-----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, LF3KnMpWAkljcOfRhNgpZEkwIzoSaGlnmjjXdFZr95GAuMJ6IUzADckpbkHfyiBn 1Oj8qH8yaWTuIDPs6Z4o1w== 0000899140-08-001428.txt : 20080702 0000899140-08-001428.hdr.sgml : 20080702 20080702171848 ACCESSION NUMBER: 0000899140-08-001428 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080702 DATE AS OF CHANGE: 20080702 GROUP MEMBERS: CHARLES R. KAYE GROUP MEMBERS: JOSEPH P. LANDY GROUP MEMBERS: WARBURG PINCUS & CO. GROUP MEMBERS: WARBURG PINCUS IX, LLC GROUP MEMBERS: WARBURG PINCUS LLC GROUP MEMBERS: WARBURG PINCUS PARTNERS, LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NYFIX INC CENTRAL INDEX KEY: 0000099047 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER INTEGRATED SYSTEMS DESIGN [7373] IRS NUMBER: 061344888 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-47509 FILM NUMBER: 08935472 BUSINESS ADDRESS: STREET 1: 100 WALL STREET STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 212-809-3542 MAIL ADDRESS: STREET 1: 100 WALL STREET STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 FORMER COMPANY: FORMER CONFORMED NAME: TRINITECH SYSTEMS INC DATE OF NAME CHANGE: 19940404 FORMER COMPANY: FORMER CONFORMED NAME: TRANS AIRE ELECTRONICS INC DATE OF NAME CHANGE: 19910916 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Warburg Pincus Private Equity IX, L.P. CENTRAL INDEX KEY: 0001332737 IRS NUMBER: 202976029 FISCAL YEAR END: 1204 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 466 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-878-0600 MAIL ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 466 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 SC 13D/A 1 n4355924b.txt AMENDMENT NO. 5 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 5) Under the Securities Exchange Act of 1934* NYFIX, Inc. ----------- (Name of Issuer) Common Stock, Par Value $0.001 Per Share ---------------------------------------- (Title of Class of Securities) 670712108 --------- (CUSIP Number) Scott A. Arenare, Esq. Managing Director and General Counsel Warburg Pincus LLC 466 Lexington Avenue New York, NY 10017 (212) 878-0600 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) With a copy to: Steven J. Gartner, Esq. Willkie Farr & Gallagher LLP 787 Seventh Avenue New York, NY 10019 (212) 728-8000 June 30, 2008 ------------- (Date of Event which Requires Filing of This Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box: [ ] NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 240.13d-7 for other parties to whom copies are to be sent. * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). - -------------------------- ------------------------------- --------------------- SCHEDULE 13D CUSIP No. - 670712108 Page 3 of 17 pages - ------------- ------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Warburg Pincus Private Equity IX, L.P. IRS # 20-2975990 - ------------- ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) {X] - ------------- ------------------------------------------------------------------ 3 SEC USE ONLY - ------------- ------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------- ------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] - ------------- ------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------- ----------- ----------------------------------------- 7 SOLE VOTING POWER -0- NUMBER OF ----------- ----------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 20,575,227 EACH ----------- ----------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 20,575,227 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,575,227 - ------------- ------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ------------- ------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 37.6% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON PN - ------------- ------------------------------------------------------------------ - -------------------------- ------------------------------- --------------------- SCHEDULE 13D CUSIP No. - 670712108 Page 4 of 17 pages - ------------- ------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Warburg Pincus IX, LLC IRS # 20-2975945 - ------------- ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) {X] - ------------- ------------------------------------------------------------------ 3 SEC USE ONLY - ------------- ------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------- ------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] - ------------- ------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------- ----------- ----------------------------------------- 7 SOLE VOTING POWER -0- NUMBER OF ----------- ----------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 20,575,227 EACH ----------- ----------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 20,575,227 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,575,227 - ------------- ------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ------------- ------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 37.6% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON OO - ------------- ------------------------------------------------------------------ - -------------------------- ------------------------------- --------------------- SCHEDULE 13D CUSIP No. - 670712108 Page 5 of 17 pages - ------------- ------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Warburg Pincus Partners, LLC IRS # 13-4069737 - ------------- ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) {X] - ------------- ------------------------------------------------------------------ 3 SEC USE ONLY - ------------- ------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------- ------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] - ------------- ------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------- ----------- ----------------------------------------- 7 SOLE VOTING POWER -0- NUMBER OF ----------- ----------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 20,575,227 EACH ----------- ----------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 20,575,227 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,575,227 - ------------- ------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ------------- ------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 37.6% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON OO - ------------- ------------------------------------------------------------------ - -------------------------- ------------------------------- --------------------- SCHEDULE 13D CUSIP No. - 670712108 Page 6 of 17 pages - ------------- ------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Warburg Pincus LLC IRS # 13-3536050 - ------------- ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) {X] - ------------- ------------------------------------------------------------------ 3 SEC USE ONLY - ------------- ------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------- ------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] - ------------- ------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------- ----------- ----------------------------------------- 7 SOLE VOTING POWER -0- NUMBER OF ----------- ----------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 20,575,227 EACH ----------- ----------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 20,575,227 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,575,227 - ------------- ------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ------------- ------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 37.6% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON OO - ------------- ------------------------------------------------------------------ - -------------------------- ------------------------------- --------------------- SCHEDULE 