SC 13D/A 1 mm02-1412vvm_sc13da17.htm AMENDMENT NO. 17 mm02-1412vvm_sc13da17.htm


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

SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 17)
  

    
 
 
ValueVision Media, Inc.
 
(Name of Issuer)
 
 
Common Stock, $0.01 par value per share
(Title of class of securities)
 
 
 
92047K-10-7
 
(CUSIP Number)
 
 
Frank Ertl
Senior Managing Director, Chief Financial Officer and Treasurer
GE Capital Equity Investments, Inc.
201 Merritt 7
Norwalk, CT 06851
(203) 229-5000
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
 
 
January 28 and April 6, 2011
(Date of Event which Requires Filing of this Statement)
 
 
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rules 13d-1(e), 13d-1(f) or 13d-1(g), check the following box   [_].
 
 


 
 
 
 

 
 

 
 
CUSIP No. 92047K-10-7
13D
Page 2

1
NAME OF REPORTING PERSONS
GE Capital Equity Investments, Inc.
   
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [_]
(b) [x]
3
SEC USE ONLY
 
4
SOURCE OF FUNDS:
 
Not applicable
5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEM 2(d) OR 2(e):
[_]
6
CITIZENSHIP OR PLACE OF ORGANIZATION:
 
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
7
 
SOLE VOTING POWER:
6,000,000  (see Item 5)
8
 
SHARED VOTING POWER:
0  (see Item 5)
9
 
SOLE DISPOSITIVE POWER:
6,000,000  (see Item 5)
10
 
SHARED DISPOSITIVE POWER:
0  (see Item 5)
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:  6,000,000 (see Item 5)
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
 
[_]
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 11.0% (see Item 5)
 
14
TYPE OF REPORTING PERSON:
 
CO

 
 
 
 

 
 

 
 
CUSIP No. 92047K-10-7
13D
Page 3
 
1
NAME OF REPORTING PERSON:
General Electric Capital Corporation
   
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [_]
(b) [x]
3
SEC USE ONLY
 
4
SOURCE OF FUNDS:
 
Not applicable
5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEM 2(d) OR 2(e):
[_]
6
CITIZENSHIP OR PLACE OF ORGANIZATION:
 
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
7
 
SOLE VOTING POWER:
6,000,000  (see Item 5)
8
 
SHARED VOTING POWER:
0  (see Item 5)
9
 
SOLE DISPOSITIVE POWER:
6,000,000  (see Item 5)
10
 
SHARED DISPOSITIVE POWER:
0  (see Item 5)
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:  6,000,000 (see Item 5)
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
 
[_]
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 11.0%  (see Item 5)
 
14
TYPE OF REPORTING PERSON:
 
CO
 
 
 
 

 
 
 
 

 
 

 
 
CUSIP No. 92047K-10-7
13D
Page 4
 
1
NAME OF REPORTING PERSON:
General Electric Capital Services, Inc.
   
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [_]
(b) [x]
3
SEC USE ONLY
 
4
SOURCE OF FUNDS:
 
Not applicable
5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEM 2(d) OR 2(e):
[_]
6
CITIZENSHIP OR PLACE OF ORGANIZATION:
 
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
7
 
SOLE VOTING POWER:
Disclaimed (see 11 below)
8
 
SHARED VOTING POWER:
0
9
 
SOLE DISPOSITIVE POWER:
Disclaimed (see 11 below)
10
 
SHARED DISPOSITIVE POWER:
0
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:  Beneficial ownership of all shares disclaimed by General Electric Capital Services, Inc.
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
 
[_]
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): Not applicable (see 11 above)
 
14
TYPE OF REPORTING PERSON:
 
CO
 
 

 

 
 
 
 

 
 

 
 
CUSIP No. 92047K-10-7
13D
Page 5
 
1
NAME OF REPORTING PERSON:
General Electric Company
   
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [_]
(b) [x]
3
SEC USE ONLY
 
4
SOURCE OF FUNDS:
 
Not applicable
5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEM 2(d) OR 2(e):
[_]
6
CITIZENSHIP OR PLACE OF ORGANIZATION:
 
