-----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, B5+9b7yZxqPkyTcFIrt5zoS0Szxmx97QAK48cYUPpximppEUePPABTM157peTAr6 uZkv0bodthmPa1Yx+3kSvg== 0000806085-01-500011.txt : 20010504 0000806085-01-500011.hdr.sgml : 20010504 ACCESSION NUMBER: 0000806085-01-500011 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010503 GROUP MEMBERS: JEANNINE COZZATI GROUP MEMBERS: LEHMAN BROTHERS HOLDINGS INC GROUP MEMBERS: OLIVER BUDDE GROUP MEMBERS: SHARON COMPTON SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PEMSTAR INC CENTRAL INDEX KEY: 0000924829 STANDARD INDUSTRIAL CLASSIFICATION: PRINTED CIRCUIT BOARDS [3672] IRS NUMBER: 411771227 STATE OF INCORPORATION: MN FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-59473 FILM NUMBER: 1621661 BUSINESS ADDRESS: STREET 1: 3535 TECHNOLOGY DR NW CITY: ROCHESTER STATE: MN ZIP: 55901 BUSINESS PHONE: 5072886720 MAIL ADDRESS: STREET 1: 3535 TECHNOLOGY DR NW CITY: ROCHESTER STATE: MN ZIP: 55901 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LEHMAN BROTHERS HOLDINGS INC CENTRAL INDEX KEY: 0000806085 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 133216325 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: AMERICAN EXPRESS TWR STREET 2: 3 WORLD FINANCIAL CNTR CITY: NEW YORK STATE: NY ZIP: 10285 BUSINESS PHONE: 2125267000 MAIL ADDRESS: STREET 1: AMERICAN EXPRESS TOWER 15TH FL STREET 2: 2 WORLD TRADE CENTER CITY: NEW YORK STATE: NY ZIP: 10048 FORMER COMPANY: FORMER CONFORMED NAME: SHEARSON LEHMAN HUTTON HOLDINGS INC DATE OF NAME CHANGE: 19901017 SC 13D 1 pemstar13d.txt SCHEDULE 13D PEMSTAR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) Pemstar Inc. ----------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.01 per share ---------------------------------------------------------- (Title of Class of Securities) 706552 10 6 ------------------------------------------------------------------------- (CUSIP Number) Oliver Budde Vice President Lehman Brothers Holdings Inc. 1 World Financial Center, 27th Floor New York, NY 10281 (646) 836-2143 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 25, 2001 --------------------------------------------------------------------------- (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 which 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. Page 1 of 18 Pages
- --------------------------------------------- --------------------------------------- ------------------------------------------ CUSIP No. 706552 10 6 13D Page 2 of 18 Pages ------------ ---------- ----------- - --------------------------------------------- --------------------------------------- ------------------------------------------ =========== ======================================================================================================================= 1 NAME OF REPORTING PERSON ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- Lehman Brothers Holdings Inc. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 13-3216325 - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ----------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- -------- (a) -------------------------------------------------------------------------------------------------------------- -------- ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- -------- (b) -------------------------------------------------------------------------------------------------------------- -------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- 00 - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 5 CHECK 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 - -------------------------------------- ----------------------------------------------------------------------------------- ----------------------------------------------------------------------------------- 0 - -------------------------------------- -------- ----------------------------------------------------------------------------------- - -------------------------------------- -------- ----------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY - -------------------------------------- ----------------------------------------------------------------------------------- ----------------------------------------------------------------------------------- 2,759,903 - -------------------------------------- -------- ----------------------------------------------------------------------------------- - -------------------------------------- -------- ----------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING - -------------------------------------- ----------------------------------------------------------------------------------- ----------------------------------------------------------------------------------- 0 - -------------------------------------- -------- ----------------------------------------------------------------------------------- - -------------------------------------- -------- ----------------------------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH - -------------------------------------- ----------------------------------------------------------------------------------- ----------------------------------------------------------------------------------- 4,959,903 - -------------------------------------- -------- ----------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- 4,959,903 - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ----------------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------ ----- ---- ------------------------------------------------------------------------------------------------------------ ----- ---- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- 18.42% - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- HC/CO =========== ======================================================================================================================= Page 3 of 18 Pages ========== ======================================================================================================================== 1 NAME OF REPORTING PERSON ------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------ Lehman Brothers Inc. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 13-2518466 - ---------- ------------------------------------------------------------------------------------------------------------------------ - ---------- ------------------------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ------------------------------------------------------------------------------------------------------------------------ --------------------------------------------------------------------------------------------------------------- ----- -- (a) --------------------------------------------------------------------------------------------------------------- ----- -- ------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------ --------------------------------------------------------------------------------------------------------------- -------- (b) --------------------------------------------------------------------------------------------------------------- -------- ------------------------------------------------------------------------------------------------------------------------ - ---------- ------------------------------------------------------------------------------------------------------------------------ - ---------- ------------------------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY - ---------- ------------------------------------------------------------------------------------------------------------------------ - ---------- ------------------------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS --------------------------------------------------------------------------------------------------------------------- -- ------------------------------------------------------------------------------------------------------------------------ 00 - ---------- ------------------------------------------------------------------------------------------------------------------------ - ---------- ------------------------------------------------------------------------------------------------------------------------ 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) ------------------------------------------------------------------------------------------------------------------------ --------------------------------------------------------------------------------------------------------------- ----- -- X --------------------------------------------------------------------------------------------------------------- ----- -- ------------------------------------------------------------------------------------------------------------------------ - -------- -------------------------------------------------------------------------------------------------------------------------- - -------- -------------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION -------------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------------- Delaware - -------- -------------------------------------------------------------------------------------------------------------------------- - ------------------------------------ -------- ------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES - ------------------------------------ ------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------- 0 - ------------------------------------ -------- ------------------------------------------------------------------------------------- - ------------------------------------ -------- ------------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY - ------------------------------------ ------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------- 2,759,903 - ------------------------------------ -------- ------------------------------------------------------------------------------------- - ------------------------------------ -------- ------------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING - ------------------------------------ ------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------- 0 - ------------------------------------ -------- ------------------------------------------------------------------------------------- - ------------------------------------ -------- ------------------------------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH - ------------------------------------ ------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------- 4,959,903 - ------------------------------------ -------- ------------------------------------------------------------------------------------- - -------- -------------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -------------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------------- 4,959,903 - -------- -------------------------------------------------------------------------------------------------------------------------- - -------- -------------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES -------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------- ----- ---- --------------------------------------------------------------------------------------------------------------- ----- ---- -------------------------------------------------------------------------------------------------------------------------- - -------- -------------------------------------------------------------------------------------------------------------------------- - -------- -------------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) -------------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------------- 18.42% - -------- -------------------------------------------------------------------------------------------------------------------------- - -------- -------------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON -------------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------------- BD/CO ======== ========================================================================================================================== Page 4 of 18 Pages ========= ========================================================================================================================= 1 NAME OF REPORTING PERSON ------------------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------------------- LB I Group Inc. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 13-2741778 - --------- ------------------------------------------------------------------------------------------------------------------------- - --------- ------------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ------------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- ---- (a) -------------------------------------------------------------------------------------------------------------- ----- -- ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- -- (b) -------------------------------------------------------------------------------------------------------------- ----- -- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- 00 - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 5 CHECK 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 - -------------------------------------- ----------------------------------------------------------------------------------- ----------------------------------------------------------------------------------- 686,604 - -------------------------------------- -------- ----------------------------------------------------------------------------------- - -------------------------------------- -------- ----------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY - -------------------------------------- ----------------------------------------------------------------------------------- ----------------------------------------------------------------------------------- 2,759,903 - -------------------------------------- -------- ----------------------------------------------------------------------------------- - -------------------------------------- -------- ----------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING - -------------------------------------- ----------------------------------------------------------------------------------- ----------------------------------------------------------------------------------- 686,604 - -------------------------------------- -------- ----------------------------------------------------------------------------------- - -------------------------------------- -------- ----------------------------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH - -------------------------------------- ----------------------------------------------------------------------------------- ----------------------------------------------------------------------------------- 4,959,903 - -------------------------------------- -------- ----------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- 4,959,903 - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ----------------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------------ ---- -------------------------------------------------------------------------------------------------------------- --- ---- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- 18.42% - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- HC/CO =========== ======================================================================================================================= Page 5 of 18 Pages =========== ======================================================================================================================= 1 NAME OF REPORTING PERSON ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- Lehman Brothers Venture Capital Partners I, L.P. