Units:

(i) up to ten (10) Class W Membership Units (the “Class W Units”), all of which are issued and outstanding as of the Effective Date;

(ii) up to ten (10) Class F Membership Units (the “Class F Units”), all of which are issued and outstanding as of the Effective Date; and

(iii) up to ten (10) Class A Membership Units (the “Class A Units”), none of which are issued and outstanding as of the Effective Date.

 

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(b) For the avoidance of doubt, the Company shall not issue any Membership Units, of any type, class or series other than as specified above in Section 3.2(a).

(c) Notwithstanding anything to the contrary contained herein, promptly upon the earlier of (i) the determination of the Board in accordance with the terms of this Agreement and (ii) the occurrence of a JV Option Exercise Event, the Company shall issue to the Walgreens Party or a Walgreens Permitted Transferees (as designated by the Walgreens Party), in exchange for $1.00, in the aggregate, all ten (10) Class A Units authorized under this Section 3.2.

3.3 Repurchases; Redemption. The Company shall have no authority to repurchase and/or redeem any Membership Units, except as approved by the Board. For the avoidance of doubt, Class F Units are subject to cancellation upon the occurrence of any Class F Cancellation Event or Cancellation and Payment Event.

3.4 Certificates. Unless and until the Board shall determine otherwise, the Membership Interests shall be uncertificated and recorded in the books and records of the Company (including Schedule I).

3.5 Legends.

(a) To the extent that the Board determines that any Membership Interests shall be certificated, such certificates shall bear legends in accordance with the following terms

THE SECURITIES REPRESENTED BY THIS CERTIFICATE HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE OR FOREIGN SECURITIES OR BLUE SKY LAWS. THESE SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR AN EXEMPTION THEREFROM UNDER SAID ACT OR LAWS. THE SECURITIES REPRESENTED BY THIS CERTIFICATE ARE ALSO SUBJECT TO, AMONG OTHER THINGS, THE LIMITED LIABILITY COMPANY AGREEMENT OF WAB HOLDINGS LLC, AS AMENDED FROM TIME TO TIME, WHICH CONTAINS, AMONG OTHER THINGS, RESTRICTIONS ON TRANSFER. A COPY OF SUCH AGREEMENT SHALL BE FURNISHED WITHOUT CHARGE BY WAB HOLDINGS LLC TO THE HOLDER HEREOF UPON WRITTEN REQUEST.

(b) In addition to the legends required by clause (a), each Member agrees that each certificate representing a Membership Unit heretofore or hereafter issued by the Company shall also bear such other legends as may be required by law or determined by the Board.

3.6 Transfers of Membership Units. Subject to Section 10.3, no Member may Transfer all or any portion of such Member’s Membership Units, except:

(a) in the case of Class W Units, to Walgreens and/or any (direct or indirect) wholly owned subsidiary of Walgreens (“Walgreens Permitted Transferees”);

 

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(b) in the case of Class F Units, to AB and/or any (direct or indirect) wholly owned subsidiary of AB; and

(c) in the case of Class A Units, to Walgreens or any Walgreens Permitted Transferee, if such Transfer is of all ten (10) Class A Units authorized under Section 3.2.

Any Transfer or attempted Transfer in breach of this Agreement shall be void ab initio and of no effect. In connection with any attempted Transfer in breach of this Agreement, the Company may hold and refuse to Transfer any Membership Units, in addition to and without prejudice to any and all other rights or remedies which may be available to it or to the Members. Each Member agrees that the restrictions contained in this Agreement are fair and reasonable and in the best interests of the Company and the Members.

3.7 Admission of Additional or Replacement Members. Subject to Sections 3.2 and 3.6, as a condition to the Company’s obligations to effect a Transfer by any Member of Membership Units on the books and records of the Company to any Person not already a Member of the Company, the transferee shall be required to become a party to this Agreement by executing an Addendum Agreement substantially in the form attached hereto as Exhibit B (an “Addendum Agreement”). Except as otherwise specified herein, no Person shall be admitted as a Member without the prior consent of the Board.

3.8 Cessation of Membership Interest. A Member shall automatically cease to be a Member upon Transfer of all of such Member’s Membership Interest in accordance with this Agreement.

3.9 Voting Rights. Except as otherwise expressly provided in this Agreement or required by applicable law, the Members (including Membership Interests and Membership Units) shall have no voting rights or rights of approval, veto or consent or similar rights over any actions of the Company or the Board.

3.10 Other Transfer Restrictions.

(a) In addition to any other restrictions on Transfers herein contained, in no event may any Transfer of any Membership Units by any Member be made if such Transfer would:

(i) require the registration of such Transferred Membership Units pursuant to applicable foreign, federal, provincial or state securities Laws;

(ii) subject the Company, the Board, its partners, stockholders or members or any of their affiliates to regulation under the Investment Company Act of 1940, as amended, or Title I of the Employee Retirement Income Security Act of 1974, as amended;

(iii) result in a violation of applicable law; or

(iv) be to any Person that lacks the legal right, power or capacity to own such Membership Units.

 

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ARTICLE IV

CAPITAL CONTRIBUTIONS

4.1 Initial Capital Contributions.

(a) As of the Effective Date, (1) no Member has made any capital contributions to the Company and (2) each Member owns the number and type of Membership Units as set forth in Schedule I (as it exists on the Effective Date).

(b) Each Member listed in the books and records of the Company (or such Member’s predecessor-in-interest) has made capital contributions to the Company in the amounts set forth in the books and records of the Company (and as such books and records shall be updated following the date hereof).

4.2 Return of Contributions. Except and only to the extent as otherwise provided in Articles VI and X, no Member shall be entitled to the return of any part of its capital contributions or to receive any distribution from the Company. Any capital contribution that has not been repaid is not a liability of the Company or of any Member and no Member shall be required to contribute or to lend any cash or property to the Company to enable the Company to return any Member’s capital contributions. For the avoidance of doubt, notwithstanding anything to the contrary contained herein (including without limitation Articles VI and X), in no event shall any Member be entitled to the return of any part of its capital contributions or to receive any distribution from the Company, in each case in respect of any Class W Units or Class F Units.

4.3 Additional Capital Contributions. No Member shall be required to make any additional capital contributions to the Company, except as follows:

(a) From and after the issuance of Class A Units pursuant to Section 3.2(c), upon the determination of the Board in accordance with this Agreement for the Company to acquire any Equity Securities of ABC and/or Derivative Instruments (in each case, other than the Warrants Transfer) in accordance with the TRA and the Transaction Documents (an “Applicable Acquisition”), the holder of Class A Units shall be obligated to, and shall, as promptly as commercially practicable, contribute to the Company such amount, in cash, in respect of such Class A Units, as necessary to fund in full such Applicable Acquisition and pay the Company’s related costs and expenses, it being understood and agreed that the sole permitted use of any and all of such contribution shall be to consummate such Applicable Acquisition and pay the Company’s related costs and expenses (each, an “Applicable Acquisition Contribution”). As promptly as practicable following the consummation of any Applicable Acquisition Contribution and in accordance with the determination of the Board with respect to the Applicable Acquisition, the Company shall consummate such Applicable Acquisition. For purposes of this Agreement, “Specified Derivative Contributions” shall mean any Applicable Acquisition Contribution in respect of an acquisition of Un-agreed Derivative Acquisitions, and “Un-agreed Derivative Acquisitions” shall mean any acquisition of Derivative Instruments (“Un-agreed Derivatives”) that is approved by the Board only pursuant to Section 8.1(f).

