0000950142-11-001534.txt : 20110907 0000950142-11-001534.hdr.sgml : 20110907 20110906190535 ACCESSION NUMBER: 0000950142-11-001534 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20110907 DATE AS OF CHANGE: 20110906 GROUP MEMBERS: MORGAN STANLEY GROUP MEMBERS: MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III, L GROUP MEMBERS: MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD GROUP MEMBERS: MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. GROUP MEMBERS: MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. GROUP MEMBERS: MORGAN STANLEY PRIVATE EQUITY ASIA III, L.P. GROUP MEMBERS: MS HOLDINGS INCORPORATED GROUP MEMBERS: MSPEA AGRICULTURE HOLDING LIMITED SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Yongye International, Inc. CENTRAL INDEX KEY: 0001398551 STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE CHEMICALS [2870] IRS NUMBER: 208051010 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-84050 FILM NUMBER: 111076795 BUSINESS ADDRESS: STREET 1: 6TH FLR, STE 608 XUE YUAN INT'L TOWER STREET 2: NO. 1 ZHICHUN ROAD,HAIDIAN DISTRICT, CITY: BEIJING, STATE: F4 ZIP: 000000 BUSINESS PHONE: 86-10-8232-8866 MAIL ADDRESS: STREET 1: 6TH FLR, STE 608 XUE YUAN INT'L TOWER STREET 2: NO. 1 ZHICHUN ROAD,HAIDIAN DISTRICT, CITY: BEIJING, STATE: F4 ZIP: 000000 FORMER COMPANY: FORMER CONFORMED NAME: Yongye Biotechnology International, Inc. DATE OF NAME CHANGE: 20080415 FORMER COMPANY: FORMER CONFORMED NAME: Golden Tan, Inc DATE OF NAME CHANGE: 20070504 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MORGAN STANLEY CENTRAL INDEX KEY: 0000895421 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 363145972 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-761-4000 MAIL ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: MORGAN STANLEY DEAN WITTER & CO DATE OF NAME CHANGE: 19980326 FORMER COMPANY: FORMER CONFORMED NAME: DEAN WITTER DISCOVER & CO DATE OF NAME CHANGE: 19960315 SC 13D/A 1 eh1100643_sc13da2.htm AMENDMENT NO. 2 eh1100643_sc13da2.htm




UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549
 

 
SCHEDULE 13D
(Rule 13d-1 and Rule 13d-2)
 
(Amendment No. 2)
 
Under the Securities Exchange Act of 1934
 
YONGYE INTERNATIONAL, INC.
(Name of Issuer)
 
Common Stock, par value $0.001
(Title of Class of Securities)
 
98607B106
(CUSIP Number)
 
Scott Moss, Esq.
Morgan Stanley
Yebisu Garden Place Tower 4-20-3 Ebisu, Shibuya-ku
Tokyo, 150-6008
Japan
81-3-6422-6514

with a copy to:

John E.  Lange, Esq.
Paul, Weiss, Rifkind, Wharton & Garrison LLP
1285 Avenue of the Americas
New York, New York 10019-6064
(212) 373-3000
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
 
September 2, 2011
(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 Rule 13d-1(e), 13d-1(f) or 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 Section 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).

 


 
 
 

 

 
CUSIP No. 98607B106
 
SC 13D
Page 2 

 
1
NAME OF REPORTING PERSONS
 
MORGAN STANLEY
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(SEE INSTRUCTIONS)
 
(a)  o
(b)  x
3
SEC USE ONLY
 
 
 
4
SOURCE OF FUNDS (SEE INSTRUCTIONS)
 
WC, OO
 
5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
 
 
x
6
CITIZENSHIP OR PLACE OF ORGANIZATION
 
DELAWARE
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH
7
SOLE VOTING POWER
 
0
8
SHARED VOTING POWER
 
7,419,523
9
SOLE DISPOSITIVE POWER
 
0
10
SHARED DISPOSITIVE POWER
 
7,419,523
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
7,419,523
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
 
 
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
13.5%
 
14
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
HC, CO
 
 

 
 
 

 
 
CUSIP No. 98607B106
 
SC 13D
Page 3 

 
1
NAME OF REPORTING PERSONS
 
MS HOLDINGS INCORPORATED
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(SEE INSTRUCTIONS)
 
(a)  o
(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 ITEMS 2(d) or 2(e)
 
 
x
6
CITIZENSHIP OR PLACE OF ORGANIZATION
 
DELAWARE
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH
7
SOLE VOTING POWER
 