New York
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
7
 
SOLE VOTING POWER:
Disclaimed (see 11 below)
8
 
SHARED VOTING POWER:
0
9
 
SOLE DISPOSITIVE POWER:
Disclaimed (see 11 below)
10
 
SHARED DISPOSITIVE POWER:
0
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:  Beneficial ownership of all shares disclaimed by General Electric Company
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
 
[_]
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): Not applicable (see 11 above)
 
14
TYPE OF REPORTING PERSON:
 
CO

 

 
 

 

This Amendment No. 17 amends the Schedule 13D filed February 25, 2009, as amended (the “Schedule 13D”), and is filed by GE Capital Equity Investments, Inc. (“GECEI”), General Electric Capital Corporation (“GE Capital”), General Electric Capital Services, Inc. (“GECS”) and General Electric Company (“GE”) (each of GECEI, GE Capital, GECS and GE, a “Reporting Person” and collectively the “Reporting Persons”), with respect to the common stock, $0.01 par value per share (the “Common Stock”), of ValueVision Media, Inc. (the “Company”).  Capitalized terms used herein but not defined shall have the meaning attributed to them in the Schedule 13D.
 
Item 2.
Identity and Background.
 
Item 2 is supplemented as follows:

The principal business office of GECEI is located at 201 Merritt 7, Norwalk, Connecticut 06851.  The principal business office of GE Capital is located at  901 Main Avenue, Norwalk, Connecticut 06851.  The principal business offices of GECS and GE are located at 3135 Easton Turnpike, Fairfield, Connecticut 06828.

As of February 14, 2012, the name, business address, present principal occupation or employment, and citizenship of each director and executive officer of GECEI, GE Capital, GECS, and GE, are set forth on Schedules A, B, C, and D respectively, attached hereto.

During the last five years, to the best of the Reporting Persons’ knowledge, none of their directors or executive officers, has been (i) convicted of any criminal proceeding (excluding traffic violations or similar misdemeanors) or (ii) 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.

This Amendment No. 17 is being filed while the Reporting Persons are in the process of verifying information required herein from their respective directors and executive officers.  If the Reporting Persons obtain information concerning such individuals which would cause a material change in the disclosure contained herein, an amendment to this statement will be filed that will disclose such change.

NBC Universal, Inc. and National Broadcasting Company Holding, Inc. ceased to be Reporting Persons pursuant to this Schedule 13D following the January 28, 2011 transaction described in Item 4 of this Amendment No. 17.

Item 4.
Purpose of Transaction.
 
Item 4 is supplemented as follows:

As previously disclosed by GE, on January 28, 2011, GE closed a transaction with Comcast Corporation (“Comcast”) pursuant to which, among other things, GE transferred control of the business of NBC Universal, Inc. (now named NBCUniversal Media, LLC (“NBCUniversal”)), to Comcast.  NBCUniversal became a wholly owned subsidiary of

 
6

 

 
 
NBCUniversal, LLC (“NBCUniversal Holdings”).  Comcast controls and owns 51% of NBCUniversal Holdings, and GE owns the remaining 49%.  Further details of the transaction are set forth in the Current Report on Form 8-K filed by GE on January 31, 2011 (SEC File No. 001-00035).  Accordingly, the shares of the Company’s Common Stock owned by NBCUniversal are no longer reported in this Schedule 13D but are reported in a separate schedule 13D filed by NBCUniversal, NBCUniversal Holdings, and Comcast.  Item 6 of this Amendment No. 17 is incorporated herein by reference.

As previously disclosed by the Company, on April 6, 2011, the Company redeemed 4,929,266 shares of Series B Preferred Stock from GECEI at a redemption price equal to $8.288 per share plus accrued and unpaid dividends thereon, for a total of $47,268,464.07.

Item 5.        Interest in Securities of the Issuer.