 

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(b) Upon the occurrence of a JV Option Exercise Event and, if not previously issued pursuant to Section 3.2(c)(i), the related issuance of Class A Units pursuant to Section 3.2(c)(ii), except in the event that the Board has unanimously resolved not call for the Warrants Purchase Contribution from the holder of the Class A Units, the holder of Class A Units shall be obligated to, and shall, as promptly as commercially practicable, contribute to the Company an amount, in cash, in respect of such Class A Units, equal to the Warrant Purchase Price, it being understood and agreed that the sole permitted use of any and all of such contribution shall be to consummate the Warrants Transfer (the “Warrants Purchase Contribution”). The Company and the Members expressly acknowledge and agree that, without the requirement of any Board approval (including pursuant to Section 8.1(f)), promptly following the consummation of the Warrants Purchase Contribution, the Company shall be obligated under this Agreement to, and shall, exercise the Walgreens Warrants Call Option and the AB Warrants Call Option in accordance with Article III of the TRA.

(c) The Applicable Acquisition Contributions and Warrants Purchase Contribution shall be collectively referred to herein as the “Mandatory Acquisition Capital Contributions”.

(d) For the avoidance of doubt, no additional Class A Units shall be issued in respect of any Mandatory Acquisition Capital Contribution.

4.4 No Interest. Subject to Section 10.3, no interest shall be paid on capital contributions.

ARTICLE V

REPRESENTATIONS AND WARRANTIES

5.1 Members’ Representations and Warranties. Each Member (severally and not jointly, as to itself) represents and warrants to the Company and the other Members that, as of the date hereof:

(a) such Member understands that (i) an investment in the Membership Interests of the Company involves a high degree of risk, and it may lose the entire amount of its investment; (ii) the Membership Interests are illiquid, and such Member must bear the economic risk of an investment in the Membership Interests for an indefinite period of time; (iii) there is no existing public or other market for the Membership Interests, and there can be no assurance as to when, or whether, any such market shall develop, or that such Member shall be able to sell or dispose of its Membership Interests; (iv) the Membership Interests have not been registered under the Securities Act or the securities laws of any other jurisdiction, and, except as otherwise expressly provided herein, the Company is under no obligation to, and currently does not intend to, register or qualify the Membership Interests for resale by any such Member or assist such Member in complying with any exemption under the Securities Act or the securities laws of any other jurisdiction; (v) an offer or sale of Membership Interests by any Member in the absence of registration under the Securities Act will require the availability of an exemption thereunder; (vi) a restrictive legend as required by this Agreement shall be placed on the certificates representing the Membership Interests if any such certificates are issued; and (vii) a notation shall be made in the appropriate records of the Company (including on Schedule I) indicating that the Membership Interests are subject to restrictions on transfer;

 

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(b) such Member is an “accredited investor,” as such term is defined in Regulation D under the Securities Act;

(c) such Member is acquiring Membership Interests solely for such Member’s own account and for investment only and not with a view to or for the resale, distribution, subdivision or fractionalization thereof, and such Member has no plans to enter into any contract, undertaking, agreement or arrangement for any such purpose;

(d) such Member understands and agrees that the Company shall have no obligation to recognize any Person as a Member or to recognize the ownership, beneficial or otherwise, of any Membership Interests of such Member other than such Member, and that no such Membership Interests shall be transferable except in accordance with this Agreement; and

(e) such Member acknowledges that it has been provided with such information as it deems necessary to evaluate the merits and risks of investing in the Membership Interests (including, without limitation, financial and other information regarding the Company), and has been afforded the opportunity to ask such questions as it deemed necessary of, and to receive answers from, representatives of the Company concerning the merits and risks of investing in the Membership Interests; in making the decision to invest in the Company, such Member has relied solely upon independent investigations and analysis, and has read in full and understands fully the terms and conditions set forth herein.

ARTICLE VI

DISTRIBUTIONS

6.1 Distributions. Subject in each case to restrictions imposed by applicable law, from time to time, the Board may determine in accordance with the terms hereof to make distributions of cash or other property available for distribution, if any (such availability to be determined by the Board); provided, that notwithstanding anything to the contrary contained herein, (a) (i) any and all distributions shall be made solely on Class A Units, if any, and (ii) in no event shall any distributions be made on any Class W Units or Class F Units and (b) subject to Board approval, immediately following any Transfer of Un-agreed Derivatives, the proceeds in respect of such Transfer shall be distributed, in full, solely to the holders of Class A Units, on a pro rata basis based on the number of Class A Units held by each such holder. Notwithstanding anything to the contrary contained herein, each of the Members and the Company hereby acknowledge and agree that (1) without the requirement of any Board approval (including pursuant to Section 8.1(f)), the Company shall use its reasonable best efforts to Transfer all Un-agreed Derivatives, if any, then owned by the Company, prior to the occurrence of any Dissolution Event and (2) subject to Board approval, immediately following any Transfer of Un-agreed Derivatives (and in any event prior to such Dissolution Event), the proceeds in respect of such Transfer shall be distributed, in full, solely to the holders of Class A Units, on a pro rata basis based on the number of Class A Units held by each such holder.

 

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ARTICLE VII

ALLOCATIONS

7.1 Allocations of Profits and Losses. The Company’s profits and losses (and each item of income, gain, loss, deduction or credit for income tax purposes), if any, for each fiscal period (or any portion thereof for which such an allocation is required) shall be allocated to the Member holding Class A Units.

ARTICLE VIII

GOVERNANCE; MANAGEMENT OF THE COMPANY

8.1 Management Under Direction of the Board.

(a) Except as otherwise expressly specified herein, to the fullest extent permitted by applicable law, the business and affairs of the Company shall be governed exclusively by a board of managers (the “Board,” and each member of the Board, a “Manager”). Except as otherwise expressly provided for herein, the Members hereby consent to the exercise by the Board of all such powers and rights conferred on them by the Act with respect to the management and control of the Company. No Member, in such capacity as a Member, shall have any power to act for, sign for or do any act that would bind the Company, unless otherwise authorized by the Board. Subject to Section 8.1(f), no individual Manager, in such capacity as a Manager, shall have any power to act for, sign for or do any act that would bind the Company, unless otherwise authorized by the Board.

(b) The Board shall consist of four (4) Managers.

(c) The holders of Class W Units shall have the sole and exclusive right to, at any time and from time to time, designate, appoint, replace and/or remove two (2) of the four (4) Managers comprising the entire Board (such two (2) Managers selected by the holders of Class W Units, the “Class W Managers”). The initial Class W Managers shall be Jason Dubinsky and Dan Morrell. Unless otherwise approved by the Board, the Class W Managers shall be the sole signatories with respect to the bank accounts of the Company.

(d) The holders of Class F Units shall have the sole and exclusive right to, at any time and from time to time, designate, appoint, replace and/or remove two (2) of the four (4) Managers comprising the entire Board (such two (2) Managers selected by the holders of Class F Units, the “Class F Managers”); provided, that, following a Class F Cancellation Event or Cancellation and Payment Event, Class F Managers shall be designated, appointed, replaced and/or removed solely by the holders of Class W Units. The initial Class F Managers shall be Marco Pagni and George Fairweather.

