0000950142-14-001523.txt : 20140707 0000950142-14-001523.hdr.sgml : 20140707 20140707112903 ACCESSION NUMBER: 0000950142-14-001523 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20140707 DATE AS OF CHANGE: 20140707 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 INC GROUP MEMBERS: MSPEA AGRICULTURE HOLDING LTD 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: 14962379 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 eh1400884_13da12-yongye.htm AMENDMENT NO. 12 eh1400884_13da12-yongye.htm




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

 
SCHEDULE 13D
(Rule 13d-1 and Rule 13d-2)
 
(Amendment No. 12)
 
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)
 
Marco Chung
Morgan Stanley
Level 46, International Commerce Centre
1 Austin Road West, Kowloon
Hong Kong
+(852) 2848-5200

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)
 

 
July 3, 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 Rule 13d-1(e), Rule 13d-1(f) or Rule 13d-1(g), check the following box  [  ].
 
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) 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 PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
MORGAN STANLEY
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  x
(b)  o
3
SEC USE ONLY
 
 
 
4
SOURCE OF FUNDS
 
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
 
-0-
9
SOLE DISPOSITIVE POWER
 
-0-
10
SHARED DISPOSITIVE POWER
 
-0-
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
-0-
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
 
 
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
0%
 
14
TYPE OF REPORTING PERSON
 
HC, CO
 
 
 
 
 
 
 

 
 
CUSIP No. 98607B106
 
SC 13D
Page 3 

 
1
NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
MS HOLDINGS INCORPORATED
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  x
(b)  o
3
SEC USE ONLY
 
 
 
4
SOURCE OF FUNDS
 
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
 
-0-
9
SOLE DISPOSITIVE POWER
 
-0-
10
SHARED DISPOSITIVE POWER
 
-0-
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
-0-
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
 
 
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
0%
 
14
TYPE OF REPORTING PERSON
 
HC, CO
 
 
 
 
 

 
 
 
CUSIP No. 98607B106
 
SC 13D
Page 4 

 
1
NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC.
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  x
(b)  o
3
SEC USE ONLY
 
 
 
4
SOURCE OF FUNDS
 
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
 
-0-
9
SOLE DISPOSITIVE POWER
 
-0-
10
SHARED DISPOSITIVE POWER
 
-0-
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
-0-
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
 
 
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
0%
 
14
TYPE OF REPORTING PERSON
 
HC, CO
 
 
 
 
 
 

 
 
 
CUSIP No. 98607B106
 
SC 13D
Page 5 

 
1
NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C.
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  x
(b)  o
3
SEC USE ONLY
 
 
 
4
SOURCE OF FUNDS
 
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
 
-0-
9
SOLE DISPOSITIVE POWER
 
-0-
10
SHARED DISPOSITIVE POWER
 
-0-
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
-0-
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
 
 
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
0%
 
14
TYPE OF REPORTING PERSON
 
OO
 
 
 
 
 
 

 
 
 
CUSIP No. 98607B106
 
SC 13D
Page 6 

 
1
NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
MORGAN STANLEY PRIVATE EQUITY ASIA III, L.P.
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  x
(b)  o
3
SEC USE ONLY
 
 
 
4
SOURCE OF FUNDS
 
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
 
-0-
9
SOLE DISPOSITIVE POWER
 
-0-
10
SHARED DISPOSITIVE POWER
 
-0-
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
-0-
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
 
 
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
0%
 
14
TYPE OF REPORTING PERSON
 
PN
 
 
 
 
 
 

 
 
 
CUSIP No. 98607B106
 
SC 13D
Page 7 

 
1
NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III, L.P.
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  x
(b)  o
3
SEC USE ONLY
 
 
 
4
SOURCE OF FUNDS
 
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
 
-0-
9
SOLE DISPOSITIVE POWER
 
-0-
10
SHARED DISPOSITIVE POWER
 
-0-
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
-0-
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
 
 
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
0%
 
14
TYPE OF REPORTING PERSON
 
PN
 
 
 
 
 
 

 
 