(a)           The responses of the Reporting Persons to Rows (11) through (13) of the cover pages of this Amendment No. 17 are incorporated herein by reference.  As of February 14, 2012, GECEI and GE Capital (by virtue of its ownership of all of the common stock of GECEI) had sole beneficial ownership of an aggregate of 6,000,000 shares of Common Stock issuable upon the exercise of the 2009 Warrants, representing approximately 11.0% of the shares of Common stock outstanding determined in accordance with Rule 13d-3(d)(1)(i) under the Exchange Act (based on the number of shares outstanding as of December 5, 2011, as reported in the Company’s Form 10-Q for the quarterly period ended October 29, 2011, and filed on December 8, 2011 (48,552,205 shares), plus the shares issuable to the relevant Reporting Person upon exercise of the warrants described above).

Except as disclosed in this Item 5(a), none of the Reporting Persons, nor, to the best of their knowledge, any of their directors or executive officers, beneficially owns any shares of Common Stock.

(b)           The responses of the Reporting Persons to (i) Rows (7) through (10) of the cover pages of this Amendment No. 17 and (ii) Item 5(a) hereof are incorporated herein by reference.
Except as disclosed in this Item 5(b), none of the Reporting Persons, nor to the best of their knowledge, any of their directors or executive officers, presently has the power to vote or direct the vote or to dispose or direct the disposition of any of the shares of Common Stock which they may be deemed to beneficially own.

As disclosed in Amendment No. 14 to the Schedule 13D, GECEI is party to Shareholder Agreement with the Company and NBC Universal, Inc. (which, as described above, is now known as NBCUniversal Media, LLC).  For a description and copy of the Shareholder Agreement, see Amendment No. 14 to the Schedule 13D filed by the Reporting Persons on March 2, 2009, and Exhibit 10.2 to the Current Report on Form 8-K filed by the Company on February 26, 2009 (SEC File No. 000-20243).  As a consequence of this Shareholder Agreement, GECEI and NBCUniversal may from time to time consult with each other regarding the securities of the Company.

To the knowledge of the Reporting Persons, as of February 14, 2012, an aggregate of 13,156,593 shares of Common Stock are subject to the Shareholder Agreement, of which (i)

 
7

 

 
 
6,000,000 shares of Common Stock are issuable to GECEI upon the exercise of the 2009 Warrants and (ii) 7,156,593 shares of Common Stock are beneficially owned by NBCUniversal, NBCUniversal Holdings, and Comcast (composed of 7,141,849 shares of outstanding Common Stock and 14,744 shares of Common Stock issuable upon exercise of warrants issued on November 11, 2002 pursuant to a Distribution and Marketing Agreement dated March 8, 1999 (“New Performance Warrants”)).  Nothing in this Schedule 13D shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any shares of Common Stock beneficially owned by NBCUniversal, NBCUniversal Holdings, or Comcast, and such beneficial ownership is expressly disclaimed.  Information regarding beneficial ownership by NBCUniversal, NBCUniversal Holdings, and Comcast is based on their Schedule 13D/A filed on May 17, 2011.

(c)           Except as disclosed in Item 4 of this Amendment No. 17, none of the Reporting Persons, nor, to the best of their knowledge, any of their directors or executive officers, has effected any transaction in the Common Stock during the past 60 days.

(d)           Not applicable.

(e)           Not applicable.

Item 6.
Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.
 
Item 6 is supplemented as follows:
 
Item 4 of this Amendment No. 17 is incorporated herein by reference.  In connection with Comcast’s acquisition of control of NBCUniversal on January 28, 2011, GE agreed that, for so long as GE is entitled to appoint two directors to the board of directors of the Company, NBCUniversal will be entitled to retain a board seat provided that NBCUniversal beneficially owns at least 5% of the adjusted outstanding common stock of the Company, as computed under the Shareholder Agreement.  Further, GE agreed to obtain the consent of NBCUniversal prior to consenting to the Company’s adoption of any shareholders rights plan or certain other actions that would impede or restrict the ability of NBCUniversal to acquire or dispose of shares of voting stock or taking any action that would result in NBCUniversal being deemed to be in violation of 47 CFR Section 73.3555.

 
Item 7.
Materials to be Filed as Exhibits.
 
Exhibit 42
Power of Attorney (General Electric Capital Corporation).

Exhibit 43
Power of Attorney (General Electric Capital Services, Inc.).