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 13-4055760 - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ----------------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------ ----- ---- (a) ------------------------------------------------------------------------------------------------------------ ----- ---- ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------ ----- ---- (b) ------------------------------------------------------------------------------------------------------------ ----- ---- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- 00 - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 5 CHECK 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 - ------------------------------------ ------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------- 0 - ------------------------------------ -------- ------------------------------------------------------------------------------------- - ------------------------------------ -------- ------------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY - ------------------------------------ ------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------- 366,906 - ------------------------------------ -------- ------------------------------------------------------------------------------------- - ------------------------------------ -------- ------------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING - ------------------------------------ ------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------- 0 - ------------------------------------ -------- ------------------------------------------------------------------------------------- - ------------------------------------ -------- ------------------------------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH - ------------------------------------ ------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------- 366,906 - ------------------------------------ -------- ------------------------------------------------------------------------------------- - --------- ------------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON ------------------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------------------- 366,906 - --------- ------------------------------------------------------------------------------------------------------------------------- - --------- ------------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ------------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- ---- -------------------------------------------------------------------------------------------------------------- ----- ---- ------------------------------------------------------------------------------------------------------------------------- - --------- ------------------------------------------------------------------------------------------------------------------------- - --------- ------------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) ------------------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------------------- 1.36% - --------- ------------------------------------------------------------------------------------------------------------------------- - --------- ------------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON ------------------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------------------- PN ========= ========================================================================================================================= Page 6 of 18 Pages =========== ======================================================================================================================= 1 NAME OF REPORTING PERSON ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- Lehman Brothers Venture Associates Inc. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 13-4053690 - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ----------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- -- (a) -------------------------------------------------------------------------------------------------------------- ----- -- ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- -- (b) -------------------------------------------------------------------------------------------------------------- ----- -- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- 00 - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 5 CHECK 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 - -------------------------------------- ----------------------------------------------------------------------------------- ----------------------------------------------------------------------------------- 0 - -------------------------------------- -------- ----------------------------------------------------------------------------------- - -------------------------------------- -------- ----------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY - -------------------------------------- ----------------------------------------------------------------------------------- ----------------------------------------------------------------------------------- 613,158 - -------------------------------------- -------- ----------------------------------------------------------------------------------- - -------------------------------------- -------- ----------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING - -------------------------------------- ----------------------------------------------------------------------------------- ----------------------------------------------------------------------------------- 0 - -------------------------------------- -------- ----------------------------------------------------------------------------------- - -------------------------------------- -------- ----------------------------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH - -------------------------------------- ----------------------------------------------------------------------------------- ----------------------------------------------------------------------------------- 613,158 - -------------------------------------- -------- ----------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- 613,158 - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ----------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- -- -------------------------------------------------------------------------------------------------------------- ----- -- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- 2.28% - ----------- ----------------------------------------------------------------------------------------------------------------------- - ----------- ----------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON ----------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------- CO =========== ======================================================================================================================= Page 7 of 18 Pages =========== ====================================================================================================================== 1 NAME OF REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- Lehman Brothers Venture GP Partnership L.P. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 13-4098280 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - (a) -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - (b) -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- 00 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 5 CHECK 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 - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 0 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 613,158 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 0 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 613,158 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- 613,158 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- 2.28% - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- PN =========== ====================================================================================================================== Page 8 of 18 Pages =========== ====================================================================================================================== 1 NAME OF REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- Lehman Brothers Venture Partners L.P. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 13-4055753 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - (a) -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - (b) -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- 00 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 5 CHECK 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 - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 0 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 613,158 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 0 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 613,158 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- 613,158 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- 2.28% - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- PN =========== ====================================================================================================================== Page 9 of 18 Pages =========== ====================================================================================================================== 1 NAME OF REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- Lehman Brothers 1999 Venture GP Partnership L.P. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 13-4098283 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - (a) -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - (b) -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- 00 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 5 CHECK 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 - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 0 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 993,812 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 0 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 1,333,332 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- 1,333,332 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- 4.95% - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- PN =========== ====================================================================================================================== Page 10 of 18 Pages =========== ====================================================================================================================== 1 NAME OF REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- Lehman Brothers VC Partners L.P. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 13-4066168 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - (a) -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - (b) -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- 00 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 5 CHECK 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 - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 0 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 993,812 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 0 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 1,333,332 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- 1,333,332 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- 4.95% - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- PN =========== ====================================================================================================================== Page 11 of 18 Pages =========== ===================================================================================================================== 1 NAME OF REPORTING PERSON --------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------- Lehman Brothers MBG Venture Capital Partners 1998 (A) L.P. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 13-4036790 - ----------- --------------------------------------------------------------------------------------------------------------------- - ----------- --------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP --------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- (a) -------------------------------------------------------------------------------------------------------------- ----- --------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- (b) -------------------------------------------------------------------------------------------------------------- ----- --------------------------------------------------------------------------------------------------------------------- - ----------- --------------------------------------------------------------------------------------------------------------------- - ----------- --------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- --------------------------------------------------------------------------------------------------------------------- - ----------- --------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS --------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------- 00 - ----------- --------------------------------------------------------------------------------------------------------------------- - ----------- --------------------------------------------------------------------------------------------------------------------- 5 CHECK 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 - -------------------------------------- --------------------------------------------------------------------------------- --------------------------------------------------------------------------------- 0 - -------------------------------------- -------- --------------------------------------------------------------------------------- - -------------------------------------- -------- --------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY - -------------------------------------- --------------------------------------------------------------------------------- --------------------------------------------------------------------------------- 87,807 - -------------------------------------- -------- --------------------------------------------------------------------------------- - -------------------------------------- -------- --------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING - -------------------------------------- --------------------------------------------------------------------------------- --------------------------------------------------------------------------------- 0 - -------------------------------------- -------- --------------------------------------------------------------------------------- - -------------------------------------- -------- --------------------------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH - -------------------------------------- --------------------------------------------------------------------------------- --------------------------------------------------------------------------------- 87,807 - -------------------------------------- -------- --------------------------------------------------------------------------------- - ----------- --------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON --------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------- 87,807 - ----------- --------------------------------------------------------------------------------------------------------------------- - ----------- --------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES --------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- -------------------------------------------------------------------------------------------------------------- ----- --------------------------------------------------------------------------------------------------------------------- - ----------- --------------------------------------------------------------------------------------------------------------------- - ----------- --------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) --------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------- .33% - ----------- --------------------------------------------------------------------------------------------------------------------- - ----------- --------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON --------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------- PN =========== ===================================================================================================================== Page 12 of 18 Pages =========== ====================================================================================================================== 1 NAME OF REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- Lehman Brothers MBG Venture Capital Partners 1998 (B) L.P. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 13-4036792 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - (a) -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - (b) -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- 00 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 5 CHECK 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 - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 0 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 1,620 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 0 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 1,620 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- 1,620 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- .006% - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- PN =========== ====================================================================================================================== Page 13 of 18 Pages =========== ====================================================================================================================== 1 NAME OF REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- Lehman Brothers MBG Venture Capital Partners 1998 (C) L.P. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 13-4036793 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - (a) -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - (b) -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- 00 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 5 CHECK 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 - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 0 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 9,996 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 0 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - -------------------------------------- -------- ---------------------------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH - -------------------------------------- ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- 9,996 - -------------------------------------- -------- ---------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- 9,996 - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ---------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------- ----- - -------------------------------------------------------------------------------------------------------------- ----- - ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- .037% - ----------- ---------------------------------------------------------------------------------------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON ---------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------- PN =========== ======================================================================================================================
Amendment No. 1 to Schedule 13D The Schedule 13D as originally filed on August 21, 2000, is hereby amended and supplemented to the extent set forth in this Amendment No. 1. Item 4. Purpose of Transaction This item is hereby amended by adding the following paragraphs hereto: Michael Odrich, a Managing Director of LBI, resigned his position as a Director of Pemstar on January 24, 2001. On April 25, 2001, LB I Group and LB VCP (collectively, the "Grantors") granted to Pemstar an Irrevocable Proxy (the "Proxy"), effective as of March 15, 2001, to vote 2,200,000 of the shares of the Common Stock (the "Proxy Shares") that the Grantors would otherwise be entitled to vote. In its capacity as agent for the Proxy Shares, Pemstar will act through its executive officer upon the direction of Pemstar's Board of Directors. The Proxy entitles Pemstar to vote the Proxy Shares at any meeting of the shareholders of Pemstar, or to give consent in lieu of voting on any matter which is submitted for a vote of consent to the stockholders of Pemstar, including the right to sign its name (as a shareholder) to any consent, certificate or other document in connection with any shareholder vote or consent. The Proxy and the powers granted thereunder are coupled with an interest and are not revocable by the Grantors. The Proxy and the powers granted thereunder will remain in effect until it is automatically terminated upon the Grantors and their affiliates (as defined in Rule 405 of the Securities Act of 1933) ceasing to own on a collective basis 10% or more of the outstanding Common Stock. Additionally, the Proxy and the powers granted thereunder will immediately terminate with respect to any Proxy Shares that are transferred by the Grantors in any manner to any person or entity that is not otherwise affiliated with the Grantors. Item 5. Interest in Securities of the Issuer This item is hereby amended as follows: (b) The following table sets forth, for each Reporting Person, the number of shares of Common Stock as to which there is (i) sole power to vote or direct the vote, (ii) shared power to vote or direct the vote, (iii) sole power to dispose or direct the disposition, and (iv) shared power to dispose or to direct the disposition.