 
CUSIP No. 98607B106
 
SC 13D
Page 8 

 
1
NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  x
(b)  o
3
SEC USE ONLY
 
 
 
4
SOURCE OF FUNDS
 
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
 
-0-
9
SOLE DISPOSITIVE POWER
 
-0-
10
SHARED DISPOSITIVE POWER
 
-0-
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
-0-
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
 
 
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
0%
 
14
TYPE OF REPORTING PERSON
 
OO
 
 
 
 
 
 

 
 
 
CUSIP No. 98607B106
 
SC 13D
Page 9 

 
1
NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
MSPEA AGRICULTURE HOLDING LIMITED
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  x
(b)  o
3
SEC USE ONLY
 
 
 
4
SOURCE OF FUNDS
 
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
 
-0-
9
SOLE DISPOSITIVE POWER
 
-0-
10
SHARED DISPOSITIVE POWER
 
-0-
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
-0-
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
 
 
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
0%
 
14
TYPE OF REPORTING PERSON
 
OO
 
 
 
 
 
 

 
 
CUSIP No. 98607B106
 
SC 13D
Page 10  


TABLE OF CONTENTS
 
Item 2. Identity and Background
 
Item 4. Purpose of the Transaction

Item 5. Interest in Securities of the Issuer

Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer
 
Item 7. Material to be Filed as Exhibits
 
SCHEDULES
A
B

 
SIGNATURES

 

 
 

 
 
CUSIP No. 98607B106
 
SC 13D
Page 11 
 
INTRODUCTORY NOTE
 
The following constitutes Amendment No. 12 (this “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, Amendment No. 2 to the Schedule 13D filed on September 7, 2011, Amendment No. 3 to the Schedule 13D filed on September 9, 2011, Amendment No. 4 to the Schedule 13D filed on October 16, 2012, Amendment No. 5 to the Schedule 13D filed on December 28, 2012, Amendment No. 6 to the Schedule 13D filed on May 17, 2013, Amendment No. 7 to the Schedule 13D filed on September 25, 2013, Amendment No.8 to the Schedule 13D filed on October 16, 2013, Amendment No.9 to the Schedule 13D filed on November 26, 2013, Amendment No.10 to the Schedule 13D filed on March 26, 2014 and Amendment No.11 to the Schedule 13D filed on April 10, 2014 (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”). The Reporting Persons have entered into a joint filing agreement, dated as of July 7, 2014, 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.
 
Item 4. Purpose of the Transaction.

Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following at the end thereof:

On June 6, 2014, the Company held a special meeting of stockholders (the “Special Meeting”) at Jinshan Economic Development Zone, Hohhot City, Inner Mongolia, the People’s Republic of China. At the Special Meeting, the Company’s stockholders voted to adopt the previously disclosed Merger Agreement, as amended by Merger Agreement Amendment No. 1, by and among the Company, Full Alliance, Parent and Merger Sub, providing for the merger of Merger Sub with and into the Company (the “Merger”), with the Company surviving the Merger as a wholly owned subsidiary of Parent.

 
 
 

 
 
CUSIP No. 98607B106
 
SC 13D
Page 12 
 

On July 3, 2014, pursuant to the terms of the Merger Agreement, Merger Sub merged with and into the Company, with the Company surviving the Merger as a wholly owned subsidiary of Parent. At the effective time of the Merger (the “Effective Time”), each share of Common Stock issued and outstanding immediately prior to the Effective Time (other than certain excluded shares of Common Stock including, without limitation, the Rollover Shares (as defined below)) was cancelled and ceased to exist in exchange for the right to receive US$7.10 in cash without interest and net of any applicable withholding taxes.

Pursuant to the terms of the previously disclosed Contribution Agreement and the Amendment to the Contribution Agreement, the Rollover Holders contributed to Parent an aggregate of 12,370,747 shares of Common Stock and 6,505,113 shares of Series A Convertible Preferred Stock (collectively, the “Rollover Shares”) in connection with the closing of the Merger, and Full Alliance issued to the Rollover Holders 555,000 ordinary shares, 11,017,908 preferred shares, and an option to purchase 2,030,000 ordinary shares, in each case, of Full Alliance, which owns 100% of the equity interests of Parent.