Exhibit 44
Power of Attorney (General Electric Company).



 
8

 

SIGNATURE

 
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 
Dated:  February 14, 2012
 
 
GE CAPITAL EQUITY INVESTMENTS, INC.
       
 
By:
  /s/  Barbara Lane
   
Name:
Barbara Lane
   
Title:
Managing Director

 
GENERAL ELECTRIC CAPITAL CORPORATION
       
 
By:
  /s/  Barbara Lane
   
Name:
Barbara Lane
   
Title:
Attorney-in-fact

 
GENERAL ELECTRIC CAPITAL SERVICES, INC.
       
 
By:
  /s/  Barbara Lane
   
Name:
Barbara Lane
   
Title:
Attorney-in-fact

 
GENERAL ELECTRIC COMPANY
       
 
By:
  /s/  Barbara Lane
   
Name:
Barbara Lane
   
Title:
Attorney-in-fact
 
 
 
 
 
 
 
 
 

 

 
9

 

EXHIBIT INDEX


Exhibit 42
Power of Attorney (General Electric Capital Corporation).

Exhibit 43
Power of Attorney (General Electric Capital Services, Inc.).

Exhibit 44
Power of Attorney (General Electric Company).

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
10

 
 
 
 SCHEDULE A

 
GE CAPITAL EQUITY INVESTMENTS, INC.
DIRECTOR



NAME
PRESENT
BUSINESS ADDRESS
PRINCIPAL OCCUPATION
Sherwood P. Dodge
GE Capital Equity Investments, Inc.
201 Merritt 7
Norwalk, CT  06851
 
President & CEO, GE Capital Equity Investments, Inc.

Citizenship:
U.S.A.



GE CAPITAL EQUITY INVESTMENTS, INC.
EXECUTIVE OFFICERS


NAME
PRESENT
BUSINESS ADDRESS
PRINCIPAL OCCUPATION
Sherwood P. Dodge
GE Capital Equity Investments, Inc.
201 Merritt 7
Norwalk, CT  06851
 
President & CEO, GE Capital Equity Investments, Inc.
Frank Ertl
GE Capital Equity Investments, Inc.
201 Merritt 7
Norwalk, CT  06851
 
Senior Managing Director, Chief Financial Officer and Treasurer, GE Capital Equity Investments, Inc.

Citizenship:
All U.S.A.


 
1

 
 
 
SCHEDULE B


GENERAL ELECTRIC CAPITAL CORPORATION
DIRECTORS


NAME
PRESENT
BUSINESS ADDRESS
PRINCIPAL OCCUPATION
     
Jeffrey S. Bornstein
 
 
 
Mark W. Begor
 
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
 
GE Real Estate
901 Main Avenue
Norwalk, CT 06851
 
Chief Financial Officer – GE Commercial Finance
 
 
President and Chief Executive Officer – GE Real Estate
 
William H. Cary
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
 
Chief Operating Officer and President
 General Electric Capital Corporation
 
Kathryn A. Cassidy
General Electric Capital Corporation
201 High Ridge Road
Stamford, CT 06927
 
Senior Vice President, Corporate Treasury and Global Funding Operation – General Electric Capital Corporation
Pamela Daley
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
Senior Vice President - Corporate Business Development – General Electric Company
 
 
Richard D’Avino
 
 
GE Capital
800 Long Ridge Road
Stamford, CT 06827
 
 
Vice President – Senior Tax Counsel
General Electric Capital Corporation
Brackett B. Denniston III
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
 
Senior Vice President and General Counsel – General Electric Company
Jeffrey R. Immelt
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
 
Chairman and Chief Executive Officer, General Electric Company
 
 
 
2

 
 
 
 
NAME
PRESENT
BUSINESS ADDRESS
PRINCIPAL OCCUPATION
     
John Krenicki, Jr.
 