0
8
SHARED VOTING POWER
 
7,297,026
9
SOLE DISPOSITIVE POWER
 
0
10
SHARED DISPOSITIVE POWER
 
7,297,026
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
7,297,026
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
 
 
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
13.3%
 
14
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
HC, CO
 
 

 
 
 

 
 
 
CUSIP No. 98607B106
 
SC 13D
Page 4 

 
1
NAME OF REPORTING PERSONS
 
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC.
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(SEE INSTRUCTIONS)
 
(a)  o
(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 ITEMS 2(d) or 2(e)
 
 
x
6
CITIZENSHIP OR PLACE OF ORGANIZATION
 
DELAWARE
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH
7
SOLE VOTING POWER
 
0
8
SHARED VOTING POWER
 
7,297,026
9
SOLE DISPOSITIVE POWER
 
0
10
SHARED DISPOSITIVE POWER
 
7,297,026
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
7,297,026
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
 
 
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
13.3%
 
14
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
HC, CO
 
 

 
 

 
 
 
CUSIP No. 98607B106
 
SC 13D
Page 5 

 
1
NAME OF REPORTING PERSONS
 
MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C.
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(SEE INSTRUCTIONS)
 
(a)  o
(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 ITEMS 2(d) or 2(e)
 
 
x
6
CITIZENSHIP OR PLACE OF ORGANIZATION
 
DELAWARE
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH
7
SOLE VOTING POWER
 
0
8
SHARED VOTING POWER
 
7,297,026
9
SOLE DISPOSITIVE POWER
 
0
10
SHARED DISPOSITIVE POWER
 
7,297,026
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
7,297,026
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
 
 
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
13.3%
 
14
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
OO
 
 
 
 

 
 
 
CUSIP No. 98607B106
 
SC 13D
Page 6 

 
1
NAME OF REPORTING PERSONS
 
MORGAN STANLEY PRIVATE EQUITY ASIA III, L.P.
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(SEE INSTRUCTIONS)
 
(a)  o
(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 ITEMS 2(d) or 2(e)
 
 
x
6
CITIZENSHIP OR PLACE OF ORGANIZATION
 
CAYMAN ISLANDS
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH
7
SOLE VOTING POWER
 
0
8
SHARED VOTING POWER
 
7,297,026
9
SOLE DISPOSITIVE POWER
 
0
10
SHARED DISPOSITIVE POWER
 
7,297,026
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
7,297,026
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
 
 
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
13.3%
 
14
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
PN
 
 
 
 

 
 
 
CUSIP No. 98607B106
 
SC 13D
Page 7 

 
1
NAME OF REPORTING PERSONS
 
MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III, L.P.
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(SEE INSTRUCTIONS)
 
(a)  o
(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 ITEMS 2(d) or 2(e)
 
 
x
6
CITIZENSHIP OR PLACE OF ORGANIZATION
 
CAYMAN ISLANDS
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH
7
SOLE VOTING POWER
 
0
8
SHARED VOTING POWER
 
7,297,026
9
SOLE DISPOSITIVE POWER
 
0
10
SHARED DISPOSITIVE POWER
 
7,297,026
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
7,297,026
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
 
 
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
13.3%
 
14
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
PN
 
 
 
 
 
 

 
 
 
CUSIP No. 98607B106
 
SC 13D
Page 8 

 
1
NAME OF REPORTING PERSONS
 
MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(SEE INSTRUCTIONS)
 
(a)  o
(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 ITEMS 2(d) or 2(e)
 
 
x
6
CITIZENSHIP OR PLACE OF ORGANIZATION
 
CAYMAN ISLANDS
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH
7
SOLE VOTING POWER
 
0
8
SHARED VOTING POWER
 
7,297,026
9
SOLE DISPOSITIVE POWER
 
0
10
SHARED DISPOSITIVE POWER
 
7,297,026
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
7,297,026
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
 
 
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
13.3%
 
14
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
OO
 
 
 
 
 

 
 
 
CUSIP No. 98607B106
 
SC 13D
Page 9 

 
1
NAME OF REPORTING PERSONS
 
MSPEA AGRICULTURE HOLDING LIMITED
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(SEE INSTRUCTIONS)
 
(a)  o
(b)  x
3
SEC USE ONLY
 
 
 
4
SOURCE OF FUNDS (SEE INSTRUCTIONS)
 
AF
 
5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
 
 
x
6
CITIZENSHIP OR PLACE OF ORGANIZATION
 
CAYMAN ISLANDS
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH
7
SOLE VOTING POWER
 
0
8
SHARED VOTING POWER
 
7,297,026
9
SOLE DISPOSITIVE POWER
 
0
10
SHARED DISPOSITIVE POWER
 
7,297,026
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
7,297,026
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
 