Upon the consummation of the Merger, the Company became a wholly-owned subsidiary of Parent  with 10,000 shares of common stock outstanding (solely owned by Parent) and the separate corporate existence of Merger Sub ceased.  As a result of the Merger, the Common Stock ceased to trade on The NASDAQ Global Select Market (“NASDAQ”) and the Company became eligible for delisting from NASDAQ and termination of registration pursuant to Rules 12g-4(a)(1) and 12h-3(b)(1)(i) of the Securities Exchange Act of 1934, as amended.
 
Item 5. Interest in Securities of the Issuer.

Item 5 of the Schedule 13D is hereby amended and restated in its entirety as follows:

(a) and (b). As of the date of this Amendment, none of the Reporting Persons has beneficial ownership of any securities of the Company.

(c). Except as described herein, none of the Reporting Persons has effected any transaction in the Company’s common stock during the past 60 days.

(d). Not applicable.

(e). As described above, the Reporting Persons ceased to beneficially own any shares of the Company’s common stock on July 3, 2014.

Item 6. Contracts, Arrangements, Undertakings or Relationships with respect to the Securities of the Issuer.

Item 6 of the Schedule 13D is hereby amended and supplemented by adding the following at the end thereof:

The descriptions in Item 4 herein of the Merger Agreement, the Merger Agreement Amendment No. 1, the Contribution Agreement and the Amendment to the Contribution Agreement are incorporated herein by reference and are qualified in their entirety by the full text of the Merger Agreement, which was filed as Exhibit 99.2 of Amendment No. 7 to the Schedule 13D filed on September 25, 2013, the Merger Agreement Amendment No. 1, which was filed as Exhibit 99.2 of Amendment No.11 to the Schedule 13D filed on April 10, 2014, the Contribution Agreement, which was filed as Exhibit 99.8 of Amendment No. 7 to the Schedule 13D filed on September 25, 2013 and the Amendment to the Contribution Agreement, which was filed as Exhibit 99.2 of Amendment No.9 to the Schedule 13D filed on November 26, 2013.
 
 
 
 

 
 
CUSIP No. 98607B106
 
SC 13D
Page 13 
 
 
Item 7.   Materials 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 July 7, 2014
   

 
 
 
 
 
 

 
 
 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.

Name
 
Title
 
Citizenship
         
*James P. Gorman
 
Chairman of the Board and Chief Executive Officer, Morgan Stanley
 
Australia and United States
         
*Erskine B. Bowles
 
Director
 
United States
         
*Howard J. Davies
 
Professor, SciencesPo
 
England
         
*Thomas H. Glocer
 
Director
 
United States
         
*Robert H. Herz
 
President, Robert H. Herz LLC
 
United States
         
*C. Robert Kidder
 
Director
 
United States
         
*Klaus Kleinfeld
 
Chairman and Chief Executive Officer of Alcoa Inc.
 
Germany
         
*Donald T. Nicolaisen
 
Director
 
United States
         
*Hutham S. Olayan
 
President, Chief Executive Officer of The Olayan Group’s U.S. operations
 
United States
         
*James W. Owens
 
Director
 
United States
         
*O. Griffith Sexton
 
Director
 
United States
         
*Ryosuke Tamakoshi
 
Senior Advisor to The Bank of Tokyo-Mitsubishi UFJ, Ltd.
 
Japan
         
*Masaaki Tanaka
 
Representative Director and Deputy President of Mitsubishi UFJ Financial Group, Inc.
 
Japan
         
*Laura D’Andrea Tyson
 
Professor of Business Administration and Economics at the Walter A. Haas School of Business at the University of California, Berkeley
 
United States
         
*Rayford Wilkins, Jr.
 