 
 
Puneet Mahajan
 
 
 
J. Keith Morgan
 
 
 
 
David Nason
 
 
GE – Infrastructure – Energy
4200 Wildwood Parkway
Atlanta, GA 30339
 
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
 
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
 
 
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
 
Vice Chairman, President and CEO
GE Infrastructure – Energy
 
 
Vice President and Chief Risk Officer,
General Electric Company
 
 
Senior Vice President and General Counsel General Electric Capital Corporation
 
 
Senior Vice President, Chief Regulatory Officer & Compliance Leader – General Electric Capital Corporation
 
Michael A. Neal
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
President and Chief Executive Officer – General Electric Capital Corporation
 
     
John M. Samuels
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
 
Vice President and Senior Tax Counsel – General Electric Company
Keith S. Sherin
 
 
 
 
Ryan A. Zanin
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
 
 
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
 
Senior Vice president, Finance and Chief Financial Officer – General Electric Company
 
 
 
Senior Vice President and Chief Risk Officer – General Electric Capital Corporation
Citizenship:
Puneet Mahajan                      India
All others                                U.S.A.


 
3

 

GENERAL ELECTRIC CAPITAL CORPORATION
EXECUTIVE OFFICERS

NAME
PRESENT
BUSINESS ADDRESS
PRINCIPAL OCCUPATION
     
Michael A. Neal
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
 
Chairman of the Board President and Chief Executive Officer – General Electric Capital Corporation
William H. Cary
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
 
Chief Operating Officer and President
 General Electric Capital Corporation
 
     
Jeffrey S. Bornstein
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
 
Chief Financial Officer – General Electric Capital Corporation
 
Kathryn A. Cassidy
General Electric Capital Corporation
201 High Ridge Road
Stamford, CT 06927
 
Senior Vice President, Corporate Treasury and Global Funding Operation - General Electric Capital Corporation
 
Ryan A. Zanin
General Electric Capital Corporation
260 Long Ridge Road
Stamford, CT 06927
 
Senior Vice President,  Risk Chief Officer- General Electric Capital Corporation
Olga Hartwell
General Electric Capital Corporation
120 Long Ridge Road
Stamford, CT 06927
 
Senior Vice President, Taxes- General Electric Capital Corporation
Jamie Miller
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
Senior Vice President and Controller  – General Electric Company
 
J. Keith Morgan
 
 
 
Chritoph Pereira
 
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
 
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
 
 
Senior Vice President and General
Counsel - General Electric Capital Corporation
 
 
Vice President, Deputy General Counsel and Secretary - General Electric Company
Citizenship:
All U.S.A.

 
4

 
 
SCHEDULE C

 
GENERAL ELECTRIC CAPITAL SERVICES, INC.
DIRECTORS


NAME
PRESENT
BUSINESS ADDRESS
PRINCIPAL OCCUPATION
Jeffrey S. Bornstein
 
 
 
Mark W. Begor
 
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
 
GE Real Estate
901 Main Avenue
Norwalk, CT 06851
 
Chief Financial Officer – GE Commercial Finance
 
 
 
President and Chief Executive Officer – GE Real Estate
 
William H. Cary
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
 
Chief Operating Officer and President
 General Electric Capital Corporation
 
Kathryn A. Cassidy
General Electric Capital Corporation
201 High Ridge Road
Stamford, CT 06927
 
Senior Vice President, Corporate Treasury and Global Funding Operation – General Electric Capital Corporation
     
Pamela Daley
 
 
 
Richard D’Avino
 
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
 
GE Capital
800 Long Ridge Road
Stamford, CT 06827
 
Senior Vice President - Corporate Business Development – General Electric Company
 
 
Vice President – Senior Tax Counsel
General Electric Capital Corporation
Brackett B. Denniston III
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
 
Senior Vice President and General Counsel – General Electric Company
Jeffrey R. Immelt
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
 
Chairman and Chief Executive Officer, General Electric Company
Puneet Mahajan
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
 
Senior Vice President and Chief Risk Officer, General Electric Company
 
 
 
 
5

 
 
 
NAME
PRESENT
BUSINESS ADDRESS
PRINCIPAL OCCUPATION
John Krenicki, Jr.
 