 
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
13.3%
 
14
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
OO
 
 
 

 
 
CUSIP No. 98607B106
 
SC 13D
Page 10  


TABLE OF CONTENTS
 
Item 1.
Security and Issuer
 
Item 2.
Identity and Background
 
Item 3.
Source and Amount of Funds or Other Consideration
 
Item 4.
Purpose of Transaction
 
Item 5.
Interest in Securities of the Issuer
 
Item 7.
Material to be Filed as Exhibits
 
SCHEDULES
A
B
C

SIGNATURES
EXHIBIT INDEX
EX−99.1


 
 

 
 
CUSIP No. 98607B106
 
SC 13D
Page 11 


SCHEDULE 13D
 
Item 1.
Security and Issuer
 
The following constitutes Amendment No. 2 (the “Amendment”) to the Schedule 13D filed by the undersigned on June 10, 2011, as amended and/or supplemented by Amendment No. 1 to the Schedule 13D filed on August 26, 2011 (as amended, the “Schedule 13D”).  Except as specifically amended by this Amendment, the Schedule 13D remains in full force and effect.  Capitalized terms used but not defined in this Amendment have meanings provided in the Schedule 13D.
 
Item 2.
Identity and Background
 
The response set forth in Item 2 of the Schedule 13D is hereby amended and supplemented by the following.
 
This Amendment is being filed jointly on behalf of (i) Morgan Stanley, a Delaware corporation (“MS Parent”), (ii) MS Holdings Incorporated, a Delaware corporation (“MS Holdings”), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation (“MS Inc”), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company (“MS LLC”), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership (“MS LP”), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership (“MS Employee”), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company (“MSPEA Holdings”) and (viii) MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company (“MSPEA”) (collectively, the “Reporting Persons”) to report the purchase of 825,693 shares of Common Stock of the Issuer (the “Second Purchased Shares”) in the open market for an aggregate purchase price of $4,174,931.75, which excludes commissions of $33,087.73. The Reporting Persons have entered into a joint filing agreement, dated as of September 6, 2011, a copy of which is attached hereto as Exhibit 99.1.
 
The name, business address, present principal occupation or employment and citizenship of each director and executive officer of MS Parent, MS Holdings, MS Inc, MSPEA Holdings and MSPEA, and the name, business address, present principal occupation or employment and citizenship of each executive officer of MS LLC, MS LP and MS Employee are set forth in Schedule A attached hereto and incorporated herein by reference.
 
During the last five years, none of the Reporting Persons, nor, to the knowledge of the Reporting Persons, any of the persons listed on Schedule A attached hereto and incorporated herein by reference, has been (1) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (2) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws, other than, in the case of clause (2), as described in Schedule B attached hereto and incorporated herein by reference.
 
 
 
 

 
 
CUSIP No. 98607B106
 
SC 13D
Page 12 

 
Item 3.
Source and Amount of Funds or Other Consideration.
 
The response set forth in Item 3 of the Schedule 13D is hereby amended and supplemented by the following.
 
MS LP and MS Employee provided internally generated funds to MSPEA to pay the purchase price for the Second Purchased Shares.  The funds provided by MS LP and MS Employee (through MSPEA Holdings) were obtained from capital contributions made by their respective partners and from available funds of such entities.  None of the individuals listed on Schedule A hereto has contributed any funds or other consideration towards the purchase of the Second Purchased Shares except insofar as they may have partnership or other interests in any of the Reporting Persons and have made capital contributions to any of the Reporting Persons, as the case may be.
 
Item 4.
Purpose of Transaction.
 
The response set forth in Item 4 of the Schedule 13D is hereby amended and supplemented by the following.
 
The Reporting Persons acquired the Second Purchased Shares for investment purposes.
 
Item 5.
Interest in Securities of the Issuer.
 
The response set forth in Item 5 of the Schedule 13D is hereby amended and supplemented by the following.
 
The following disclosure assumes that there are 49,370,711 shares of Common Stock outstanding as of August 12, 2011, as set forth in the Issuer’s Form 10-Q/A, dated August 16, 2011 (the “Quarterly Report”).  All calculations of beneficial ownership are made using the number of shares of Common Stock outstanding as of August 12, 2011 and the shares of Common Stock issuable upon the conversion of the Preferred Shares as of August 12, 2011.
 