(e) Subject to Section 8.1(f) and Section 8.1(k), all actions and determinations of the Board shall require the approval of a majority vote of the Managers present at a meeting of the Board at which a quorum is present, each Manager having one vote; provided, that at least (1) Class W Manager and (1) Class F Manager voted to approve such action or determination. Notwithstanding the foregoing, any action or determination of the Board may be taken or made without any meeting of the Board (or any notice in respect of any meting), so long as evidenced by a written consent executed by three (3) Managers;

 

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(f) Notwithstanding Section 8.1(e), with respect to any Special Matter, if following (1) good faith consultation and discussion with respect to such Special Matter at a meeting of the Board at which a quorum is present, or (2) the failure of a quorum to have been established at a duly noticed meeting of the Board (provided that such notice specified that the subject matter of such meeting would include such Special Matter) as a result of no Class F Manager being present, any action or determination of the Board with respect to such Special Matter has not been approved in accordance with Section 8.1(e), such action or determination shall nonetheless be deemed duly and validly approved by the Board for all purposes under this Agreement (including Section 8.1(e)) without the vote or approval of any Class F Manager immediately upon a written consent approving such action or determination being executed by each Class W Manager. Without affecting or delaying in any respect the effectiveness of any such approval, upon the execution of any such written consent, a copy thereof shall be promptly delivered to each Class F Manager at the address of each such Class F Manager then on the Company’s books and records. Following the execution of any such written consent, and notwithstanding anything to the contrary contained herein, the Class W Managers, and each of them, shall be duly authorized for all purposes hereunder to take any and all necessary or appropriate action (as determined in good faith by the Class W Managers) on behalf of the Company, including acting for, signing for or doing any act that would bind the Company, in order to effectuate the action or determination approved under this Section 8.1(f).

(g) For purposes of this Agreement, “Special Matters” mean: (1) the issuance of Class A Units pursuant to Section
3.2(c)(i), (2) any Transfers of Un-agreed Derivatives and (3) any distribution pursuant to Section 6.1(b).

(h) No Member, in its capacity as such, shall participate in the management of the Company or have any control over the business of the Company. Notwithstanding any other provision in this Agreement, (i) in no event shall a Member be considered a managing member of the Company by agreement, estoppel, as a result of the performance of its duties or otherwise, and (ii) the Members shall not be deemed to be participating in the control of the business of the Company within the meaning of the Act as a result of any actions taken by a Member hereunder.

(i) Each Member agrees that, except as otherwise expressly provided herein and to the fullest extent permitted by applicable law, any action of or relating to the Company by the Board as provided herein (including without limitation pursuant to Section 8.1(f)), shall bind each Member in its capacity as a Member.

(j) Notwithstanding anything to the contrary, with respect to the voting of Equity Securities of ABC, the Company and each Member expressly acknowledges and agrees that, without the requirement of any Board approval (including pursuant to Section 8.1(f)), 50% of the total ABC voting power represented by all assets held by the Company shall be voted as directed by the Class W Managers, and 50% of the total ABC voting power represented by all assets held by the Company shall be voted as directed by the Class F Managers, in each case with respect to the approval (or non-approval) or adoption (or non-adoption) of, or other proposal directly related to, any Acquisition Proposal or Acquisition Transaction (each such term, as defined in the Shareholders Agreement).

 

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(k) Quarterly Trading Plan. Notwithstanding the foregoing, no later than ten (10) days before the end of each fiscal quarter (as adopted by Walgreens in its periodic reporting under the United States Securities Exchange Act of 1934, as amended), one or more of the Class W Managers will propose a plan to a Class F Manager for the acquisition of Equity Securities and/or Derivative Instruments during the following quarter, which may include limits with respect to pricing, timing, volumes and/or manner of acquisitions (the “Quarterly Trading Plan”). Such Class W Manager(s) and such Class F Manager shall consult with each other in good faith with respect to the Quarterly Plan with a view to such Class F Manager consenting (such consent not to be unreasonably withheld) to the adoption of the Quarterly Trading Plan, with consideration given to such amendments and edits as such Class F Manager may propose, it being agreed and understood that the consent of such Class F Manager (i) shall not be unreasonably withheld, conditioned or delayed and (ii) may, for the avoidance of doubt, be communicated in e-mail. In the event that a Class F Manager shall not have affirmatively objected to the Quarterly Trading Plan within 4 calendar days of its receipt, such consent shall be deemed to have been given. In the event that a Class F Manager objects to the adoption of the Quarterly Trading Plan as described above, and the Class W Manger and Class F Manager cannot otherwise agree, any dispute arising over the Quarterly Trading Plan, including any parameter included therein, may be escalated by either such Class W Manager or Class F Manger to Gregory Wasson (or his successor as the CEO of Walgreen Co.) and Stefano Pessina (or his successor as the executive chairman or CEO of Alliance Boots GmbH). Messrs. Wasson and Pessina shall consider the proposed Quarterly Trading Plan, solicit the advice of the Class W Managers and the Class F Managers and shall resolve any matter in dispute under the Quarterly Trading Plan as they see fit. Whether consented to as described above or definitively resolved by Messrs. Wasson and Pessina pursuant to the foregoing sentence, the Quarterly Trading Plan shall be definitively determined no later than the last Business Day of each fiscal quarter and, notwithstanding anything to the contrary in this Agreement shall control with respect to any purchases of any Equity Securities or Derivative Instruments of the Company during the following fiscal quarter without the requirement of any approval of the Board. Notwithstanding anything to the contrary in this Agreement, within the limits established by the Quarterly Trading Plan, the Class W Managers, acting through the Treasury function of Walgreens, shall be responsible for the purchase of Equity Securities or Derivative Instruments of the Company at their sole discretion without the requirement of any approval of the Board or any Class F Manager.

8.2 Meetings of the Board.

(a) Quorum. Three (3) Managers shall constitute a quorum at any meeting of the Board. A Manager who is present at a meeting of the Board at which an action on any matter is taken shall be presumed to have assented to the action unless such Manager’s dissent shall be entered in the minutes of the meeting or unless such Manager shall file a written dissent to such action with the Person acting as secretary of the meeting before the adjournment thereof. Such right to dissent shall not apply to a Manager who voted in favor of such action.

(b) Meetings; Notice. Meetings of the Board may be held at such place or places as shall be determined from time to time by any two (2) or more Managers, including via teleconference or videoconference where all attendees are able to hear and/or see each

 

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other, as applicable. At all meetings of the Board, business shall be transacted in such order as shall from time to time be determined by resolution of the Board or set forth in the notice of meeting. Meetings of the Board may be called on twenty-four (24) hours’ notice by two (2) or more Managers to all other Managers. Attendance of a Manager at a meeting shall constitute a waiver of notice of such meeting, except where a Manager attends a meeting for the sole and express purpose of objecting to the transaction of any business on the ground that the meeting is not lawfully called or convened. Notice of any meeting of the Board may be given personally, by mail, facsimile, email, courier or other means and, if other than personally, shall be deemed given to a Manager when delivered to such Manager at the address of such Manager (including email address and/or facsimile number, as applicable) in the books and records of the Company.

8.3 Reliance by Third Parties. Notwithstanding any other provision of this Agreement to the contrary, any third Person dealing with the Company shall be entitled to rely exclusively on the representations of the Board (or any W Manager pursuant to

Section 8.1(f)) as to its power and authority to enter into arrangements and shall be entitled to deal with the Board (or any W Manager pursuant to Section 8.1(f)) as if it were the sole party in interest therein, both legally and beneficially. In no event shall any Person dealing with the Board (or any W Manager pursuant to Section 8.1(f)) or any representative thereof with respect to any business or property of the Company be obligated to ascertain that the terms of this Agreement have been complied with, or be obligated to inquire into the necessity or expedience of any act or action of the Board (or any W Manager pursuant to Section 8.1(f)) or any representative thereof; and every contract or other document executed by the Board (or any W Manager pursuant to Section 8.1(f)) or any representative thereof with respect to any business or property of the Company shall be conclusive evidence in favor of any and every Person relying thereon or claiming thereunder that (a) at the time of the execution and/or delivery thereof this Agreement was in full force and effect; (b) such instrument or document was duly executed in accordance with the terms and provisions of this Agreement and is binding upon the Company; and (c) the Board (or any W Manager pursuant to Section 8.1(f)) or any representative thereof was duly authorized and empowered to execute and deliver any and every such instrument or document for and on behalf of the Company.