 
 
J. Keith Morgan
 
 
 
David Nason
 
 
GE – Infrastructure – Energy
4200 Wildwood Parkway
Atlanta, GA 30339
 
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
 
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
 
Vice Chairman, President and CEO
GE Infrastructure – Energy
 
 
Senior Vice President and General Counsel General Electric Capital Corporation
 
 
Senior Vice President, Chief Regulatory Officer & Compliance Leader – General Electric Capital Corporation
 
Michael A. Neal
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
 
President and Chief Executive Officer – General Electric Capital Corporation
 
John M. Samuels
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
 
Vice President and Senior Tax Counsel – General Electric Company
Keith S. Sherin
 
 
 
 
Ryan A. Zanin
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
 
 
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
 
Senior Vice president, Finance and Chief Financial Officer – General Electric Company
 
 
Senior Vice President and Chief Risk Officer – General Electric Capital Corporation

Citizenship:
Puneet Mahajan                      India
All others                                U.S.A.

 
6

 

 
GENERAL ELECTRIC CAPITAL SERVICES, INC.
EXECUTIVE OFFICERS


NAME
PRESENT
BUSINESS ADDRESS
PRINCIPAL OCCUPATION
     
Michael A. Neal
 
 
 
Jeffrey R. Immelt
General Electric Capital Corporation 901 Main Avenue
Norwalk, CT 06851
 
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
 
Chairperson of the Board of Directors and President– General Electric Capital Corporation
 
Chief Executed Officer –
General Electric Company
 
 
Keith S. Sherin
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
Chief Financial Officer – General Electric Company
     
William H. Cary
General Electric Capital Corporation 901 Main Avenue
Norwalk, CT 06851
 
Chief Operating Officer and President
Jeffrey S. Bornstein
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
Senior Vice President – Finance
General Electric Capital Corporation
     
     
Kathryn A. Cassidy
General Electric Capital Corporation
201 High Ridge Road
Stamford, CT 06927
 
Senior Vice President, Corporate Treasury and Global Funding Operation - General Electric Capital Corporation
 
Ryan A. Zanin
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
Senior Vice President, and Chief Risk Officer - General Electric Capital Corporation
     
Olga Hartwell
General Electric Capital Corporation
800 Long Ridge Road
Stamford, CT 06927
 
Senior Vice President, Taxes - General Electric Capital Corporation
Jamie Miller
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
 
Vice President, Controller and Chief Accounting Officer – General Electric Company
 
 
 
 
7

 
 
 
NAME
PRESENT
BUSINESS ADDRESS
PRINCIPAL OCCUPATION
J. Keith Morgan
 
 
 
Christoph Pereira
General Electric Capital Corporation
901 Main Avenue
Norwalk, CT 06851
 
General Electric Company
3135 Easton Turnpike
Fairfield, CT 06828
 
Senior Vice President and General Counsel – General Electric Capital Corporation
 
 
Vice President, Deputy General Counsel and Secretary - General Electric Company
     

Citizenship:
All U.S.A.



 
8

 
 
 
SCHEDULE D
 
GENERAL ELECTRIC COMPANY
DIRECTORS
     
 
NAME
PRESENT
BUSINESS ADDRESS
PRESENT
PRINCIPAL OCCUPATION
     
W. Geoffrey Beattie
The Woodbridge Company Limited
65 Queen Street West suite 2400
Toronto, Canada M5H 2M865
 
President
J.I. Cash, Jr.
General Catalyst Partners
20 University Road
Suite 450
Cambridge, MA  02138
Emeritus James E. Robinson Professor of Business
Administration, Harvard Graduate School of Business
A.M. Fudge
General Electric Company
3135 Easton Turnpike
Fairfield, CT  06828
 
Former Chairman and Chief Executive Officer, Young & Rubicam Brands
S. Hockfield
Massachusetts Institute of Technology
77 Massachusetts Avenue
Building 3-208
Cambridge, MA 02139
 
President, Massachusetts Institute of Technology
J.R. Immelt
General Electric Company
3135 Easton Turnpike
Fairfield, CT  06828
Chairman of the Board and Chief Executive Officer, General Electric Company
 
