-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JD+QycNsJWkc3etZ6gq6DdiyWqB5y2CszYi6MPgHufHs5BF30D5NWjY8iMYjEvwr D8lJ6S48IgWfpCAg9rJGkQ== 0000950123-02-001355.txt : 20020414 0000950123-02-001355.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950123-02-001355 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20020212 GROUP MEMBERS: ALLIANZ AG GROUP MEMBERS: DRESDNER BANK AG GROUP MEMBERS: DRESDNER INVESTMENTS (UK) LIMITED GROUP MEMBERS: DRESDNER KLEINWORT CAPITAL LLC GROUP MEMBERS: DRESDNER KLEINWORT HOLDINGS INC GROUP MEMBERS: DRESDNER KLEINWORT WASSERSTEIN GROUP LIMITED GROUP MEMBERS: DRESDNER KLEINWORT WASSERSTEIN LIMITED GROUP MEMBERS: INVERESK STOCKHOLDERS LTD. GROUP MEMBERS: KLEINWORT BENSON (USA) INC GROUP MEMBERS: ZENON BETEILIGUNGSGESELLSCHAFT MBH SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GARDENBURGER INC CENTRAL INDEX KEY: 0000859735 STANDARD INDUSTRIAL CLASSIFICATION: CANNED, FROZEN & PRESERVED FRUIT, VEG & FOOD SPECIALTIES [2030] IRS NUMBER: 930886359 STATE OF INCORPORATION: OR FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-44004 FILM NUMBER: 02537940 BUSINESS ADDRESS: STREET 1: 1411 SW MORRISON ST STREET 2: STE 400 CITY: PORTLAND STATE: OR ZIP: 97205 BUSINESS PHONE: 5032051500 MAIL ADDRESS: STREET 1: 1411 SW MORRISON STE 400 CITY: PORTLAND STATE: OR ZIP: 97205 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DRESDNER KLEINWORT BENSON PRIVATE EQUITY PARTNERS LP CENTRAL INDEX KEY: 0001059086 IRS NUMBER: 133949246 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 75 WALL STREET CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2124292100 MAIL ADDRESS: STREET 1: 75 WALL STREET CITY: NEW YORK STATE: NY ZIP: 10005 SC 13D 1 y57411sc13d.txt SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ___) Gardenburger, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 365476 10 0 (CUSIP Number) Alexander P. Coleman 75 Wall Street New York, NY 10005 212-429-2100 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) COPY TO: Eunu Chun, Esq. Kirkland & Ellis Citigroup Center 153 East 53rd Street New York, NY 10022-4675 January 10, 2002 (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 Rule 13d-7(b) for other parties to whom copies are to be sent. 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 (the "Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act. Page 1 of 19 Pages CUSIP No. 365476 10 0 13D Page 2 of 19 Pages [Repeat following page as necessary] - ------------------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS / I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Dresdner Kleinwort Benson Private Equity Partners LP 13-3949246 - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------------------------------------------------------------------------ 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) [ ] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES None --------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,445,574 --------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING None --------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 2,445,574 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,445,574 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.7% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* PN - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS CUSIP No. 365476 10 0 13D Page 3 of 19 Pages [Repeat following page as necessary] - ------------------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS / I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Dresdner Kleinwort Capital LLC - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------------------------------------------------------------------------ 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) [ ] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES None --------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,445,574 --------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING None --------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 2,445,574 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,445,574 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.7% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* OO - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS CUSIP No. 365476 10 0 13D Page 4 of 19 Pages [Repeat following page as necessary] - ------------------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS / I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Kleinwort Benson (USA) Inc. - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------------------------------------------------------------------------ 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) [ ] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES None --------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,445,574 --------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING None --------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 2,445,574 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,445,574 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.7% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* CO - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS CUSIP No. 365476 10 0 13D Page 5 of 19 Pages [Repeat following page as necessary] - ------------------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS / I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Dresdner Kleinwort Holdings Inc. - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------------------------------------------------------------------------ 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) [ ] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES None --------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,445,574 --------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING None --------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 2,445,574 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,445,574 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.7% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* CO, HC - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS CUSIP No. 365476 10 0 13D Page 6 of 19 Pages [Repeat following page as necessary] - ------------------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS / I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Inveresk Stockholders Ltd. - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------------------------------------------------------------------------ 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) [ ] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION United Kingdom - Scotland - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES None --------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,445,574 --------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING None --------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 2,445,574 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,445,574 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.7% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* OO, HC - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS CUSIP No. 365476 10 0 13D Page 7 of 19 Pages [Repeat following page as necessary] - ------------------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS / I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Dresdner Kleinwort Wasserstein Limited - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------------------------------------------------------------------------ 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) [ ] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION United Kingdom - England and Wales - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES None --------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,445,574 --------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING None --------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 2,445,574 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,445,574 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.7% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* HC - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS CUSIP No. 365476 10 0 13D Page 8 of 19 Pages [Repeat following page as necessary] - ------------------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS / I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Dresdner Kleinwort Wasserstein Group Limited - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------------------------------------------------------------------------ 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) [ ] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION United Kingdom - England and Wales - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES None --------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,445,574 --------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING None --------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 2,445,574 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,445,574 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.7% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* OO, HC - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS CUSIP No. 365476 10 0 13D Page 9 of 19 Pages [Repeat following page as necessary] - ------------------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS / I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Dresdner Investments (UK) Limited - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------------------------------------------------------------------------ 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) [ ] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION United Kingdom - England and Wales - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES None --------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,445,574 --------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING None --------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 2,445,574 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,445,574 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.7% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* OO, HC - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS CUSIP No. 365476 10 0 13D Page 10 of 19 Pages [Repeat following page as necessary] - ------------------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS / I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Zenon Beteiligungsgesellschaft mbH - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------------------------------------------------------------------------ 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) [ ] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Germany - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES None --------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,445,574 --------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING None --------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 2,445,574 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,445,574 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.7% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* OO, HC - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS CUSIP No. 365476 10 0 13D Page 11 of 19 Pages [Repeat following page as necessary] - ------------------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS / I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Dresdner Bank AG - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------------------------------------------------------------------------ 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) [ ] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Germany - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES None --------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,445,574 --------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING None --------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 2,445,574 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,445,574 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.7% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* OO, BK, BD - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS CUSIP No. 365476 10 0 13D Page 12 of 19 Pages [Repeat following page as necessary] - ------------------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS / I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Allianz AG - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------------------------------------------------------------------------ 