8.4 Liabilities; Certain Duties and Obligations; Exculpation; Related Matters.

(a) No Member shall take, or cause to be taken, any action that would result in any other Member having any personal liability for the obligations of the Company. No Member, in such capacity, shall have any liability under this Agreement for the debts, liabilities or obligations of the Company, except as provided in the Act.

(b) To the fullest extent permitted by applicable law, each Member hereby disclaims any and all fiduciary duties to, or owed from, any Member, the Board, any Manager or any of their respective affiliates, except to the extent set forth in Section 18-1101(c) of the Act, and expressly understands and agrees that each Manager shall be entitled to act solely in the best interests of the Member(s) appointing such Manager, and not of the Company or any other Member (or any of its affiliates).

 

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(c) To the fullest extent permitted by applicable law, no current or former Member or any current or former affiliate of any Member or their respective current or former members, managers, officers, directors, employees, agents, stockholders or partners nor any current or former Manager or Person who serves or has served at the specific request of the Board on behalf of the Company as a manager, officer, director, employee or agent of any other entity shall be liable to the Company or to any Member or any of its affiliates for any act performed or omission made by such Person in connection with this or pursuant to this Agreement, unless such act or omission constitutes gross negligence, fraud or a material or intentional breach of this Agreement.

(d) (i) Nothing in this Agreement shall be construed to require any Manager to manage the Company as his, her or its sole and exclusive function; (ii) any Member, Manager or affiliate of the foregoing may engage in or possess any interest in other investments, business ventures or Persons of any nature or description, independently or with others, similar or dissimilar to, or that competes with, the investments or business of the Company, and may provide advice and other assistance to any such investment, business venture or Person; (iii) the Company and the Members shall have no rights by virtue of this Agreement in and to such investments, business ventures or Persons or the income or profits derived therefrom; and (iv) the pursuit of any such investments or business ventures, even if competitive with the business of the Company, shall not be deemed wrongful or improper. No Member, Manager or affiliate of the foregoing shall be obligated to present any particular investment or business opportunity to the Company even if such opportunity is of a character that, if presented to the Company, could be pursued by the Company, and any Member, Manager or affiliate of the foregoing shall have the right to pursue for its own account (individually or as a partner or a fiduciary) or to recommend to any other Person any such investment opportunity.

(e) Notwithstanding anything to the contrary contained herein, each Member acknowledges and agrees, on behalf of itself and its affiliates, that nothing in this Agreement shall affect such Member’s or affiliates’ agreements and obligations pursuant to the TRA, the Transaction Documents, the Purchase Agreement or any other agreement by or among the Members and/or any of their affiliates.

(f) The provisions of this Section 8.4 shall survive the dissolution, liquidation, winding up or termination of the Company.

ARTICLE IX

TAX MATTERS

9.1 Tax Treatment. For all U.S. federal (and where applicable, U.S. state and local) income tax purposes, after the issuance of the Class A Units, (a) the Company shall be treated as a “disregarded entity” within the meaning of Treasury Regulations Section 301.7701-2, (b) the Class A Member shall be treated as the sole owner of the Company’s assets and (c) all items of income, gain, loss, deduction or credit with respect of the Company shall be reported on the income tax returns of the Class A Member or any group of which the Class A Member is a member. The Company and each of the Members shall (and shall cause their respective Affiliates to) file all income Tax returns in a manner consistent with such tax treatment and shall not (and shall not permit any of their respective Affiliates to) take any position on any Tax return, in connection with any Tax proceeding or otherwise inconsistent with such treatment.

 

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9.2 Cooperation; Tax Returns and Proceedings. The Company shall provide to the Class A Member such cooperation, documentation and information as the Class A Member may request in connection with filing any Tax return, amended Tax return or claim for refund or in connection with any Tax proceeding. The Class A Member shall (a) prepare and file all Tax returns required to be filed by the Class A Member that are required to reflect the items of income, gain, loss, deduction or credit with respect to the Company and (b) have the exclusive right to control any Tax proceeding with respect to or in connection with any such Tax return.

9.3 Class A Unit Transactions. The Company and each Member agree that the Class A Unit Transactions shall be treated, for all U.S. federal (and where applicable, state and local) income tax purposes, as a sale by the Class A Member to the holders of the Class F Units of 50% of the Equity Securities and Derivative Instruments held by the Company at the time of the Class A Unit Transactions.

9.4 Tax Withholding. To the extent the Company is required by Law to deduct and withhold any amounts with respect to Taxes from any distribution made to a Member or to make Tax payments on behalf of or with respect to any Member (“Tax Advances”), the Company may deduct and withhold such amounts and make such tax payments as so required. All Tax Advances made on behalf of a Member shall be repaid by reducing the amount of the current or next succeeding distribution or distributions which would otherwise have been made to such Member, provided, that if such distributions are not sufficient for that purpose, such Member shall promptly repay the amount of any Tax Advances made on its behalf to the Company. If a distribution to a Member is actually reduced as a result of a Tax Advance, for all other purposes of this Agreement such member shall be treated as having received the amount of the distribution that is reduced by the Tax Advance. Each Member hereby agrees to indemnify and hold harmless the Company and the other Members from and against any liability (including any liability for taxes, penalties, additions to tax or interest) with respect to income attributable to or distributions or other payments to such Member.

ARTICLE X

DISSOLUTION, WINDING-UP AND TERMINATION

10.1 Dissolution of the Company. Subject, in the case of clauses (a) and (c) below, to a Class F Cancellation Event, the Company shall be dissolved, and its affairs shall be wound up, in accordance with this Article X, upon the first to occur of the following (each, a “Dissolution Event”): (a) the Board determines to dissolve the Company; (b) upon entry of a decree of judicial dissolution of the Company under Section 18-802 of the Act; and (c) upon (1) the occurrence of the Second Step Failure Event and (2) the delivery of written notice by the Class F unitholders to the Company and the Class A unitholder, within five (5) Business Days of the occurrence of the Second Step Failure Event, specifying that the Class F unitholders elect for the Second Step Failure Event to be deemed a “Dissolution Event” for purposes of this Agreement (such election, the “Share Settlement Election”).

 

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10.2 Effect of Withdrawal, Bankruptcy or Dissolution of a Member. The withdrawal, bankruptcy or dissolution of any Member shall not, in and of itself, dissolve the Company. Subject to applicable law, the trustee, executor, administrator, committee or successor, as the case may be, of any such Member shall have all of the rights and obligations of such Member under this Agreement.

10.3 Transfer of Class A Units Prior to Dissolution. Each of the Members hereby expressly agrees with each other Member that, from and after the issuance of Class A Units pursuant to Section 3.2(c), upon the occurrence of a Dissolution Event:

(a) The holders of the Class F Units shall, on a joint and several basis, be obligated to, and shall, no later than on the second (2nd) Business Day immediately following receipt of the payment instructions provided to the holders of the Class F Units by the holder of the Class A Units (the “Instruction Date”), pay, or cause to be paid, to such holder of the Class A Units an aggregate amount in cash equal to the Class A Unit Transfer Amount (such payment, the “Class A Unit Transfer Payment”).