- --------------------- ------------------- -------------------------- --------------------- ------------------------- Sole Shared Sole Shared Reporting Voting Voting Dispositive Dispositive Person Power Power Power Power - --------------------- ------------------- -------------------------- --------------------- ------------------------- - --------------------- ------------------- -------------------------- --------------------- ------------------------- Holdings 0 2,759,903 0 4,959,903 - --------------------- ------------------- -------------------------- --------------------- ------------------------- - --------------------- ------------------- -------------------------- --------------------- ------------------------- LBI 0 2,759,903 0 4,959,903 - --------------------- ------------------- -------------------------- --------------------- ------------------------- - --------------------- ------------------- -------------------------- --------------------- ------------------------- LB I Group 686,604 2,759,903 686,604 4,959,903 - --------------------- ------------------- -------------------------- --------------------- ------------------------- - --------------------- ------------------- -------------------------- --------------------- ------------------------- LB VCP I 0 366,906 0 366,906 - --------------------- ------------------- -------------------------- --------------------- -------------------------
Page 14 of 18
- --------------------- ------------------- -------------------------- --------------------- ------------------------- LB VA 0 613,158 0 613,158 - --------------------- ------------------- -------------------------- --------------------- ------------------------- - --------------------- ------------------- -------------------------- --------------------- ------------------------- LB VGPP 0 613,158 0 613,158 - --------------------- ------------------- -------------------------- --------------------- ------------------------- - --------------------- ------------------- -------------------------- --------------------- ------------------------- LB VP 0 613,158 0 613,158 - --------------------- ------------------- -------------------------- --------------------- ------------------------- - --------------------- ------------------- -------------------------- --------------------- ------------------------- LB 1999 VGPP 0 993,812 0 1,333,332 - --------------------- ------------------- -------------------------- --------------------- ------------------------- - --------------------- ------------------- -------------------------- --------------------- ------------------------- LB VCP 0 993,812 0 1,333,332 - --------------------- ------------------- -------------------------- --------------------- ------------------------- - --------------------- ------------------- -------------------------- --------------------- ------------------------- MBG (A) 0 87,807 0 87,807 - --------------------- ------------------- -------------------------- --------------------- ------------------------- - --------------------- ------------------- -------------------------- --------------------- ------------------------- MBG (B) 0 1,620 0 1,620 - --------------------- ------------------- -------------------------- --------------------- ------------------------- - --------------------- ------------------- -------------------------- --------------------- ------------------------- MBG (C) 0 9,996 0 9,996 - --------------------- ------------------- -------------------------- --------------------- -------------------------
Item 7. Material to Be Filed as Exhibits This item is hereby amended by adding the following exhibit: Exhibit C: Irrevocable Proxy, by and between LBI Group Inc. and Lehman Brothers VC Partners L.P. (collectively, the "Grantors") and Pemstar, Inc. (the "Grantee"), signed April 25, 2001 and effective as of March 15, 2001. Page 15 of 18 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: May 3, 2001 LEHMAN BROTHERS HOLDINGS INC. By: /s/ Oliver Budde Name: Oliver Budde Title: Vice President LEHMAN BROTHERS INC. By: /s/ Oliver Budde Name: Oliver Budde Title: Vice President LB I GROUP INC. By: /s/ Oliver Budde Name: Oliver Budde Title: Vice President LEHMAN BROTHERS VENTURE CAPITAL PARTNERS I, L.P. By: /s/ Oliver Budde Name: Oliver Budde Title: Authorized Signatory LEHMAN BROTHERS VENTURE ASSOCIATES INC. By: /s/ Oliver Budde Name: Oliver Budde Title: Vice President LEHMAN BROTHERS VENTURE GP PARTNERSHIP, L.P. By: /s/ Oliver Budde Name: Oliver Budde Title: Authorized Signatory LEHMAN BROTHERS VENTURE PARTNERS, L.P. By: /s/ Oliver Budde Name: Oliver Budde Title: Authorized Signatory LEHMAN BROTHERS 1999 VENTURE GP PARTNERSHIP L.P. By: /s/ Oliver Budde Name: Oliver Budde Title: Authorized Signatory Page 16 of 18 LEHMAN BROTHERS VC PARTNERS L.P. By: /s/ Oliver Budde Name: Oliver Budde Title: Authorized Signatory LEHMAN BROTHERS MBG VENTURE CAPITAL PARTNERS 1998 (A) L.P. By: /s/ Oliver Budde Name: Oliver Budde Title: Authorized Signatory LEHMAN BROTHERS MBG VENTURE CAPITAL PARTNERS 1998 (B) L.P. By: /s/ Oliver Budde Name: Oliver Budde Title: Authorized Signatory LEHMAN BROTHERS MBG VENTURE CAPITAL PARTNERS 1998 (C) L.P. By: /s/ Oliver Budde Name: Oliver Budde Title: Authorized Signatory EXHIBIT C IRREVOCABLE PROXY The undersigned shareholder of Pemstar Inc., a Minnesota corporation (the "Company") hereby irrevocably constitutes and appoints the Company, who shall act through its chief executive officer upon the direction of the Board of Directors of the Company, for and in its name, place and stead, his true and lawful agent and proxy with full power of substitution, to vote 2,200,000 of the shares of common stock, par value $.01 per share, of the Company (the "Common Stock") that the undersigned would otherwise been entitled to vote at any meeting of the shareholders of the Company, or to give consent in lieu of voting on any matter which is submitted for a vote or consent to the stockholders of the Company, including the right to sign its name (as a shareholder) to any consent, certificate or other document in connection with any shareholder vote or consent. THE PROXY AND THE POWERS GRANTED BY THE UNDERSIGNED HEREUNDER ARE COUPLED WITH AN INTEREST AND SHALL NOT BE REVOCABLE BY THE UNDERSIGNED. This proxy and the powers granted by the undersigned shall remain in effect until it is automatically terminated upon the undersigned and its affiliates (as defined in Rule 405 of Securities Act of 1933) ceasing to own on a collective basis 10% or more of the outstanding Common Stock. The proxy and the powers granted by the undersigned hereunder shall immediately terminate with respect to any shares of Common Stock that are transferred by the undersigned in any manner (including, but not limited to, a sale, assignment, gift, merger, testamentary disposition or by operation of law) to any person or entity that is not otherwise affiliated with the undersigned. This proxy and the rights granted hereunder shall not be assigned (by operation of law or otherwise) by the holder thereof without the prior written consent of the undersigned. This proxy shall be governed by the laws of the State of Minnesota. In witness whereof, the undersigned has executed its Irrevocable Proxy as of this 15th day of March, 2001. LBI GROUP INC. /s/ Fred E. Steinberg ------------------------------ Name: Fred E. Steinberg Title: Vice President No. of Shares: 1,860,480 LEHMAN BROTHERS VC PARTNERS L.P. /s/ Fred E. Steinberg ------------------------------- Name: Fred E. Steinberg Title: Vice President No. of Shares: 339,520 Page 18 of 18 -----END PRIVACY-ENHANCED MESSAGE-----