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) [ ] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Germany - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES None --------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,445,574 --------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING None --------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 2,445,574 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,445,574 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.7% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* OO, HC - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS ITEM 1. SECURITY AND ISSUER. The class of equity security to which this statement relates is the common stock, no par value per share (the "Common Stock"), of Gardenburger, Inc., an Oregon corporation (the "Issuer"). The name and address of the principal executive offices of the Issuer are 1411 S.W. Morrison Street, Portland Oregon, 07205. ITEM 2. IDENTITY AND BACKGROUND. This statement is being filed by Dresdner Kleinwort Benson Private Equity Partners LP ("DKBPEP") and by each of the entities listed on Schedule A attached hereto (collectively, the "Reporting Persons") pursuant to Rule 13d-1(k) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). (a)-(c) and (f) DKBPEP is principally engaged in the business of making private equity investments in the United States. DKBPEP is a Delaware limited partnership. The address of the principal business office of DKBPEP is 75 Wall Street, New York, NY 10005. Dresdner Kleinwort Capital LLC ("Dresdner LLC") is a Delaware limited liability company. Dresdner LLC is the sole general partner of DKBPEP and its principal office is located at the same address as DKBPEP. Dresdner LLC as General Partner of DKBPEP has the power to direct the affairs of DKBPEP. Kleinwort Benson (USA) Inc., a Delaware corporation, whose principal office is located at the same address as DKBPEP, owns 90% of the membership interests of Dresdner LLC. Kleinwort Benson (USA) Inc. is a wholly-owned subsidiary of Dresdner Kleinwort Holdings Inc., a Delaware corporation, whose principal office is located at the same address as DKBPEP. Dresdner Kleinwort Holdings Inc. is a wholly-owned subsidiary of Inveresk Stockholders Ltd. ("Inveresk"), a United Kingdom corporation, whose principal office is located at 20 Fenchurch Street, London EC3P 3DB. Inveresk is a wholly-owned subsidiary of Dresdner Kleinwort Wasserstein Limited, a United Kingdom corporation, whose address is the same as that of Inveresk. Dresdner Kleinwort Wasserstein Limited is wholly-owned by Dresdner Kleinwort Wasserstein Group Limited which is wholly-owned by Dresdner Investments (UK) Limited, each of which is a United Kingdom corporation and whose principal office is located at the same address as Inveresk. Dresdner Investments (UK) Limited is wholly owned by Zenon Beteiligungsgesellschaft mbH ("Zenon"), a German corporation with its principal offices located at Juergen-Ponto-Platz 1, D-60301 Frankfurt am Main, Germany. Zenon is wholly-owned by Dresdner Bank AG, a German corporation with its principal office at the same address as Zenon. Dresdner Bank AG is owned by Allianz AG, a German publicly traded corporation with its principal office at Koeniginstrasse 28, D-80802, Muenchen, Germany. Set forth in Schedule A hereto and incorporated herein by reference are the names, business addresses, principal occupations and employments and citizenship of each director and executive officer of each of the companies described above. Insofar as the requirements of Items 3-6 inclusive of this Schedule 13D Statement require that, in addition to DKBPEP, the information called for therein should be given with respect to each of the persons listed in this Item 2, including the directors and executive officers thereof, the information provided in Items 3-6 with respect to DKBPEP should also be considered fully responsive with respect to the aforementioned persons who have no separate interests in the Issuer's Common Stock which is required to be reported thereunder. The Reporting Persons may be deemed to be members of a group within the meaning of Section 13(d)(3) of the Exchange Act, with Paul F. Wenner, the Chief Creative Officer and a Director of the Issuer, and Lyle G. Hubbard, a former President, Chief Executive Officer and Director of the Issuer pursuant to the Note Purchase Agreement described in Item 6 of this Schedule 13D. The Reporting Persons disclaim beneficial ownership of any securities issued by the Issuer (including the Common Stock) which are owned by Paul F. Wenner and/or Lyle G. Hubbard. The filing of this Schedule 13D shall not be construed as an admission that the Reporting Persons are beneficial owners of securities issued by the Issuer (including the Common Stock) beneficially owned by Paul F. Wenner and/or Lyle G. Hubbard or that the Reporting Persons and any of Paul F. Wenner or Lyle G. Hubbard constitute such a person or group. (d)-(e) During the last five years, none of the Reporting Persons or, to the best knowledge of the Reporting Persons, and of the persons listed on Schedule A hereto, has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or was a party to a civil proceeding of a 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 Page 13 of 19 violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. DKBPEP acquired beneficial ownership of the securities that are the subject of this filing in the ordinary course of business. DKBPEP's agreement to enter into the Second Amendment (defined below) providing for the extension of the maturity date for the Convertible Note (defined below) provided the consideration for DKBPEP's Warrant (defined below) to acquire additional equity securities of the Issuer. Description of the Transactions: On January 10, 2002, the Issuer closed an $8 million term loan and a $7 million line of credit facility pursuant to a Revolving Credit and Term Loan Agreement with CapitalSource Finance LLC in order to refinance its operating leases of the equipment used at its Clearfield, Utah, production facility and to refinance its bank revolving credit facility. The term loan bears interest at an annual rate of prime plus 