(b) Immediately upon receipt by the holder of the Class A Units of the entire Class A Unit Transfer Payment pursuant to Section 10.3(a), the holder of Class A Units shall be obligated to, and shall, transfer to the holders of the Class F Units, pursuant to transfer instructions provided by such holders of Class F Units, an aggregate of five (5) Class A Units. For the avoidance of doubt, nothing in this Agreement shall prohibit the transfer of Class A Units in accordance with this Section 10.3 (the “Class A Unit Transfer” and, together with the Class A Unit Transfer Payment, the “Class A Unit Transactions”).

(c) For purposes of this Agreement, the “Class A Unit Transfer Amount” means the sum of: (i) 50% of the aggregate amount of all Mandatory Acquisition Capital Contributions (excluding Specified Derivative Contributions), plus (ii) 50% of, with respect to each Mandatory Acquisition Capital Contribution (excluding Specified Derivative Contributions), the product of (x) such Mandatory Acquisition Capital Contribution and (y) a rate equal to 3-month LIBOR plus 125 basis points per annum from and after the date of such Mandatory Acquisition Capital Contribution to (but not including) the date of the Class A Unit Transfer Payment, plus (iii) the FMV (in each case, as of the date of receipt) of any securities or other property received pursuant to the terms of any Un-agreed Derivatives without the payment of any further settlement or exercise price in respect thereof beyond the purchase price of such Un-agreed Derivatives (which purchase price shall have been covered by the related Specified Derivative Contribution), plus (iv) an amount equal to the lesser of (x) the aggregate amount of income Taxes imposed on or payable by the Class A Member or any group of which the Class A Member is a member with respect to 50% of all payments made by ABC on or with respect to the Equity Securities owned by the Company from the date of its formation until the date of the Class A Unit Transfer Payment and (y) the amount that would have been required to be withheld from such payments in respect of U.S. federal income Taxes had such Equity Securities been beneficially owned by the Class F unitholders during such period.

(d) Notwithstanding the foregoing, without limiting the other rights and remedies that the Class A unitholders may have (in law or equity), if the Class A Unit Transfer Payment is not made by the Class F unitholders in accordance with Section 10.3(a) on or prior to the seventh (7th) Business Day immediately following the Instruction Date, in (1) the case of a

 

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Dissolution Event described in clause (c) of the definition thereof, the Share Settlement shall be deemed not to have been made or given for any and all purposes hereunder and Section 10.6 shall instead apply (“Election Payment Failure”), or (2) in the case of any other Dissolution Event, the Class A unitholders may elect (in their sole discretion) (i) to cause the Company (pursuant to written notice delivered to the Board) to, and the Company shall, continue with the dissolution and winding up of the Company pursuant to this Article X (including the distributions provided for under Section 10.4) without the occurrence of the Class A Unit Transactions, in which event the right of the Class F Unitholders to acquire Class A Units pursuant to the Class A Unit Transfer shall cease and be of no further force and effect from and after the delivery of such written notice to the Board (such delivery, a “Dissolution Continuance Event”) or (ii) in the case of a Dissolution Event described under clauses (a) or (c) of the definition thereof, to trigger a Class F Cancellation Event pursuant to written notice delivered to the Board (a “Class F Cancellation Notice”). Upon delivery of a Class F Cancellation Notice, (1) any and all Class F Units (including without limitation any and all rights, privileges and preferences in respect thereof) shall automatically and immediately be canceled and terminated and shall forthwith become void, in each case for all purposes under this agreement and applicable law (including the Act) and without any consideration or other compensation in respect thereof (and, for the avoidance of doubt, the Company shall have no right or authority whatsoever to reissue any such cancelled Class F Units, and/or issue, authorize or designate any other Class F Units or any other Membership Units) and (2) for all purposes under this Agreement the applicable Dissolution Event shall be deemed not to have occurred (a “Class F Cancellation Event”). For the avoidance of doubt, no Class F Cancellation Event or Dissolution Continuance Event shall relieve the Class F unitholders from their obligations to make the Class A Unit Transfer Payment or from any liability in respect of a breach thereof.

10.4 Winding-up and Termination. Upon the occurrence of a Dissolution Event (unless there shall have occurred a Class F Cancellation Event in respect of such Dissolution Event), but, from and after the issuance of Class A Units pursuant to Section 3.2(c), only after the earlier of (1) the consummation of the Class A Unit Transactions and (2) a Dissolution Continuance Event, the Board shall proceed diligently to wind up the affairs of the Company and make the final distributions as provided herein. The steps to be accomplished by the Board are as follows:

(a) the Board shall pay, satisfy or discharge from Company funds all of the debts, liabilities and obligations of the Company or otherwise make adequate provision for payment and discharge thereof; and

(b) from and after the issuance of Class A Units pursuant to Section 3.2(c), all remaining assets of the Company shall be distributed solely in-kind, and solely to the holders of Class A Units, on a pro rata basis based on the number of Class A Units held by each such holder. For the avoidance of doubt, in no event shall holders of Class W Units or Class F Units be entitled to any distributions whatsoever pursuant to this Agreement, including without limitation this Article X, in respect of such Class W Units or Class F Units, respectively.

Compliance by the Board and the Company with the provisions of this Section 10.4 constitutes a complete return to all Members of all capital contributions and a complete distribution to all Members in respect of its interests in all the Company’s property and constitutes a compromise to which all Members have consented. Each Member agrees that the liability for the return of

 

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its capital contribution is limited to the Company and to the Company’s assets and in all cases subject to the terms and conditions of this Article X. In the event the Company’s assets, and/or the provisions of this Article X, are insufficient to return the full amount of a Member’s capital contribution, each Member hereby waives any and all claims whatsoever that it might otherwise have against the Company, any other Member, the Board or any of their respective affiliates with respect thereto.

10.5 Termination. On completion of the distribution of Company assets as provided herein, the Board shall file such documents and take such other actions as may be necessary to terminate the existence of the Company. Upon satisfaction of all applicable matters required under the Act and this Article X, the existence of the Company shall cease, except as may be otherwise required under the Act.

10.6 Cancellation and Payment Event. Notwithstanding Sections 10.1-10.5, if, within five (5) Business Days of the occurrence of the Second Step Failure Event, the Class F unitholders have not delivered to the Company and the Class W unitholders written notice making the Share Settlement Election, no Dissolution Event shall be deemed to have occurred in respect of the Second Step Failure Event and the following provisions shall instead apply:

(a) If the Class A Unit Transfer Amount is less than the FMV of the Applicable Assets as of the date of the Second Step Failure Event (or, if lower, the FMV of the Applicable Assets as of the date of the Election Payment Failure), (i) the holder of the Class A Units shall be obligated to, and shall, promptly (but in no event later than on (x) the seventh (7th) Business Day immediately following the Second Step Failure Event or (y) if later, the second (2nd) Business Day immediately following the final determination of the FMV of the Applicable Assets as of the date of the Second Step Failure Event (or, if lower, the FMV of the Applicable Assets as of the date of the Election Payment Failure)) pay, or cause to be paid, to the holders of the Class F Units, pursuant to payment instructions provided by such holders of the Class F Units, an aggregate amount in cash equal to the excess of such FMV of the Applicable Assets over the Class A Unit Transfer Amount and (ii) simultaneously with the completion of the payment described in clause (i), any and all Class F Units (including without limitation any and all rights, privileges and preferences in respect thereof) shall automatically and immediately be canceled and terminated and shall forthwith become void, in each case for all purposes under this agreement and applicable law (including the Act) and without any consideration or other compensation in respect thereof (and, for the avoidance of doubt, the Company shall have no right or authority whatsoever to reissue any such cancelled Class F Units, and/or issue, authorize or designate any other Class F Units or any other Membership Units); or