By virtue of relationships reported in Item 2, each of the Reporting Persons may be deemed to have shared voting and dispositive power with respect to 7,297,026 shares of Common Stock beneficially owned by MSPEA, which, based on calculations made in accordance with Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), constitutes approximately 13.3% of the outstanding Common Stock.  Neither the filing of this Amendment nor any of its contents shall be deemed to constitute an admission by any Reporting Person (other than MSPEA to the extent of its pecuniary interest therein) that it is the beneficial owner of any of the Second Purchased Shares, or for any other purpose, and such beneficial ownership is expressly disclaimed.  Taken together, the Additional Shares, the shares of Common Stock issuable upon conversion of the Preferred Shares, the Purchased Shares and the Second Purchased Shares constitute approximately 13.5% of the outstanding Common Stock.  Neither the filing of this Amendment nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any Additional
 
 
 

 
 
CUSIP No. 98607B106
 
SC 13D
Page 13

Shares for purposes of Section 13(d) of the Exchange Act, or for any other purpose, and such beneficial ownership is expressly disclaimed.
 
In accordance with Securities and Exchange Commission (the “SEC”) Release No.  34-39538 (January 12, 1998) (the “Release”), this Amendment reflects the securities beneficially owned by MS Reporting Units of MS.  This Amendment does not reflect securities, if any, beneficially owned by any affiliates or operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Release.  The MS Reporting Units disclaim beneficial ownership of the securities beneficially owned by (i) any client accounts with respect to which the MS Reporting Units or their employees have voting or investment discretion, or both, and (ii) certain investment entities of which the MS Reporting Units act as the general partner, managing general partner or other manager, to the extent interests in such entities are held by persons other than the MS Reporting Units.
 
MS Parent is filing this Amendment in its capacity as a parent company of MS Holdings, MS Inc, MS LLC, MS LP, MS Employee, MSPEA Holdings, MSPEA and the MS Reporting Units described above.  The Reporting Persons are filing this Amendment jointly pursuant to Rule 13d-1(k)(i) promulgated under the Exchange Act, provided that, as contemplated by Rule 13d-1(k)(ii), no Reporting Person shall be responsible for the completeness or accuracy of the information concerning the other persons making the filing of this Amendment, unless such Reporting Person knows or has reason to believe that such information is inaccurate.
 
To the knowledge of the Reporting Persons, none of the persons listed on Schedule A  hereto beneficially owns any shares of Common Stock.
 
Except as set forth in Item 3 above and as set forth in Schedule C incorporated herein by reference, none of the Reporting Persons, or to their knowledge, any other person or entity referred to in Item 2 (including those listed on Schedule A hereto) has effected any transactions in the Common Stock during the past 60 days.
 
Except as set forth in this Item 5, no person other than the Reporting Persons 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 Second Purchased Shares.
 
Item 7.
Material to be Filed as Exhibits.
 
Exhibit 99.1            Joint Filing Agreement by and between MS Parent, MS Holdings, MS Inc, MS LLC, MS LP, MS Employee, MSPEA Holdings and MSPEA, dated September 6, 2011 (filed herewith)
 
 
 
 
 

 
 
SCHEDULE A

 
EXECUTIVE OFFICERS AND DIRECTORS
OF
MORGAN STANLEY
 
The names of the directors and the names and titles of the executive officers of Morgan Stanley and their principal occupations are set forth below.  The business address of each of the directors or executive officers is that of Morgan Stanley at 1585 Broadway, New York, New York 10036.  Unless otherwise indicated, each occupation set forth opposite an individual’s name refers to Morgan Stanley and each individual is a United States citizen.
 
Name
Title
   
*John J. Mack
Chairman of the Board
   
*James P. Gorman1
President and Chief Executive Officer
   
*Roy J. Bostock
Director
   
*Erskine B. Bowles
Director
   
*Howard J. Davies2
Director
   
*James H. Hance, Jr.
Director
   
*C. Robert Kidder
Chairman, Chrysler Group LLC
   
*Donald T. Nicolaisen
Director
   
*Hutham S. Olayan
President, Chief Executive Officer and Director of Olayan America Corporation
   
*James W. Owens
Director
   
*O. Griffith Sexton
Adjunct professor of finance at Columbia Business School
   
*Ryosuke Tamakoshi 3
Senior Advisor to The Bank of Tokyo-Mitsubishi UFJ, Ltd.
   
*Masaaki Tanaka 4
Senior Managing Executive Officer and Chief Executive Officer for the Americas of The Bank of Tokyo-Mitsubishi UFJ, Ltd.
   