4.50 percent, but not less than 10 percent. The term loan and line of credit will each expire on December 15, 2004. In connection with the refinancing, the Issuer entered into a Second Amendment to Note Purchase Agreement (the "Second Amendment") with DKBPEP dated as of January 10, 2002, which provided for the extension of the maturity date of the convertible note issued to DKBPEP (the "Convertible Note") from April 1, 2003 to March 31, 2005. In order to obtain the extension from DKBPEP, the Issuer agreed to increase the interest rate on the Convertible Note from 7 to 10 percent, to pay a 20 percent premium on the principal plus accrued but unpaid interest at repayment or maturity of the note, and to issue to DKBPEP a warrant (the "Warrant") with a ten-year term to purchase 557,981 shares of Common Stock at a price of $0.28 per share, subject to anti-dilution adjustments. At January 10, 2002, the principal amount of the Convertible Note outstanding was $17,364,375. The Convertible Note is immediately convertible (following applicable notice to the Issuer and subject to applicable regulatory approvals) into 1,709,092 shares of Common Stock at a conversion price (which is subject to adjustment from time to time) of $10.16 per share of Common Stock. Interest on the Convertible Note accrues at the rate of 10% per annum, payable each March 31 and September 30. The information set forth in Item 4 of this Schedule 13D is hereby incorporated herein by reference. ITEM 4. PURPOSE OF TRANSACTION. The acquisition of the Issuer's securities has been made by DKBPEP for investment purposes. Although DKBPEP has no present intention to do so, DKBPEP may make additional purchases of securities either in the open market or in privately negotiated transactions, including transactions with the Issuer, depending on an evaluation of the Issuer's business prospects and financial condition, the market for the Common Stock, other available investment opportunities, money and stock market conditions and other future developments. In addition, DKBPEP may acquire beneficial ownership of additional securities as described in Item 3 above. Depending on those factors, DKBPEP may decide to sell all or part of its holdings of the Issuer's securities in one or more public or private transactions. Except as set forth in the preceding paragraphs, as of the date hereof, the Reporting Persons do not have any plan or proposal that relates to or would result in: (a) The acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) A sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (e) Any material change in the present capitalization or dividend policy of the Issuer; Page 14 of 19 (f) Any other material change in the Issuer's business or corporate structure; (g) Changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) Causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or (j) Any action similar to any of those enumerated above. Notwithstanding the foregoing, the Reporting Persons reserve the right to effect any such actions as any of them may deem necessary or appropriate in the future. The information set forth in Item 3 of this Schedule 13D is hereby incorporated herein by reference. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. (a) As of the date hereof, DKBPEP currently owns 178,501 shares of Common Stock of the Issuer, which was issued to DKBPEP in lieu of interest payments on the Convertible Note. Upon conversion of the Convertible Note and exercise of the Warrant, as of the date hereof, DKBPEP would acquire an additional 2,267,073 shares of Common Stock. Consequently, the Reporting Persons may be deemed to beneficially own 2,445,574 shares of Common Stock, or approximately 21.7% of the Common Stock outstanding. (b) Assuming full exercise and conversion, as appropriate, of the securities issued to DKBPEP under the Warrant and Convertible Note, DKBPEP and the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the Common Stock acquired upon such exercise and/or conversion. (c) Pursuant to Section 2 of the Convertible Senior Subordinated Note, dated March 27, 1998 (see Exhibit 11), DKBPEP received shares of Common Stock from time to time, in lieu of cash interest due on the Convertible Note as follows: 40,974 shares on September 30, 1998, 9,997 shares on December 28, 1998, 51,980 on April 9, 1999, and 75,550 shares on April 3, 2000. Except for the transactions described herein, there have been no other transactions in the securities of the Issuer effected by the Reporting Persons in the last 60 days. (d) Except as stated within this Item 5, to the knowledge of the Reporting Persons, only the Reporting Persons have the right to receive or the power to direct the receipt of dividends from, or proceeds from the sale of, the shares of Common Stock of the Issuer reported by this statement. (e) Inapplicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. Paragraph 2L of the Note Purchase Agreement dated March 27, 1998 (as amended) provides that with respect to the Board of Directors of the Issuer, so long as any Convertible Note (as defined in the Note Purchase Agreement) or Underlying Common Stock (as defined in the Note Purchase Agreement) remains outstanding, Paul F. Wenner, Lyle G. Hubbard, each Registered Holder of the Convertible Note and each holder of Underlying Common Stock (collectively, the "Securityholders") shall vote all voting securities of the Issuer over which such Securityholder has voting control, and the Issuer shall take all necessary and desirable actions within its control (including, without limitation, calling special board and shareholder meetings), so that: (a) an individual designated by the holders of record of a majority of the Underlying Common Stock is elected as a member of the Board (the "Designated Director") (the Page 15 of 19 Designated Director currently is Alexander P. Coleman, a Managing Investment Partner of Dresdner LLC); provided that if the Designated Director is not an employee of the DKBPEP or any of its affiliates, then such individual must be reasonably acceptable to a majority of the then directors of the Issuer and (b) in the event that any Designated Director for any reason ceases to serve as a member of the Board during such Designated Director's term