(b) If the Class A Unit Transfer Amount is greater than the FMV of the Applicable Assets as of the date of the Second Step Failure Event (or, if lower, the FMV of the Applicable Assets as of the date of the Election Payment Failure), (i) the holders of the Class F Units shall, on a joint and several basis, be obligated to, and shall, promptly (but in no event later than on (x) the seventh (7th) Business Day immediately following the Second Step Failure Event or (y) if later, the second (2nd) Business Day immediately following the final determination of the FMV of the Applicable Assets as of the date of the Second Step Failure Event (or, if lower, the FMV of the Applicable Assets as of the date of the Election Payment Failure)) pay, or cause

 

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to be paid, to the holder of the Class A Units, pursuant to payment instructions provided by such holder of the Class A Units, an aggregate amount in cash equal to the excess of the Class A Unit Transfer Amount over such FMV of the Applicable Assets and (ii) simultaneously with the completion of the payment described in clause (i), any and all Class F Units (including without limitation any and all rights, privileges and preferences in respect thereof) shall automatically and immediately be canceled and terminated and shall forthwith become void, in each case for all purposes under this agreement and applicable law (including the Act) and without any consideration or other compensation in respect thereof (and, for the avoidance of doubt, the Company shall have no right or authority whatsoever to reissue any such cancelled Class F Units, and/or issue, authorize or designate any other Class F Units or any other Membership Units) (each of clauses (a) and (b), a “Cancellation and Payment Event”).

(c) “Applicable Assets” shall mean all assets of the Company.

(d) “FMV” shall mean 50% of (i) with respect to cash, the amount of such cash, (ii) with respect to publicly traded securities, the closing price of such securities (regular way) on the principal exchange of such securities as of the trading day immediately prior to the date of determination and (iii) with respect to all other property, the fair market value of such property as determined by the holder of the Class A Units, acting in good faith and evidenced by a written notice delivered promptly to the holders of the Class F Units. With respect to clause (iii), if the holders of the Class F Units object in writing to the holder of the Class A Units’ calculation of fair market value within 10 business days of receipt of written notice thereof and the holders of the Class F Units and the holder of the Class A Units are unable to agree on such fair market value during the 10-day period following the delivery of the Class F unitholder objection, the Appraisal Procedure may be invoked by either party to determine FMV by delivering written notification thereof not later than the 30th day after delivery of the Class F unitholder objection.

(e) “Appraisal Procedure” means a procedure whereby two independent, nationally recognized appraisers, one chosen by the Class A unitholder and one by the Class F unitholders, shall mutually agree upon the determinations then the subject of appraisal. Each party shall deliver a notice to the other appointing its appraiser within 15 days after the Appraisal Procedure is invoked. If within 30 days after appointment of the two appraisers they are unable to agree upon the amount in question, a third independent, nationally recognized appraiser shall be chosen within 10 days thereafter by the mutual consent of such first two appraisers or, if such two first appraisers fail to agree upon the appointment of a third appraiser, such appointment shall be made by the American Arbitration Association, or any organization successor thereto, from a panel of arbitrators having experience in appraisal of the subject matter to be appraised. In such event, the decision of the third appraiser so appointed and chosen shall be given within 30 days after the selection of such third appraiser. If three appraisers shall be appointed and the determination of one appraiser is disparate from the middle determination by more than twice the amount by which the other determination is disparate from the middle determination, then the determination of such appraiser shall be excluded, the remaining two determinations shall be averaged and such average shall be binding and conclusive upon the Class A unitholder and the Class F unitholders; otherwise, the average of all three determinations shall be binding upon the Class A unitholder and the Class F unitholders. 50% of the costs of conducting any Appraisal Procedure shall be borne by the Class A unitholder, and 50% of the costs of conducting any Appraisal Procedure shall be borne by the Class F unitholders.

 

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ARTICLE XI

GENERAL PROVISIONS

11.1 Notices. Notices and other statements in connection with this Agreement shall be in writing in the English language and shall be delivered by hand, facsimile, email or overnight courier to the recipient’s facsimile number, email address or address as set forth below or to such other facsimile number, email address or address as a party hereto may notify to the other parties hereto from time to time and shall be given:

(a) if to the Company (or to the Board), at the facsimile number, email address or address of each of the Walgreens Party and of the AB Party (as provided in clause (b) below); or

(b) if to any Member, at the facsimile number, email address or address given for such Member on Schedule I hereto,

in each case with a copy (which shall not constitute notice) to:

Wachtell, Lipton, Rosen & Katz

51 West 52nd Street

New York, New York 10019

Attn:    Andrew R. Brownstein, Esq.
   Benjamin M. Roth, Esq.
Fax:    (212) 403-2000
Email:    ARBrownstein@wlrk.com
   BMRoth@wlrk.com

and

Darrois Villey Maillot Brochier

69 avenue Victor Hugo

75116 – Paris

France

Attn:    Me. Alain Maillot
   Benjamin S.J. Burman, Esq.
Fax:    +33 1 45 02 49 59
Email:    amaillot@darroisvilley.com
   bburman@darroisvilley.com

(c) A notice shall be effective upon receipt and shall be deemed to have been received:

(i) at the time of delivery, if delivered by hand, or overnight courier; or

(ii) at the time of transmission in legible form if received prior to 5:00 p.m. local time on such date, or at the beginning of the recipient’s next Business Day if received after 5:00 p.m. local time on such date or such date is not a Business Day, if delivered by fax or email.

 

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11.2 Entire Agreement. This Agreement, together with the TRA, the Transaction Documents, the Purchase Agreement and the Transaction Documents (for this purpose only, as defined in the Purchase Agreement), constitutes the entire agreement of the Members and their affiliates relating to the subject matter hereof and supersedes all previous agreements among all or some of the parties hereto, whether written, oral or otherwise, as to such subject matter. For the avoidance of doubt and notwithstanding anything to the contrary contained herein, nothing in this Agreement shall amend, modify, limit or waive in any way the Purchase Agreement or the Transaction Documents (for this purpose only, as defined in the Purchase Agreement).

11.3 Effect of Waiver or Consent. No course of dealing between the Company and the Members (or any one of them or any of their affiliates) or any delay in exercising any rights hereunder shall operate as a waiver of any rights of any party to this Agreement. A waiver or consent, express or implied, to or of any breach or default by any Person in the performance by that Person of its obligations under this Agreement is not a consent or waiver to or of any other breach or default in the performance by that Person of the same or any other obligations of that Person under this Agreement. Failure on the part of a Person to complain of any act of any Person or to declare any Person in default, irrespective of how long that failure continues, does not constitute a waiver by that Person of its rights under this Agreement with respect to that default until the applicable statute-of-limitations period has run.

11.4 Amendment or Restatement. This Agreement (including any Exhibit or Schedule hereto) may, from time to time, be amended, modified, supplemented or restated, and any provisions of this Agreement may be waived, only by the Board.