*Laura D’Andrea Tyson
S. K. and Angela Chan Professor of Global Management at the Walter A. Haas School of Business at the University of California, Berkeley
   
Francis P. Barron
Executive Vice President and Chief Legal Officer
   
 
 
 
14

 
 
SCHEDULE A
 
 
Kenneth M. deRegt
Global Head of Fixed Income Sales and Trading (excluding Commodities)
   
Gregory J. Fleming
Executive Vice President, President of Asset Management and President of Global Wealth Management
   
Keishi Hotsuki5
Chief Risk Officer
   
Colm Kelleher6
Executive Vice President and Co-President of Institutional Securities
   
Ruth Porat
Executive Vice President and Chief Financial Officer
   
James A. Rosenthal
Executive Vice President and Chief Operating Officer
   
Paul J. Taubman
Executive Vice President and Co-President of Institutional Securities

 
1  Dual citizenship – Australia and United States
2  Citizenship – England
3  Citizenship – Japan
4  Citizenship – Japan
5  Citizenship – Japan
6  Dual citizenship – England and Ireland
*  Director
 
 
 
 
 
15

 
 
SCHEDULE A

EXECUTIVE OFFICERS AND DIRECTORS OF MS HOLDINGS INCORPORATED
 
The names of the directors and the names and titles of the executive officers of MS Holdings Incorporated and their principal occupations are set forth below.  The business address of each of the directors or executive officers is that of MS Holdings Incorporated at 1585 Broadway, New York, New York 10036.  Unless otherwise indicated, each individual is a United States citizen and each occupation set forth opposite an individual’s name refers to MS Holdings Incorporated.
 
 
Name
Title
   
Harvey Bertram Mogenson
 
Director and President
Bruce R. Sandberg
 
Vice President
Louis A. Palladino, Jr.
 
Vice President
Walter E. Rein
 
Vice President
Eric J. Marmoll
 
Vice President
Martin M. Cohen
 
Vice President and Secretary
Robin Coroniti
 
Vice President
Michael Kelly
 
Vice President
Noel C. Langlois
 
Vice President
Arthur J. Lev
 
Vice President
Owen D. Thomas
Vice President
 

 
 
 
 
16

 
 
SCHEDULE A


EXECUTIVE OFFICERS AND DIRECTORS OF MORGAN STANLEY PRIVATE EQUITY ASIA III, INC.
 
The names of the directors and the names and titles of the executive officers of Morgan Stanley Private Equity Asia III, Inc. and their principal occupations are set forth below.  The business address of each of the directors or executive officers is as provided below.  Unless otherwise indicated, each individual is a United States citizen and each occupation set forth opposite an individual’s name refers to Morgan Stanley Private Equity Asia III, Inc.
 
 
Name
 
Title
 
Address
         
Hsuan Chin Chou
 
Director
 
International Commerce Centre
1 Austin Road West
Kowloon
Hong Kong
         
Alan K. Jones
 
Director, President and Managing Director 
 
1585 Broadway
New York, New York 10036
         
John J. Moon
 
Director
 
1585 Broadway
New York, New York 10036
         
Fred Steinberg
 
Chief Financial Officer, Vice President and Assistant Treasurer
 
1 New York Plaza
New York, New York 10004
         
Jason Koenig
 
Chief Legal Officer and Secretary and Vice President
 
1221 Avenue of the Americas
New York, New York 10020
         
Jennifer M. Cattier
 
Chief Compliance Officer and Vice President
 
1221 Avenue of the Americas
New York, New York 10020
         
Seendy Fouron
 
Vice President and Assistant Secretary
 
1221 Avenue of the Americas
New York, New York 10020
         
Dariusz Garbowski
 
Vice President 
 
1 New York Plaza
New York, New York 10004
         
Robert M. Murphy
 
Vice President 
 
440 South LaSalle St.
One Financial Plaza
Chicago, Illinois 60605
         
Christopher L. O'Dell
 
Vice President 
 
522 Fifth Avenue
New York, New York 10036
         
 
 
17

 
 
SCHEDULE A

 
 
Walter E. Rein
 
Vice President 
 
440 South LaSalle St.
One Financial Plaza
Chicago, Illinois 60605
         
Edwin van Keulen*
 
Vice President and Assistant Treasurer
 
1633 Broadway
New York, New York 10019
         
Sally Seebode
 
Treasurer
 
3424 Peachtree Road, NE
  – 9th Floor
Atlanta, Georgia 30326


* Citizenship – Dutch
 
 
 
18

 
 
SCHEDULE A
 
EXECUTIVE OFFICERS OF MORGAN STANLEY
PRIVATE EQUITY ASIA III, LLC

The sole member of Morgan Stanley Private Equity Asia III, L.L.C. is Morgan Stanley Private Equity Asia III, Inc.  Morgan Stanley Private Equity Asia III, L.L.C. does not have officers or directors.
 