of office, the resulting vacancy on the Board shall be filled by a director designated in accordance with clause (a) above. In addition, Paragraph 2L of the Note Purchase Agreement provides that, so long as any Convertible Note or Underlying Common Stock remains outstanding, if at any time a Designated Director is not a member of the Board, then holders of a majority of the Underlying Common Stock shall appoint a representative of DKBPEP as an observer. The Reporting Persons may be deemed to be members of a group within the meaning of Section 13(d)(3) of the Exchange Act, with Paul F. Wenner, the Chief Creative Officer and a Director of the Issuer, and Lyle G. Hubbard, a former President, Chief Executive Officer and Director of the Issuer pursuant to the Note Purchase Agreement. The Reporting Persons disclaim beneficial ownership of any securities issued by the Issuer (including Common Stock) which are owned by Paul F. Wenner and/or Lyle G. Hubbard. The filing of this Schedule 13D shall not be construed as an admission that the Reporting Persons are beneficial owners of securities issued by the Issuer (including the Common Stock) beneficially owned by Paul F. Wenner and/or Lyle G. Hubbard or that the Reporting Persons and any of Paul F. Wenner or Lyle G. Hubbard constitute such a person or group. Except for the agreements described above or in response to Items 3 and 4 of this Schedule 13D, which are hereby incorporated herein by reference, to the best knowledge of the Reporting Persons, there are no contracts, arrangements, understandings or relationships (legal or otherwise) between the persons enumerated in Item 2 of this Schedule 13D, and any other person, with respect to any securities of the Issuer, including, but not limited to, transfer or voting of any of the securities, finder's fees, joint ventures, loan or option agreements, puts or calls, guarantees of profits, divisions of profits or loss, or the giving or withholding of proxies. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. Exhibit 1-- Schedule 13D Joint Filing Agreement, dated February 11, 2002, by and among the Reporting Persons. Exhibit 2 -- Articles of Amendment to the Restated Articles of Incorporation of Gardenburger, Inc. (the "Issuer"), including the Determinations of Terms of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock, filed January 9, 2002 filed as Exhibit 3.1 to the Issuer's Current Report on Form 8-K dated January 10, 2002, is hereby incorporated by reference herein. Exhibit 3 -- Revolving Credit and Term Loan Agreement dated as of January 10, 2002, between the Company, Capital Source Finance LLC, as administrative agent and collateral agent for Lenders, and the Lenders filed as Exhibit 10.1 to the Issuer's Current Report on Form 8-K dated January 10, 2002, is hereby incorporated by reference herein. Exhibit 4 -- Second Amendment dated as of January 10, 2002, to the Note Purchase Agreement, dated as of March 27, 1998, between DKBPEP and the Issuer filed as Exhibit 10.2 to the Issuer's Current Report on Form 8-K dated January 10, 2002, is hereby incorporated by reference herein. Exhibit 5-- Amended and Restated Convertible Senior Subordinated Note dated January 10, 2002, issued by the Issuer to DKBPEP filed as Exhibit 10.3 to the Issuer's Current Report on Form 8-K dated January 10, 2002, is hereby incorporated by reference herein. Exhibit 6-- Warrant Agreement dated as of January 10, 2002, between DKBPEP, and the Issuer filed as Exhibit 10.4 to the Issuer's Current Report on Form 8-K dated January 10, 2002, is hereby incorporated by reference herein. Exhibit 7-- Form of Warrant issued to DKBPEP and holders of the Issuer's preferred stock filed as Exhibit 10.5 to the Issuer's Current Report on Form 8-K dated January 10, 2002, is hereby incorporated by reference herein. Exhibit 8-- First Amendment dated January 10, 2002, to Registration Rights Agreement dated as of March 27, 1998, between DKBPEP and the Issuer filed as Exhibit 10.6 to the Issuer's Current Report on Form 8-K dated January 10, 2002, is hereby incorporated by reference herein. Exhibit 9-- Registration Rights Agreement dated as of January 10, 2002, by and among the Issuer and the holders of its preferred stock filed as Exhibit 10.8 to the Issuer's Current Report on Form 8-K dated January 10, 2002, is hereby incorporated by reference herein. Page 16 of 19 Exhibit 10-- Note Purchase Agreement dated as of March 27, 1998, between Gardenburger, Inc. and Dresdner Kleinwort Benson Private Equity Partners LP filed as Exhibit 10.4 to the Issuer's Current Report on Form 10-Q for the quarterly period ended March 31, 1998, is hereby incorporated by reference herein. Exhibit 11-- Senior Subordinated Convertible Note, dated as of March 27, 1998, between Gardenburger, Inc. and Dresdner Kleinwort Benson Private Equity Partners LP filed as Exhibit 10.5 to the Issuer's Current Report on Form 10-Q for the quarterly period ended March 31, 1998, is hereby incorporated by reference herein. Exhibit 12-- First Amendment dated December 30, 1999 to Note Purchase Agreement dated March 27, 1998 between Dresdner Kleinwort Benson Private Equity Partners LP and Gardenburger, Inc. filed as Exhibit 10.2 to the Issuer's Current Report on Form 10-Q for the quarterly period ended December 31, 1999, is hereby incorporated by reference herein. Page 17 of 19 SIGNATURES After reasonable inquiry and to the best of each of the undersigned's knowledge and belief, each of the undersigned certify that the information set forth in this statement is true, complete and correct. Date: February 11, 2002 DRESDNER KLEINWORT BENSON PRIVATE EQUITY PARTNERS LP By: Dresdner Kleinwort Capital LLC Its: General Partner By: /s/ Richard Wolf By: /s/ Alexander P. Coleman ----------------------------- ------------------------- Name: Richard Wolf Name: Alexander P. Coleman Title: Managing Partner Title: Managing Partner DRESDNER KLEINWORT CAPITAL LLC By: /s/ Richard Wolf By: /s/ Alexander P. Coleman ----------------------------- --------------------------- Name: Richard Wolf Name: Alexander P. Coleman Title: Managing Partner Title: Managing Partner KLEINWORT BENSON (USA) INC. By: /s/ Christopher Wright By: /s/ John Walker ----------------------------- -------------------------- Name: Christopher Wright Name: John Walker Title: Managing Partner Title: Managing Partner DRESDNER KLEINWORT HOLDINGS INC. By: /s/ Christopher Wright By: /s/ John Walker ---------------------------- -------------------------- Name: Christopher Wright Name: John Walker Title: Managing Partner Title: Managing Partner INVERESK STOCKHOLDERS LTD. By: /s/ P.L. Longcroft ------------------- Name: P.L. Longcroft Title: Director Page 18 of 19 DRESDNER KLEINWORT WASSERSTEIN LIMITED By: /s/ P.L. Longcroft By: /s/ S.J. Lowe ----------------------------------------- --------------------- Name: P.L. Longcroft Name: S.J. Lowe Title: Secretary Title: Director DRESDNER KLEINWORT WASSERSTEIN GROUP LIMITED By: /s/ P.L. Longcroft By: /s/ S.J. Lowe ------------------------------------------ --------------------- Name: P.L. Longcroft Name: S.J. Lowe Title: Director/Secretary Title: Director DRESDNER INVESTMENTS (UK) LIMITED By: /s/ S.J. Lowe ------------------------------------------ Name: S.J. Lowe Title: Director/Secretary ZENON BETEILIGUNGSGESELLSCHAFT MBH By: /s/ Wolfgang Kolb By: /s/ Edgar Pirscher ---------------------------------------- ------------------- Name: Wolfgang Kolb Name: Edgar Pirscher Title: Managing Director Title: Manager DRESDNER BANK AG By: /s/ Gert Juergen Mueller By: /s/ Horst Oechsler --------------------------------------- ------------------- Name: Gert Juergen Mueller Name: Horst Oechsler Title: General Manager Title: Managing Director ALLIANZ AG By: /s/ Dr. Peter Hemeling By: /s/ Matthias Seewald ---------------------------------------- --------------------- Name: Dr. Peter Hemeling Name: Matthias Seewald Title: Prokurist Title: Prokurist Page 19 of 19 EX-99.1 3 y57411ex99-1.txt JOINT FILING AGREEMENT EXHIBIT 1 SCHEDULE 13D JOINT FILING AGREEMENT The undersigned and each other person executing this joint filing agreement (this "Agreement") agree as follows: The undersigned and each other person executing this Agreement are responsible for the timely filing of such Schedule 13D and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of the undersigned or any other person executing this Agreement is responsible for the completeness or accuracy of the information statement concerning any other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate. This Agreement may be executed in any number of counterparts, each of which shall be deemed to be an original, but all of which, taken together, shall constitute one and the same instrument. * * * * * * Page 1 of 3 IN WITNESS WHEREOF, the undersigned have caused this Agreement to be signed by their respective officers thereunto duly authorized as of the date set forth opposite their name. Date: February 11, 2002 DRESDNER KLEINWORT BENSON PRIVATE EQUITY PARTNERS LP By: Dresdner Kleinwort Capital LLC Its: General Partner By: /s/ Richard Wolf By: /s/ Alexander P. Coleman ----------------------------------- ----------------------------- Name: Richard Wolf Name: Alexander P. Coleman Title: Managing Partner Title: Managing Partner DRESDNER KLEINWORT CAPITAL LLC By: /s/ Richard Wolf By: /s/ Alexander P. Coleman ----------------------------------- ----------------------------- Name: Richard Wolf Name: Alexander P. Coleman Title: Managing Partner Title: Managing Partner KLEINWORT BENSON (USA) INC. By: /s/ Christopher Wright By: /s/ Jerome S. Pilpel ----------------------------------- ----------------------------- Name: Christopher Wright Name: Jerome S. Pilpel Title: Managing Partner Title: Secretary/Sr. Vice President DRESDNER KLEINWORT HOLDINGS INC. By: /s/ Christopher Wright By: /s/ John Walker ----------------------------------- ----------------------------- Name: Christopher Wright Name: John Walker Title: Managing Partner Title: Managing Partner INVERESK STOCKHOLDERS LTD. By: /s/ P.L. Longcroft ----------------------------------- Name: P.L. Longcroft Title: Director Page 2 of 3 DRESDNER KLEINWORT WASSERSTEIN LIMITED By: /s/ P.L. Longcroft By: /s/ S.J. Lowe ----------------------------------- ----------------------------- Name: P.L. Longcroft Name: S.J. Lowe Title: Secretary Title: Director DRESDNER KLEINWORT WASSERSTEIN GROUP LIMITED By: /s/ P.L. Longcroft By: /s/ S.J. Lowe ----------------------------------- ----------------------------- Name: P.L. Longcroft Name: S.J. Lowe Title: Director/Secretary Title: Director DRESDNER INVESTMENTS (UK) LIMITED By: /s/ S.J. Lowe ----------------------------------- Name: S.J. Lowe Title: Director/Secretary ZENON BETEILIGUNGSGESELLSCHAFT MBH By: /s/ Wolfgang Kolb By: /s/ Edgar Pirscher ----------------------------------- ----------------------------- Name: Wolfgang Kolb Name: Edgar Pirscher Title: Managing Director Title: Manager DRESDNER BANK AG By: /s/ Gert Juergen Mueller By: /s/ Horst Oechsler ----------------------------------- ----------------------------- Name: Gert Juergen Mueller Name: Horst Oechsler Title: General Manager Title: Managing Director ALLIANZ AG By: /s/ Dr. Peter Hemeling By: /s/ Matthias Seewald ----------------------------------- ----------------------------- Name: Dr. Peter Hemeling Name: Matthias Seewald Title: Prokurist Title: Prokurist Page 3 of 3 SCHEDULE A DIRECTORS & OFFICERS DRESDNER KLEINWORT CAPITAL LLC AS OF JANUARY 23, 2002
NAME EMPLOYMENT ADDRESS TITLE - ---- ---------- ------- ----- Christopher WRIGHT Dresdner Kleinwort Capital LLC 75 Wall Street Authorized Manager New York, NY 10005 Jonathan WALKER Dresdner Kleinwort Capital LLC 75 Wall Street Authorized Manager New York, NY 10005 Alexander COLEMAN Dresdner Kleinwort Capital LLC 75 Wall Street Authorized Manager New York, NY 10005 Richard WOLF Dresdner Kleinwort Capital LLC 75 Wall Street Authorized Manager New York, NY 10005
1 SCHEDULE A DIRECTORS & OFFICERS DRESDNER KLEINWORT HOLDINGS INC. AS OF JANUARY 23, 2002
NAME EMPLOYMENT ADDRESS TITLE - ---- ---------- ------- ----- Christopher WRIGHT Dresdner Kleinwort Holdings Inc. 75 Wall Street Director and President New York, NY 10005 Jonathan WALKER Dresdner Kleinwort Holdings Inc. 75 Wall Street Director and Senior Vice New York, NY 10005 President Jerome PILPEL Dresdner Kleinwort Holdings Inc. 75 Wall Street Secretary and Senior Vice New York, NY 10005 President Francis HARTE Dresdner Kleinwort Holdings Inc. 75 Wall Street Chief Financial Officer New York, NY 10005