11.5 Binding Effect. This Agreement shall be binding upon and shall inure to the benefit of the Company and each Member, and their respective successors and permitted assigns.

11.6 No Third-Party Beneficiaries. Except as otherwise expressly provided herein, no Person not a party to this Agreement, as a third-party beneficiary or otherwise, shall be entitled to enforce any rights or remedies under this Agreement.

11.7 Governing Law; Jurisdiction; WAIVER OF JURY TRIAL. This Agreement shall be governed by, and construed and enforced in accordance with, the laws of the State of Delaware, without regard to any choice or conflict of law provision or rule (whether of the State of Delaware or any other jurisdiction) that would cause the application of the laws of any jurisdiction other than the State of Delaware. In addition, each of the parties hereto (a) submits to the personal jurisdiction of the Delaware Court of Chancery in and for New Castle County, or in the event (but only in the event) that such Delaware Court of Chancery does not have subject matter jurisdiction over such dispute, the United States District Court for the District of Delaware, or in the event (but only in the event) that such United States District Court also does not have jurisdiction over such dispute, any Delaware State court sitting in New Castle County, in the event any dispute (whether in

 

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contract, tort or otherwise) arises out of this Agreement or the transactions contemplated hereby, (b) agrees that it will not attempt to deny or defeat such personal jurisdiction by motion or other request for leave from any such court, and (c) agrees that it will not bring any claim, action or proceeding relating to this Agreement or the transactions contemplated hereby in any court other than the Delaware Court of Chancery in and for New Castle County, or in the event (but only in the event) that such Delaware Court of Chancery does not have subject matter jurisdiction over such claim, action or proceeding, the United States District Court for the District of Delaware, or in the event (but only in the event) that such United States District Court also does not have jurisdiction over such claim, action or proceeding, any Delaware State court sitting in New Castle County. Each party agrees that service of process upon such party in any such claim, action or proceeding shall be effective if notice is given in accordance with the provisions of this Agreement. EACH PARTY HEREBY WAIVES TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY RIGHT IT MAY HAVE TO A TRIAL BY JURY IN RESPECT OF ANY CLAIM, ACTION OR PROCEEDING DIRECTLY OR INDIRECTLY ARISING OUT OF, UNDER OR IN CONNECTION WITH THIS AGREEMENT OR THE TRANSACTIONS CONTEMPLATED HEREBY. EACH PARTY (a) CERTIFIES THAT NO REPRESENTATIVE, AGENT OR ATTORNEY OF ANY OTHER PARTY HAS REPRESENTED, EXPRESSLY OR OTHERWISE, THAT SUCH OTHER PARTY WOULD NOT, IN THE EVENT OF LITIGATION, SEEK TO ENFORCE THE FOREGOING WAIVER AND (b) ACKNOWLEDGES THAT IT AND THE OTHER PARTIES HERETO HAVE BEEN INDUCED TO ENTER INTO THIS AGREEMENT, BY, AMONG OTHER THINGS, THE MUTUAL WAIVERS AND CERTIFICATIONS IN THIS SECTION 11.7.

11.8 Severability. If any provision of this Agreement, or the application thereof to any person or circumstance, is determined by a court of competent jurisdiction to be invalid, void or unenforceable, the remaining provisions hereof, or the application of such provision to persons or circumstances other than those as to which it has been held invalid or unenforceable, will remain in full force and effect and shall in no way be affected, impaired or invalidated thereby, so long as the economic or legal substance of the transactions contemplated hereby or thereby is not affected in any manner materially adverse to any party. Upon such determination, the parties shall negotiate in good faith in an effort to agree upon a suitable and equitable substitute provision to affect the original intent of the parties.

 

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11.9 Remedies. The parties hereto agree that failure of any party to perform its agreements and covenants hereunder, including a party’s failure to take all actions as are necessary on such party’s part in accordance with the terms and conditions of this Agreement to consummate the transactions contemplated hereby, will cause irreparable injury to the other parties, for which monetary damages, even if available, will not be an adequate remedy. It is agreed that the parties shall be entitled to equitable relief including injunctive relief and specific performance of the terms hereof, without the requirement of posting a bond or other security, and each party hereby consents to the issuance of injunctive relief by any court of competent jurisdiction to compel performance of a party’s obligations and to the granting by any court of the remedy of specific performance of such party’s obligations hereunder, this being in addition to any other remedies to which the parties are entitled at law or equity.

11.10 Further Assurances. The Company and each Member shall do and perform or cause to be done and performed all such further acts and things and shall execute and deliver all such other agreements, certificates, instruments and other documents as reasonably necessary or appropriate to carry out the provisions of this Agreement and the consummation of the transactions contemplated hereby.

11.11 Counterparts. This Agreement may be executed in any number of counterparts (including facsimile counterparts), any one of which need not contain the signatures of more than one party, but all such counterparts, taken together, shall constitute one and the same agreement. It shall not be necessary in making proof of this Agreement to produce or account for more than one such counterpart.

11.12 Construction. Unless the context requires otherwise: (a) pronouns in the masculine, feminine and neuter genders shall be construed to include any other gender, and words in the singular form shall be construed to include the plural and vice versa; (b) the term “including” shall be construed to be expansive rather than limiting in nature and to mean “including, without limitation” (except to the extent the context otherwise provides); (c) references to Articles and Sections refer to Articles and Sections of this Agreement; (d) the words “this Agreement,” “herein,” “hereof,” “hereby,” “hereunder” and words of similar import refer to this Agreement as a whole, including the Exhibits and Schedules attached hereto, and not to any particular subdivision unless expressly so limited; and (e) references to the Exhibits and Schedules are to the items identified separately in writing by the parties hereto as the described Exhibits or Schedules attached to this Agreement, each of which is hereby incorporated herein and made a part hereof for all purposes as if set forth in full herein. No rule of construction against the draftsperson shall be applied in connection with the interpretation or enforcement of this Agreement, as this Agreement is the product of negotiation between sophisticated parties advised by counsel. Except as expressly stated in this Agreement, all references to any other agreement or contract are to such agreement or contract as amended, modified, supplemented or replaced from time to time.

* * *

 

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IN WITNESS WHEREOF, this Agreement has been duly executed and delivered by the duly authorized officers of the parties hereto as of the date first herein above written.

 

Members:
WALGREENS PHARMACY STRATEGIES, LLC
By:  

/s/ Rick Hans

Name:   Rick Hans
Title:   Vice President
ALLIANCE BOOTS LUXEMBOURG S.À.R.L.
By:  

/s/ Wolfgang Zettel

Name:   Wolfgang Zettel
Title:   Class A Manager
By:  

/s/ Simone Retter

Name:   Simone Retter
Title:   Class B Manager

[Limited Liability Company Agreement Signature Page]


SCHEDULE I

Register of Members

 

    

Member

  

Number of

Membership Units

  

Date and Amount of

Contribution

Member   

WALGREENS PHARMACY STRATEGIES, LLC

 

Address/Contact/Email Information:

c/o Walgreen Co.

Attn: Thomas J. Sabatino

108 Wilmot Road

Deerfield, Illinois 60015

(847) 315-3652

thomas.sabatino@walgreens.com

  

Number of Membership Units:

 

10 Class W Units

  

March 18, 2013

$0.00

     

 

Number of Membership Units:

 

10 Class A Units

  

 

Effective as of June 3, 2013
$1.00

 

Aggregate Applicable Acquisition

Contributions as of April 10, 2014:

$716,683,328.07

Member   

ALLIANCE BOOTS LUXEMBOURG S.À.R.L.