Director
 
United States
         
Gregory J. Fleming
 
Executive Vice President, President of Morgan Stanley Wealth Management and President of Investment Management
 
United States
         
Eric F. Grossman
 
Executive Vice President and Chief Legal Officer
 
United States
         
Keishi Hotsuki
 
Chief Risk Officer and Executive Vice President
 
Japan
         
Colm Kelleher
 
Executive Vice President and President of Institutional Securities
 
England and Ireland
         
**Ruth Porat
 
Executive Vice President and Chief Financial Officer
 
England and United States
         
James A. Rosenthal
 
Executive Vice President and Chief Operating Officer
 
United States
 
* Director
** Dual citizenship - American and British
 
 
 

 
 
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
1633 Broadway, New York, NY 10019 United States
     
Edmond Moriarty
 
Director
1585 Broadway, New York, NY 10036, United States
     
Kevin Klingert
 
Director
522 Fifth Avenue, New York, NY 10036, United States
     
Louis A. Palladino, Jr.
 
 
Vice President
1633 Broadway, New York, NY 10019 United States
     
Noel C. Langlois
 
 
Vice President
100 Front Street, West Conshohocken, PA 19428, United States
     
Arthur J. Lev
 
 
Director and Vice President
522 Fifth Avenue, New York, NY 10036, United States
     
*Christina Huffman
 
 
Vice President
1221 Avenue of the Americas
New York, NY, 10020, United States
     
Jason Koenig
 
 
Vice President
1221 Avenue of the Americas
New York, NY, 10020, United States
     
Scott William Moss
 
 
Vice President
1221 Avenue of the Americas
New York, NY, 10020, United States
     
Ella D. Cohen
 
 
Vice President
522 Fifth Avenue, New York, NY 10036, United States
     
Craig Krasinski
 
 
Vice President
100 Front Street, West Conshohocken, PA 19428, United States
     
Matthew Paul Martin
 
 
Vice President
522 Fifth Avenue, New York, NY 10036, United States
     
Sheri Lynn Schreck
 
Vice President
522 Fifth Avenue, New York, NY 10036, United States
     
Jyoti J. Mandalia
 
Treasurer
750 Seventh Avenue, New York, NY 10019, United States
 
* Dual citizenship - American and British
 
 
 

 
 
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, Assistant Treasurer and Vice President
 
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
         
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
         
*Edwin van Keulen
 
Vice President and Assistant Treasurer
 
1633 Broadway
New York, New York 10019
         
Michael A. Henry
 
 
Chief Compliance Officer and Vice President
 
 
1221 Avenue of the Americas
New York, New York 10020
         
Samantha Jennifer Cooper
 
 
Vice President
 
 
1585 Broadway
New York, New York 10036
         
Scott William Moss
 
 
Vice President and Assistant Secretary
 
 
1221 Avenue of the Americas
New York, New York 10020
         
Christopher H. Norris
 
 
Vice President
 
 
1585 Broadway
New York, New York 10036
         
Karen A. Cassidy
 
 
Treasurer
 
750 Seventh Avenue
New York 10019
         
Robert John Creaney
 
Vice President and Assistant Treasurer
 
440 South LaSalle St.
One Financial Plaza
Chicago, Illinois 60605
         
Lisa M. Pariot
 
Vice President
 
1585 Broadway
New York, New York 10036
 
* Citizenship - Dutch
 
 
 
 

 
 
 
EXECUTIVE OFFICERS OF MORGAN STANLEY
PRIVATE EQUITY ASIA III, LLC
 
The managing 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.
 
 
 
 
 
 
 
 

 
 
 
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
 
 
 
 
 

 
 
 
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.
 
 
 
 
 
 

 
 
 
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
     
Samantha Jennifer Cooper
 
Director
1585 Broadway
New York, New York 10036
     
Karen A. Cassidy
Treasurer
750 Seventh Avenue, NY 10019
     
Edwin van Keulen*
Treasurer
1633 Broadway
New York, NY 10019
     
Christopher H. Norris
Vice President
1585 Broadway
New York, New York 10036

*Citizenship - Dutch
 
 
 
 

 
 
 
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 K. Jones
 
Director
 
1585 Broadway
New York, New York 10036
         
Samantha Jennifer Cooper
 
 
Director
 
1585 Broadway
New York, New York 10036
         
Choi Sung Min
 
 
Director
 
HungKuk Life Insurance Building
226 Shinmun-ro 1-Ga, Chongro-Ku
Seoul 110-061, Republic of Korea
         
Karen A. Cassidy
 
Treasurer
 
750 Seventh Avenue, NY 10019
         
Edwin van Keulen*
 
Treasurer
 
 
1633 Broadway
New York, NY 10036

*Citizenship - Dutch

 
 

 
 
 

 
 
SCHEDULE B
 
LEGAL PROCEEDINGS

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

(a) 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.