2 SCHEDULE A DIRECTORS & OFFICERS KLEINWORT BENSON (USA) INC. AS OF JANUARY 23, 2002
NAME EMPLOYMENT ADDRESS TITLE - ---- ---------- ------- ----- Christopher WRIGHT Kleinwort Benson (USA) Inc. 75 Wall Street Director and President New York, NY 10005 Jonathan WALKER Kleinwort Benson (USA) Inc. 75 Wall Street Director and Senior Vice New York, NY 10005 President Jerome PILPEL Kleinwort Benson (USA) Inc. 75 Wall Street Secretary and Senior Vice New York, NY 10005 President Francis HARTE Kleinwort Benson (USA) Inc. 75 Wall Street Chief Financial Officer New York, NY 10005 Anne WEISS Kleinwort Benson (USA) Inc. 75 Wall Street Vice President New York, NY 10005
3 SCHEDULE A DIRECTORS & OFFICERS DRESDNER KLEINWORT WASSERSTEIN LIMITED (FORMERLY KLEINWORT BENSON LIMITED ) AS OF JANUARY 23, 2002
NAME EMPLOYMENT ADDRESS CITIZENSHIP POSITION - ---- ---------- ------- ----------- --------- Manjit BOUAL Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Director London EC3P 3DB Peter Leonard LONGCROFT Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Secretary London EC3P 3DB Edward Daniel MACDONALD Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Director London EC3P 3DB Malcolm Francis WILLIAMS Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Director London EC3P 3DB Patrick Joseph DALEY Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Director London EC3P 3DB Alun Pichaya BRANIGAN Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Director London EC3P 3DB Stephen John BROOKS Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Director London EC3P 3DB Achilles Othon MACRIS Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street USA Director London EC3P 3DB Robert Edward MURDIN Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Alternate London EC3P 3DB Director Stephen John LOWE Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Director London EC3P 3DB Keith Roy PALMER Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Director London EC3P 3DB Andrew Julian PISKER Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Director London EC3P 3DB Timothy Anthony SHACKLOCK Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British CHAIRMAN London EC3P 3DB Alan Colin Drake YARROW Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Deputy London EC3P 3DB Chairman
4 SCHEDULE A DIRECTORS & OFFICERS DRESDNER KLEINWORT WASSERSTEIN GROUP LTD ( FORMERLY KLEINWORT BENSON GROUP LIMITED ) AS OF JANUARY 23, 2002
NAME EMPLOYMENT ADDRESS CITIZENSHIP POSITION - ---- ---------- ------- ----------- --------- Stephen John BROOKS Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Director London EC3P 3DB Mark Ian MACLEOD Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Director London EC3P 3DB Peter Leonard LONGCROFT Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Director London EC3P 3DB & Secretary Stephen John LOWE Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Director London EC3P 3DB
5 SCHEDULE A DIRECTORS & OFFICERS DRESDNER INVESTMENTS (UK) LIMITED AS OF JANUARY 23, 2002
NAME EMPLOYMENT ADDRESS CITIZENSHIP POSITION - ---- ---------- ------- ----------- --------- Stephen John LOWE Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Director London EC3P 3DB & Secretary Achilles Othon MACRIS Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street USA Director London EC3P 3DB John Howard PATTINSON Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street German Director London EC3P 3DB
6 SCHEDULE A DIRECTORS & OFFICERS INVERESK STOCKHOLDERS LIMITED AS OF JANUARY 23, 2002
NAME EMPLOYMENT ADDRESS CITIZENSHIP POSITION - ---- ---------- ------- ----------- --------- Stephen John Brooks Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Director London EC3P 3DB Peter Leonard Longcroft Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Director London EC3P 3DB & Secretary Michelle Amey Dresdner Kleinwort Wasserstein Limited 20 Fenchurch Street British Secretary London EC3P 3DB
7 SCHEDULE A DIRECTORS & OFFICERS ZENON BETEILIGUNGSGESELLSCHAFT GMBH AS OF JANUARY 23, 2002
NAME EMPLOYMENT ADDRESS CITIZENSHIP POSITION - ---- ---------- ------- ----------- --------- Wolfgang Kolb Dresdner Bank AG Juergen-Ponto-Platz 1 German Director D-60301 Frankfurt am Main Germany Dr. Manfred Schaudwet Dresdner Bank AG Juergen-Ponto-Platz 1 German Director D-60301 Frankfurt am Main Germany
8 SCHEDULE A MEMBERS OF THE SUPERVISORY BOARD DRESDNER BANK AG AS OF JANUARY 23, 2002
NAME EMPLOYMENT ADDRESS CITIZENSHIP POSITION - ---- ---------- ------- ----------- --------- Dr. jur. Henning Schulte-Noelle Allianz AG Koeniginstrasse 28 German Chairman of the 80802 Munich Board of Managing Germany Directors Dipl.-Kfm. Uwe Plucinski Dresdner Bank AG Jungfernstieg 22 German Deputy Chairman 20349 Hamburg of the Supervisory Germany Board Reinhard Droenner Federal Executive Board of Hildesheimer Strasse 17 German Head of Section Trade Union DAG 30169 Hannover Banks and Savings Germany Banks Claudia Eggert-Lehmann Dresdner Bank AG Postfach 41 41 German Member of the 58041 Hagen Supervisory Board Germany Bernhard Enseling Dresdner Bank AG Kaiserstrasse 48, 2. OG German Member of the 60301 Frankfurt am Main Supervisory Board Germany Dr. Martin Fruehauf Aventis SA Postfach 80 03 20 German Deputy Chairman of 65926 Frankfurt am Main the Supervisory Germany Board Peter Haimerl Dresdner Bank AG Promenadeplatz 7 German Member of the 80273 Munich Supervisory Board Germany Manfred Karsten Oldenburgische Landesbank AG Bahnhofstrasse 2 German Member of the 26122 Oldenburg Supervisory Board Germany Ainis Kibermanis Dresdner Bank AG Taunusstrasse 40-42, 1. OG German Member of the 60329 Frankfurt am Main Supervisory Board Germany Bernd Kriegeskorte Dresdner Bank AG Promenadeplatz 7 German Member of the 80273 Munich Supervisory Board Germany