 
 
19

 
 
SCHEDULE A

EXECUTIVE OFFICERS  OF MORGAN STANLEY
PRIVATE EQUITY ASIA III, L.P.

The general partner of Morgan Stanley Private Equity Asia III, L.P. is Morgan Stanley Private Equity Asia III, LLC.  Morgan Stanley Private Equity Asia III, L.P. does not have officers or directors.
 
 
 
20

 
 
SCHEDULE A
 
EXECUTIVE OFFICERS AND DIRECTORS OF MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III, L.P.

The general partner of Morgan Stanley Private Equity Asia Employee Investors III, L.P. is Morgan Stanley Private Equity Asia III, LLC. Morgan Stanley Private Equity Asia Employee Investors III, L.P. does not have officers or directors.
 
 
21

 
 
SCHEDULE A

EXECUTIVE OFFICERS AND DIRECTORS OF MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD

The name of the director and the names and titles of the executive officer of Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd and their principal occupations are set forth below.  The business address of each of the director or executive officer is also set forth below. Unless otherwise indicated, each individual is a United States citizen and each occupation set forth opposite an individual’s name refers to Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd.
 

Name
Title
Address
     
Alan Jones
Director
1585 Broadway
New York, New York 10036
     
Sally Seebode
Treasurer
3424 Peachtree Road, NE –
  9th Floor
Atlanta, Georgia 30326
     
Edwin van Keulen*
Treasurer
1633 Broadway
New York, NY 10019
     
Christopher H. Norris
Vice President
201 Plaza Two
Jersey City
New Jersey, 07311

*Citizenship – Dutch
 
 
 
 
22

 
 
SCHEDULE A

EXECUTIVE OFFICERS AND DIRECTORS OF MSPEA AGRICULTURE HOLDING LIMITED

The name of the director and the names and titles of the executive officer of MSPEA Agriculture Holding Limited and their principal occupations are set forth below.  The business address of each of the director or executive officer is also set below.  Unless otherwise indicated, each individual is a United States citizen and each occupation set forth opposite an individual’s name refers to MSPEA Agriculture Holding Limited.
 

Name
 
Title
 
Address
         
Alan Jones
 
Director
 
1585 Broadway
New York, New York 10036
         
Sally Seebode
 
Treasurer
 
3424 Peachtree Road, NE –
  9th  Floor
Atlanta, Georgia  30326
         
Edwin van Keulen*  
Treasurer
 
  1633 Broadway
New York, NY 10036
         
         
 
*Citizenship – Dutch
 
 
 
23

 
 
SCHEDULE B

LEGAL PROCEEDINGS

Unless the context otherwise requires, the term “Morgan Stanley” means Morgan Stanley and its consolidated subsidiaries.  Morgan Stanley & Co. Incorporated (“MS&Co.”) and Morgan Stanley Smith Barney LLC (“MSSB LLC”), referenced below, are Morgan Stanley’s primary U.S. broker-dealers.

(a) In May 2007, MS&Co. consented, without admitting or denying the findings, to a censure, the entry of an order (the “Order”) that resolved the SEC’s investigation into violations of MS&Co.’s duty to obtain the best price possible for certain retail orders for over-the-counter securities processed by Morgan Stanley’s computerized market-making system from October 24, 2001 through December 8, 2004.  Pursuant to the Order, Morgan Stanley was ordered to (1) cease and desist from committing any violations and any future violations of Section 15(c)(1)(A) of the Exchange Act, which prohibits broker-dealers from using manipulative, deceptive or fraudulent devices or contrivances to effect securities transactions, (2) pay disgorgement of $5,949,222 and pre-judgment interest thereon of $507,978 and (3) pay a civil money penalty of $1.5 million.  Morgan Stanley also agreed to retain an independent distribution consultant to develop and implement a distribution plan for the disgorgement ordered, and to retain an independent compliance consultant to conduct a comprehensive review and provide a report on its automated retail order handling practices.