(b) 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 the Issuer’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.
 
 
 
 
 
 

 
 
 
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:  July 7, 2014.
 
 
MORGAN STANLEY
 
       
 
By:
/s/ Christina Huffman
 
   
Name: Christina Huffman
 
   
Title: Authorized Signatory
 
       
       
 
MS HOLDINGS INCORPORATED
 
       
 
By:
 /s/ Christina Huffman  
   
Name: Christina Huffman
 
   
Title:  Vice President
 
       
       
 
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC.
 
       
 
By:
/s/ Samantha Jennifer Cooper
 
   
Name: Samantha Jennifer Cooper
 
   
Title:  Vice President
 
       
       
 
MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C.
 
       
  By: Morgan Stanley Private Equity Asia III, Inc., its managing member  
       
 
By:
/s/ Samantha Jennifer Cooper
 
   
Name: Samantha Jennifer Cooper
 
   
Title:  Vice President
 
       
       
 
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 managing  member
 
       
 
By:
/s/ Samantha Jennifer Cooper
 
   
Name: Samantha Jennifer Cooper
 
   
Title:  Vice 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 managing member
 
       
 
By:
/s/ Samantha Jennifer Cooper
 
   
Name: Samantha Jennifer Cooper
 
   
Title:  Vice President
 
       
       
 
MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD
 
       
 
By:
/s/ Samantha Jennifer Cooper
 
   
Name: Samantha Jennifer Cooper
 
   
Title: Sole Director
 
       
       
 
MSPEA AGRICULTURE HOLDING LIMITED
 
       
 
By:
/s/ Samantha Jennifer Cooper
 
   
Name: Samantha Jennifer Cooper
 
   
Title: Director
 

 
 

 

EXHIBIT INDEX
 
 
 
 
 

 
EX-99.1 2 eh1400884_ex9901.htm EXHIBIT 99.1 eh1400884_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 7th  day of July, 2014.
 
 
 
MORGAN STANLEY
 
       
 
By:
/s/ Christina Huffman
 
   
Name: Christina Huffman
 
   
Title: Authorized Signatory
 
       
       
 
MS HOLDINGS INCORPORATED
 
       
 
By:
 /s/ Christina Huffman  
   
Name: Christina Huffman
 
   
Title:  Vice President
 
       
       
 
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC.
 
       
 
By:
/s/ Samantha Jennifer Cooper
 
   
Name: Samantha Jennifer Cooper
 
   
Title:  Vice President
 
       
       
 
MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C.
 
       
  By: Morgan Stanley Private Equity Asia III, Inc., its managing member  
       
 
By:
/s/ Samantha Jennifer Cooper
 
   
Name: Samantha Jennifer Cooper
 
   
Title:  Vice President
 
       
       
 
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 managing member
 
       
 
By:
/s/ Samantha Jennifer Cooper
 
   
Name: Samantha Jennifer Cooper
 
   
Title: Vice 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 managing member
 
       
 
By:
/s/ Samantha Jennifer Cooper
 
   
Name: Samantha Jennifer Cooper
 
   
Title:  Vice President
 
       
       
 
MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD
 
       
 
By:
/s/ Samantha Jennifer Cooper
 
   
Name: Samantha Jennifer Cooper
 
   
Title: Sole Director
 
       
       
 
MSPEA AGRICULTURE HOLDING LIMITED
 
       
 
By:
/s/ Samantha Jennifer Cooper
 
   
Name: Samantha Jennifer Cooper
 
   
Title: Director