A. Jung
Avon Products, Inc.
1345 Avenue of the Americas
27th Floor
New York, NY  10105
 
Chairman and Chief Executive Officer, Avon Products, Inc.
A.G. Lafley
General Electric Company
3135 Easton Turnpike
Fairfield, CT  06828
Former Chairman of the Board, and Chief Executive, The Procter & Gamble Company
 
R.W. Lane
General Electric Company
3135 Easton Turnpike
Fairfield, CT  06828
 
John Hancock Center
875 N. Michigan Avenue
Chicago, IL  60611
Former Chairman of the Board and Chief Executive Officer, Deere & Company
 
 
 
9

 
 
 
 
 
 
NAME
PRESENT
BUSINESS ADDRESS
PRESENT
PRINCIPAL OCCUPATION
     
R.S. Larsen
General Electric Company
3135 Easton Turnpike
Fairfield, CT  06828
 
Former Chairman of the Board and Chief Executive Officer, Johnson & Johnson Inc.
R.B. Lazarus
Ogilvy & Mather Worldwide
636 11th Avenue
New York, NY 10036-2010
 
Chairman of the Board and former Chief Executive Officer
J. J. Mulva
 
ConocoPhillips
600 North Dairy Ashford Road Houston, Texas 77079
 
Chairman of the Board and Chief Executive Officer
S. Nunn
Sam Nunn School of
International Affairs
Georgia Institute of Technology
781 Marietta Street, NW
Atlanta, Georgia 30318
 
Co-Chairman and Chief Executive
Officer, Nuclear Threat Initiative
R.S. Penske
Penske Corporation
2555 Telegraph Road
Bloomfield Hills, MI  48302-0954
 
Chairman of the Board
R.J. Swieringa
S.C. Johnson Graduate School
Cornell University
337 Sage Hall
Ithaca, NY  14853-6201
 
Professor of Accounting and former Anne and Elmer Lindseth Dean
 
J. S. Tisch
Loews Corporation
667 Madison Avenue
New York, NY 10065-8087
 
President and Chief Executive Officer
D.A. Warner III
c/o J. P. Morgan Chase & Co.
277 Park Avenue
35th Floor
New York, NY 10172
 
Former Chairman of the Board
 

 
10

 
 
 
 
GENERAL ELECTRIC COMPANY
EXECUTIVE OFFICERS
 
 
NAME
PRESENT
BUSINESS ADDRESS
PRESENT
PRINCIPAL OCCUPATION
     
J.R. Immelt
General Electric Company
3135 Easton Turnpike
Fairfield, CT  06828
 
Chairman of the Board and Chief Executive Officer, General Electric Company
K.A. Cassidy
General Electric Company
201 High Ridge Road
Stamford, CT 06905-3417
 
Senior Vice President and GE Treasurer
P. Daley
General Electric Company
3135 Easton Turnpike
Fairfield, CT  06828
 
Senior Vice President, Corporate Business Development
 
B.B. Denniston III
General Electric Company
3135 Easton Turnpike
Fairfield, CT  06828
 
Senior Vice President and General Counsel
J. Krenicki
General Electric Company
4200 Wildwood Parkway
Atlanta, GA  30339
 
Vice Chairman of General Electric Company; President & CEO, GE Energy Infrastructure
 
J.F. Lynch
General Electric Company
3135 Easton Turnpike
Fairfield, CT  06828
 
Senior Vice President, Human Resources
J. S. Miller
General Electric Company
3135 Easton Turnpike
Fairfield, CT  06828
 
Vice President, Controller & Chief Accounting Officer
 
M.A. Neal
General Electric Company
901 Main Avenue
Norwalk, CT  06851
Vice Chairman of General Electric Company; President & CEO, GE Capital
 
J.G. Rice
General Electric Company
4200 Wildwood Parkway
Atlanta, GA  30339
 
Vice Chairman of General Electric Company; President & CEO, Global Growth & Operations
K.S. Sherin
General Electric Company
3135 Easton Turnpike
Fairfield, CT  06828
Vice Chairman of General Electric Company and Chief Financial Officer
 

 
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Citizenship
 
Geoffrey Beattie                              Canada
Andrea Jung                                    Canada
John Lynch                                       United Kingdom
All Others                                          U.S.A.
 
 













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