 

Address/Contact/Email Information:

59, rue de Rollingergrund

Luxembourg L-2440

Grand Duchy of Luxembourg

 

Attention: Wolfgang Zettel

Tel: +352 270 245 28

Fax: +352 270 245 70

Wolfgang.zettel@ab-acquisitions.lu

  

Number of Membership Units:

 

10 Class F Units

  

March 18, 2013

$0.00


EXHIBIT A

DEFINITIONS

Act” has the meaning set forth in the recitals.

Agreement” has the meaning set forth in the preamble.

Business Day” means any day other than a Saturday, a Sunday or a holiday on which banks in New York, NY are authorized or obligated by law to close.

Class A Member” means the Member holding Class A Units.

Code” means the United States Internal Revenue Code of 1986, as amended.

Company” has the meaning set forth in the preamble.

Member” means (a) each Person identified on Schedule I as of the date hereof as a Member and who has executed this Agreement or a counterpart thereof and (b) each Person who is hereafter admitted as a Member in accordance with the terms of this Agreement, in each case so long as such Person is shown on the Company’s books and records as the owner of one or more Membership Units. The Members shall constitute the “members” (as that term is defined in the Act) of the Company.

Membership Interest” means a membership interest in the Company, including the right of the holder thereof to any and all benefits to which a holder thereof may be entitled as provided in this Agreement, together with the obligations of a holder thereof to comply with all of the terms and provisions of this Agreement.

Membership Unit” means a fractional part of the Membership Interests of all Members, which is designated as a Membership Unit, and having the rights and obligations specified with respect thereto in this Agreement. For the avoidance of doubt, “Membership Units” include only Class W Units, Class F Units and Class A Units.

Person” shall be construed broadly and includes, without limitation, an individual, a partnership, a limited liability company, a corporation, an association, a joint stock company, a trust, a joint venture, an unincorporated organization and a governmental entity or any department, agency or political subdivision thereof.

Second Step Failure Event” shall be deemed to occur upon the termination of the Purchase Agreement without the Second Step Closing (as defined in the Purchase Agreement) having occurred.

Securities Act” means the Securities Act of 1933, as amended from time to time, and the rules and regulations promulgated thereunder.

Tax” means all taxes, charges, levies, penalties or other assessments imposed by any United States federal, state, local or foreign taxing authority, including income, excise, property, sales, transfer, franchise, payroll, withholding, social security or other similar taxes, including any interest or penalties attributable thereto.

 

A-1


Treasury Regulations” means the regulations promulgated by the United States Department of the Treasury pursuant to and in respect of provisions of the Code.

 

A-2


EXHIBIT B

FORM OF ADDENDUM AGREEMENT

This Addendum Agreement (the “Addendum Agreement”) is made this      day of             , 20    , by and between                                         , the transferee or the recipient of an issuance, as applicable (the “Transferee”), and WAB HOLDINGS LLC, a Delaware limited liability company (the “Company”), pursuant to the terms of that certain Limited Liability Company Agreement dated as of March 18, 2013, including all exhibits and schedules thereto (as the same may be amended from time to time, the “Agreement”), a copy of which is attached hereto. Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to them in the Agreement. By the execution of this Addendum Agreement, the Transferee acknowledges and agrees as follows:

1. The Transferee has received and read the Agreement and acknowledges that the Transferee is acquiring the Membership Units in accordance with and subject to the terms and conditions of the Agreement.

2. The Transferee represents and warrants, as of the date hereof, to the Company and to the Members as provided in Section 5.1 of the Agreement, replacing any references to the “Agreement” to “this Addendum Agreement and the Agreement.”

3. The Transferee (a) agrees that the Membership Units acquired by Transferee, and certain other Membership Units that may be acquired by Transferee in the future, shall be bound by and subject to the terms and conditions of the Agreement, pursuant to the terms thereof, (b) hereby adopts the Agreement with the same force and affect as if it was originally a party thereto and (c) agrees that it shall be deemed to be a Member for purposes of the Agreement. This Addendum Agreement shall be attached to and become a part of the Agreement.

4. Any notice required as permitted by the Agreement shall be given to Transferee at the facsimile number, email address or address listed beneath the Transferee’s signature below.

5. For the absence of doubt, this Addendum Agreement shall be governed by and construed in accordance with the Laws of the State of Delaware.

 

B-1


IN WITNESS WHEREOF, the undersigned has executed this Addendum Agreement as of the date written below.

 

    AGREED TO on behalf of the Company:

 

   

 

Transferee     Name:
    Title:
Transferee’s the facsimile number, email address and address for Notices:    

 

   

 

   

 

   

 

   
EX-99.10 4 d710833dex9910.htm EX-99.10 EX-99.10

Exhibit 99.10

POWER OF ATTORNEY

Know all men by these presents that Henry R. Kravis does hereby make, constitute and appoint William J. Janetschek and Richard J. Kreider, or either one of them, as a true and lawful attorney-in-fact of the undersigned with full powers of substitution and revocation, for and in the name, place and stead of the undersigned (both in the undersigned’s individual capacity and as a member of any limited liability company or as a partner of any partnership for which the undersigned is otherwise authorized to sign), to execute and deliver such forms as may be required to be filed from time to time with the Securities and Exchange Commission with respect to: (i) Sections 13(d) and 16(a) of the Securities Exchange Act of 1934, as amended (the “Act”), including without limitation, Schedule 13D, Schedule 13G, statements on Form 3, Form 4 and Form 5 and (ii) in connection with any applications for EDGAR access codes, including without limitation the Form ID.

 

/s/ Henry R. Kravis

Name:   Henry R. Kravis

Date: July 31, 2005

 

1

 


POWER OF ATTORNEY

Know all men by these presents that George R. Roberts does hereby make, constitute and appoint William J. Janetschek and Richard J. Kreider, or either one of them, as a true and lawful attorney-in-fact of the undersigned with full powers of substitution and revocation, for and in the name, place and stead of the undersigned (both in the undersigned’s individual capacity and as a member of any limited liability company or as a partner of any partnership for which the undersigned is otherwise authorized to sign), to execute and deliver such forms as may be required to be filed from time to time with the Securities and Exchange Commission with respect to: (i) Sections 13(d) and 16(a) of the Securities Exchange Act of 1934, as amended (the “Act”), including without limitation, Schedule 13D, Schedule 13G, statements on Form 3, Form 4 and Form 5 and (ii) in connection with any applications for EDGAR access codes, including without limitation the Form ID.

 

/s/ George R. Roberts

Name:   George R. Roberts

Date: July 31, 2005

 

2

 


POWER OF ATTORNEY

Know all men by these presents that William J. Janetschek does hereby make, constitute and appoint Richard J. Kreider and David J. Sorkin, or either one of them or any other person acting at the direction of either one of them, as a true and lawful attorney-in-fact of the undersigned with full powers of substitution and revocation, for and in the name, place and stead of the undersigned (both in the undersigned’s individual capacity and as an officer, member or partner of any entity for which the undersigned is otherwise authorized to sign), to execute and deliver such forms as may be required to be filed from time to time with the Securities and Exchange Commission with respect to: (i) Sections 13(d) and 16(a) of the Securities Exchange Act of 1934, as amended (the “Act”), including without limitation, Schedule 13D, Schedule 13G, statements on Form 3, Form 4 and Form 5 and (ii) in connection with any applications for EDGAR access codes, including without limitation the Form ID.

 

/s/ William J. Janetschek

Name:   William J. Janetschek

Date: January 25, 2011

 

3