(b) On September 27, 2007, the Financial Industry Regulatory Authority (“FINRA”) announced that Morgan Stanley entered into a Letter of Acceptance, Waiver and Consent (the “AWC”) to resolve charges filed by FINRA on December 19, 2006.  In the AWC, FINRA found that, among other things, Morgan Stanley provided inaccurate information regarding the existence of pre-September 11, 2001 emails and failed to provide such emails to arbitration claimants and regulators in response to discovery obligations and regulatory inquiries, failed adequately to preserve books and records, and failed to establish and maintain systems and written procedures reasonably designed to preserve required records and to ensure that it conducted adequate searches in response to regulatory inquiries and discovery requests.  The AWC also included findings that Morgan Stanley failed to provide arbitration claimants with updates to a supervisory manual when called for in discovery.  FINRA found that Morgan Stanley violated Section 17(a) of the Securities Exchange Act of 1934, Rule 17a-4 thereunder, NASD Conduct Rules 2110, 3010 (a) and (b) and 3110, NASD Procedural Rule 8210 and Interpretative Material 10100 under the NASD Code of Arbitration Procedure.  In the settlement, Morgan Stanley neither admitted nor denied these findings.  The settlement established a $9.5 million fund for the benefit of potentially affected arbitration claimants to be administered by a third party at the expense of Morgan Stanley.  In addition, Morgan Stanley was censured and agreed to pay a $3 million regulatory fine and to retain an independent consultant to review its procedures for complying with discovery requirements in arbitration proceedings relating to Morgan Stanley’s retail brokerage operations.
 
 
24

 
 
SCHEDULE B
 
(c) Starting in July 2003, Morgan Stanley received subpoenas and requests for information from various regulatory and governmental agencies, including the SEC, the NYSE and various states, in connection with industry-wide investigations of broker-dealers and mutual fund complexes relating to possible late trading and market timing of mutual funds. In December 2007, Morgan Stanley settled all claims with the SEC concerning late trading and market timing of mutual funds in the retail system over the period from January 2002 to August 2003.  Under the terms of the settlement, Morgan Stanley will, among other things, be censured and pay a monetary fine.

(d) On September 30, 2009, Morgan Stanley entered into an administrative settlement agreement with the U.S. Environmental Protection Agency (“EPA”) to resolve certain violations of the U.S. environmental laws allegedly committed by Morgan Stanley during 2005.  These alleged violations included: distribution of approximately 2.7 million gallons of reformulated gasoline that failed to comply with maximum benzene content limitations; failure to report volume and property information for each batch of gasoline blendstock imported and reformulated gasoline produced; failure to conduct an annual attest engagement; and failure to provide product transfer documents for each transfer of reformulated gasoline and each batch of previously certified gasoline.  Without admitting or denying the EPA’s allegations, Morgan Stanley agreed to resolve these matters for a civil penalty of $405,000.

(e) On June 24, 2010, Morgan Stanley and the Office of the Attorney General for the Commonwealth of Massachusetts (“Massachusetts OAG”) entered into an Assurance of Discontinuance (“AOD”) to resolve the Massachusetts OAG’s investigation of Morgan Stanley’s financing, purchase and securitization of certain subprime residential mortgages. The AOD provides for Morgan Stanley to make payments totaling approximately $102.7 million, and for Morgan Stanley to use its best efforts to implement certain business practices related to such activities on a prospective basis.
  
In addition, MS&Co. has been involved in a number of civil proceedings and regulatory actions which concern matters arising in connection with the conduct of its business.  Certain of such proceedings have resulted in findings of violation of federal or state securities laws.   Such proceedings are reported and summarized in the MS&Co. Form BD filed with the SEC, which descriptions are hereby incorporated by reference.  The MSSB LLC Form BD filed with the SEC is also hereby incorporated by reference.
 
 
25

 
 
SCHEDULE C
 
TRANSACTIONS IN THE COMMON STOCK OF THE ISSUER
DURING THE PAST 60 DAYS

The following table sets forth transactions in shares of Common Stock of the Issuer by MSPEA whose beneficial ownership is aggregated with that of the other Reporting Persons for purposes of this Amendment.  Except as noted below, all of the transactions were effected in the ordinary course of business as principal, in the open market on the NASDAQ Stock Exchange and other exchanges.
 
Trade Date
Purchase (P)/
Sale (S)
Price
Quantity
08/29/2011
P
$4.688
132,686
08/30/2011
P
$4.7622
172,082
08/31/2011
P
$4.9559
171,096
09/01/2011
P
$5.2088
42,760
09/02/2011
P
$5.4149
307,069
 
 
 
 
 
 
26

 
 
 
 
SIGNATURES
 
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this Amendment is true, complete and correct.
 
Dated: September 6, 2011

 
MORGAN STANLEY
 
       
       
By:
/s/ Dennine Bullard  
 
Name:
Dennine Bullard
 
 
Title:
Authorized Signatory
 
       
       
MS HOLDINGS INCORPORATED
 
       
By:
/s/ Harvey Bertram Mogenson
 
 
Name:
Harvey Bertram Mogenson
 
 
Title:
Director/President
 
       
       
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC.
 