9 SCHEDULE A Dr. rer. pol. Heinz Kriwet Thyssen Krupp AG August-Thyssen-Strasse 1 German Member of the 40211 Duesseldorf Supervisory Board Germany Prof. Dr. Edward G. Krubasik Siemens AG Wittelsbacherplatz 2 German Member of the 80312 Munich Managing Board of Germany Directors Dr. Dietmar Kuhnt RWE AG Postfach 10 30 61 German Chairman of the 45030 Essen Managing Board Germany of Directors Michel Pebereau BNP Paribas S.A. 16, Boulevard des Italiens French President, General F-75450 Paris Director France Stefan Quandt DELTON AG Seedammweg 55 German Chairman of the 61352 Bad Homburg Supervisory Board Germany Sultan Salam Dresdner Bank AG Kaiserstrasse 63, 7. OG German Member of the 60329 Frankfurt am Main Supervisory Board Germany Dr. Hans-Juergen Schinzler Muenchener Koeniginstrasse 107 German Chairman of the Rueckversicherungs-Gesellschaft 80802 Munich Board of Managing Germany Directors Uwe Spitzbarth ver.di Vereinte Potsdamer Platz 10 German Head of Section Dienstleistungsgewerkschaft 10785 Berlin Banks and Savings Germany Banks Dr. Alfons Titzrath Dresdner Bank AG Koenigsallee 37 German Member of the 40002 Duesseldorf Supervisory Board Germany Dr. Bernd W. Voss Dresdner Bank AG Gallusanlage 8 German Member of the 60301 Frankfurt am Main Supervisory Board Germany
10 SCHEDULE A MEMBERS OF THE BOARD OF MANAGING DIRECTORS DRESDNER BANK AG AS OF JANUARY 23, 2002
NAME EMPLOYMENT ADDRESS CITIZENSHIP POSITION - ---- ---------- ------- ----------- --------- Prof. Dr. Bernd Fahrholz Dresdner Bank AG Juergen-Ponto-Platz 1 German Chairman of the Board of 60301 Frankfurt am Main Managing Directors Germany Leonhard H. Fischer Dresdner Bank AG Juergen-Ponto-Platz 1 German Member of the Board of 60301 Frankfurt am Main Managing Directors Germany Klaus-Michael Geiger Dresdner Bank AG Juergen-Ponto-Platz 1 German Member of the Board of 60301 Frankfurt am Main Managing Directors Germany Dr. Andreas Georgi Dresdner Bank AG Juergen-Ponto-Platz 1 German Member of the Board of 60301 Frankfurt am Main Managing Directors Germany Heinrich Karl Linz Dresdner Bank AG Juergen-Ponto-Platz 1 German Member of the Board of 60301 Frankfurt am Main Managing Directors Germany Joachim Maedler Dresdner Bank AG Juergen-Ponto-Platz 1 German Member of the Board of 60301 Frankfurt am Main Managing Directors Germany Dr. Horst Mueller Dresdner Bank AG Juergen-Ponto-Platz 1 German Member of the Board of 60301 Frankfurt am Main Managing Directors Germany
11 SCHEDULE A SUPERVISORY BOARD MEMBERS ALLIANZ AG AS OF JANUARY 23, 2002
NAME EMPLOYMENT ADDRESS CITIZENSHIP POSITION - ---- ---------- ------- ----------- --------- Dr. Klaus Liesen Ruhrgas AG Huttropstrasse 60 German Chairman of the 45138 Essen Supervisory Board Germany Frank Ley Allianz Reinsburgstrasse 19 German Deputy Chairman of Lebensversicherungs-AG 70178 Stuttgart the Supervisory Germany Board Dr. Alfons Titzrath Dresdner Bank AG Koenigsallee 37 German Member of the 40212 Duesseldorf Supervisory Board Germany Dr. Diethart Breipohl Allianz AG Koeniginstrassse 28 German Former Member of 80802 Muenchen the Board of Germany Management Bertrand Collomb Lafarge 61, rue des Belles Feuilles French President, F-75782 Paris Cedex 16 Managing Director France Dr. Gerhard Cromme ThyssenKrupp AG August-Thyssen-Strasse 1 German Chairman of the 40211 Duesseldorf Supervisory Board Germany Juergen Dormann Aventis S.A. Aventis S.A. German Chairman of the F-67917 Strasbourg, Cedex 9 Board of Management France Dr. Albrecht Schmidt Bayerische Hypo- Am Tucherpark 16 German Speaker of the und Vereinsbank AG 80538 Muenchen Board of Management Germany Dr. Manfred Schneider Bayer AG Bayerhaus German Chairman of the 51368 Leverkusen Board of Management Germany Dr.-Ing. Hermann Scholl Robert Bosch GmbH Robert-Bosch-Platz 1 German Chairman 70839 Gerlingen-Schillerhoehe
12 SCHEDULE A Germany Juergen E. Schrempp DaimlerChrysler AG Epplestrasse 225 German Chairman of the 70567 Stuttgart Board of Management Germany Norbert Blix Allianz Versicherungs-AG Grosser Burstah 3 German Member of the 20457 Hamburg Supervisory Board Germany Hinrich Feddersen Vereinte Dienstleistungs Potsdamer Platz 10 German Member of the -gewerkschaft - ver.di 10785 Berlin Federal Board of Germany Trade Union Peter Haimerl Dresdner Bank AG Promenadenplatz 7 German Chairman of the 80273 Muenchen Labor Council Germany Prof. Dr. Rudolf Hickel Institut fuer Arbeit und Parkallee 39 German Professor Wirtschaft der 28209 Bremen Universitaet Bremen Germany Horst Meyer Hermes Kreditversicherungs-AG Friedensallee 254 German Chairman of the 22763 Hamburg Labor Council Germany Uwe Plucinski Dresdner Bank AG Dresdner Bank AG German Deputy Chairman 20349 Hamburg of the Supervisory Germany Board Reinhold Pohl Allianz Lebensversicherungs-AG Harvestehuder Weg 36 d German Member of the 20149 Hamburg Supervisory Board Germany Roswitha Schiemann Allianz Versicherungs-AG Albertinenstrasse 01 German Managing Director, 13086 Berlin Filialdirektion Germany Berlin-Brandenburg Nord/Ost Joerg Thau Vereinte Krankenversicherung Raum 2 3 27 German Member of the Heiliger Weg 76-78 Supervisory Board 44141 Dortmund Germany
13 SCHEDULE A MEMBERS OF THE BOARD OF MANAGEMENT ALLIANZ AG AS OF JANUARY 23, 2002
NAME EMPLOYMENT ADDRESS CITIZENSHIP POSITION - ---- ---------- ------- ----------- --------- Dr. Henning Schulte-Noelle Allianz AG Koeniginstrasse 28 German Chairman of the Board 80802 Munich of Management Germany Dr. Bernd Fahrholz Allianz AG Juergen-Ponto-Platz 1 German Deputy Chairman of the Board 60301 Frankfurt am Main of Management Germany Dr. Paul Achleitner Allianz AG Koeniginstrasse 28 German Member of the Board 80802 Munich of Management Germany Detlev Bremkamp Allianz AG Koeniginstrasse 28 German Member of the Board 80802 Munich of Management Germany Michael Diekmann Allianz AG Koeniginstrasse 28 German Member of the Board 80802 Munich of Management Germany Dr. Joachim Faber Allianz AG Koeniginstrasse 28 German Member of the Board 80802 Munich of Management Germany Dr. Reiner Hagemann Allianz AG Koeniginstrasse 28 German Member of the Board 80802 Munich of Management Germany Dr. Helmut Perlet Allianz AG Koeniginstrasse 28 German Member of the Board 80802 Munich of Management Germany Dr. Gerhard Rupprecht Allianz AG Reinsburgstrasse 19 German Member of the Board 70178 Stuttgart of Management Germany Dr. Werner Zedelius Allianz AG Koeniginstrasse 28 German Member of the Board 80802 Munich of Management Germany
14 SCHEDULE A Leonhard H. Fischer Allianz AG Juergen-Ponto-Platz 1 German Member of the Board 60301 Frankfurt am Main of Management Germany Dr. Horst Mueller Allianz AG Juergen-Ponto-Platz 1 German Member of the Board 60301 Frankfurt am Main of Management Germany
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