       
By:
/s/ Alan K. Jones
 
 
Name:
Alan K. Jones
 
 
Title:
President
 
       
       
MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C.
 
       
By:
Morgan Stanley Private Equity Asia III, Inc., its sole member
 
     
By:
/s/ Alan K. Jones
 
 
Name:
Alan K. Jones
 
 
Title:
President
 
       
 
 
Signature Page
 
 

 
 
       
MORGAN STANLEY PRIVATE EQUITY ASIA III, L.P.
 
       
By:
Morgan Stanley Private Equity Asia III, L.L.C., its general partner
 
     
By:
Morgan Stanley Private Equity Asia III, Inc., its sole member
 
     
By:
/s/ Alan K. Jones
 
 
Name:
Alan K. Jones
 
 
Title:
President
 
       
       
MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III, L.P.
 
       
By:
Morgan Stanley Private Equity Asia III, L.L.C., its general partner
 
     
By:
Morgan Stanley Private Equity Asia III, Inc., its sole member
 
     
By:
/s/ Alan K. Jones
 
 
Name:
Alan K. Jones
 
 
Title:
President
 
       
       
MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD
 
       
By:
/s/ Alan K. Jones
 
 
Name:
Alan K. Jones
 
 
Title:
Sole Director
 
       
       
MSPEA AGRICULTURE HOLDING LIMITED
 
       
By:
/s/ Alan K. Jones
 
 
Name:
Alan K. Jones
 
 
Title:
Sole Director
 

 
Signature Page
 
 
 

 


 
EXHIBIT INDEX
 
Exhibit 99.1
Joint Filing Agreement by and between MS Parent, MS Holdings, MS Inc, MS LLC, MS LP, MS Employee, MSPEA Holdings and MSPEA, dated  September 6, 2011
 


 

 
 

EX-99.1 2 eh1100643_ex9901.htm EXHIBIT 99.1 eh1100643_ex9901.htm
EXHIBIT 99.1
 
JOINT FILING AGREEMENT
 
In accordance with Rule 13d−1(k)(l) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing, along with all other such undersigned, on behalf of the Reporting Persons (as defined in the joint filing), of a statement on Schedule 13D (including amendments thereto) with respect to the common stock, par value $0.001, of the Issuer (as defined in the attached Schedule 13D or an amendment to Schedule 13D), and agrees that this agreement be included as an Exhibit to such joint filing.  This agreement may be executed in any number of counterparts, all of which taken together shall constitute one and the same instrument.
 
[Signature Page Follows]
 
 
 

 

 
IN WITNESS WHEREOF, each of the undersigned has executed this Joint Filing Agreement as of this 6th day of September, 2011.
 
MORGAN STANLEY
 
       
       
By:
/s/ Dennine Bullard  
 
Name:
Dennine Bullard
 
 
Title:
Authorized Signatory
 
       
       
MS HOLDINGS INCORPORATED
 
       
By:
/s/ Harvey Bertram Mogenson
 
 
Name:
Harvey Bertram Mogenson
 
 
Title:
Director/President
 
       
       
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC.
 
       
By:
/s/ Alan K. Jones
 
 
Name:
Alan K. Jones
 
 
Title:
President
 
       
       
MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C.
 
       
By:
Morgan Stanley Private Equity Asia III, Inc., its sole member
 
     
By:
/s/ Alan K. Jones
 
 
Name:
Alan K. Jones
 
 
Title:
President
 
       
 
 
Signature Page
 
 

 
 
 
       
MORGAN STANLEY PRIVATE EQUITY ASIA III, L.P.
 
       
By:
Morgan Stanley Private Equity Asia III, L.L.C., its general partner
 
     
By:
Morgan Stanley Private Equity Asia III, Inc., its sole member
 
     
By:
/s/ Alan K. Jones
 
 
Name:
Alan K. Jones
 
 
Title:
President
 
       
       
MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III, L.P.
 
       
By:
Morgan Stanley Private Equity Asia III, L.L.C., its general partner
 
     
By:
Morgan Stanley Private Equity Asia III, Inc., its sole member
 
     
By:
/s/ Alan K. Jones
 
 
Name:
Alan K. Jones
 
 
Title:
President
 
       
       
MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD
 
       
By:
/s/ Alan K. Jones
 
 
Name:
Alan K. Jones
 
 
Title:
Sole Director
 
       
       
MSPEA AGRICULTURE HOLDING LIMITED
 
       
By:
/s/ Alan K. Jones
 
 
Name:
Alan K. Jones
 
 
Title:
Sole Director
 
 
 
Signature Page