13D CUSIP No. - 670712108 Page 7 of 17 pages - ------------- ------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Warburg Pincus & Co. IRS # 13-6358475 - ------------- ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) {X] - ------------- ------------------------------------------------------------------ 3 SEC USE ONLY - ------------- ------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------- ------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] - ------------- ------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------- ----------- ----------------------------------------- 7 SOLE VOTING POWER -0- NUMBER OF ----------- ----------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 20,575,227 EACH ----------- ----------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 20,575,227 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,575,227 - ------------- ------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ------------- ------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 37.6% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON PN - ------------- ------------------------------------------------------------------ - -------------------------- ------------------------------- --------------------- SCHEDULE 13D CUSIP No. - 670712108 Page 8 of 17 pages - ------------- ------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Charles R. Kaye - ------------- ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) {X] - ------------- ------------------------------------------------------------------ 3 SEC USE ONLY - ------------- ------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------- ------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] - ------------- ------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------- ----------- ----------------------------------------- 7 SOLE VOTING POWER -0- NUMBER OF ----------- ----------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 20,575,227 EACH ----------- ----------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 20,575,227 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,575,227 - ------------- ------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ------------- ------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 37.6% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON IN - ------------- ------------------------------------------------------------------ - -------------------------- ------------------------------- --------------------- SCHEDULE 13D CUSIP No. - 670712108 Page 9 of 17 pages - ------------- ------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Joseph P. Landy - ------------- ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) {X] - ------------- ------------------------------------------------------------------ 3 SEC USE ONLY - ------------- ------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------- ------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] - ------------- ------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------- ----------- ----------------------------------------- 7 SOLE VOTING POWER -0- NUMBER OF ----------- ----------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 20,575,227 EACH ----------- ----------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 20,575,227 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,575,227 - ------------- ------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ------------- ------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 37.6% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON IN - ------------- ------------------------------------------------------------------ This Amendment No. 5 to Schedule 13D (this "Amendment No. 5") is being filed with respect to the Common Stock of NYFIX, Inc., a Delaware corporation (the "Issuer"), to amend the Schedule 13D filed on October 19, 2006 (as amended by Amendment No. 1 thereto filed on May 10, 2007, Amendment No. 2 thereto filed on July 3, 2007, Amendment No. 3 filed on January 4, 2008, Amendment No. 4 thereto filed on March 17, 2008 and this Amendment No. 5, the "Schedule 13D"). Capitalized terms used but not defined herein have the meaning ascribed thereto in the Schedule 13D. Item 3. Source and Amount of Funds or Other Consideration Item 3 of the Schedule 13D is hereby amended to add the following: On June 30, 2008, 525,000 shares of Common Stock were issued to WP IX by the Issuer in payment of interest and a dividend on the Series B Preferred Stock held by WP IX pursuant to the Certificate of Designations. Item 5. Interest in Securities of the Issuer Items 5(a) and (b) of the Schedule 13D are hereby amended and restated in their entirety as follows: (a) WP IX is the direct record owner of (i) 1,500,000 shares of Series B Preferred Stock, (ii) a Warrant to purchase an aggregate of 2,250,000 shares of Common Stock, subject to adjustment under certain circumstances, and (iii) 3,325,227 shares of Common Stock. Each share of Series B Preferred Stock is convertible in whole or in part, at any time and from time to time into 10 shares of Common Stock, subject to adjustment under certain circumstances. The Warrant is exercisable in whole or in part, at any time and from time to time, until October 12, 2016. Accordingly, as of July 2, 2008, WP IX is deemed to beneficially own an aggregate of 20,575,227 shares of Common Stock, which represents approximately 37.6% of the outstanding shares of Common Stock in accordance with Rule 13d-3(d). This percentage is based on 37,460,286 shares of Common Stock outstanding as of May 6, 2008, as disclosed in the Issuer's Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2008. Due to their respective relationships with WP IX and each other, the Reporting Persons may be deemed to beneficially own, in the aggregate, 20,575,227 shares of the Issuer's Common Stock, which represents 37.6% of the outstanding shares of the Issuer's Common Stock. Each of WP, WPP LLC, WP LLC, WP IX LLC, Mr. Kaye and Mr. Landy disclaim beneficial ownership of the Common Stock. (b) Each of the Reporting Persons is deemed to share with WP IX the power to vote or to direct the vote and to dispose or to direct the disposition of 20,575,227 shares of the Issuer's Common Stock. 10 Item 5(c) of the Schedule 13D is hereby amended and restated in its entirety as follows: Except for the transaction described in Item 3 above, no other transactions in shares of the Issuer's Common Stock were effected by the Reporting Persons during the 60 days before the date of this Amendment No. 5. [Remainder of page intentionally left blank] 11 SIGNATURES 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: July 2, 2008 WARBURG PINCUS PRIVATE EQUITY IX, L.P. By: Warburg Pincus IX, LLC, its General Partner, By: Warburg Pincus Partners, LLC, its Sole Member, By: Warburg Pincus & Co., its Managing Member By: /s/ Scott A. Arenare ---------------------------------------------------- Name: Scott A. Arenare Title: Partner WARBURG PINCUS IX, LLC By: Warburg Pincus Partners, LLC, its Sole Member, By: Warburg Pincus & Co., its Managing Member By: /s/ Scott A. Arenare ---------------------------------------------------- Name: Scott A. Arenare Title: Partner WARBURG PINCUS PARTNERS, LLC By: Warburg Pincus & Co., its Managing Member By: /s/ Scott A. Arenare ---------------------------------------------------- Name: Scott A. Arenare Title: Partner WARBURG PINCUS LLC By: /s/ Scott A. Arenare ---------------------------------------------------- Name: Scott A. Arenare Title: Managing Director WARBURG PINCUS & CO. By: /s/ Scott A. Arenare ---------------------------------------------------- Name: Scott A. Arenare Title: Partner By: /s/ Scott A. Arenare ---------------------------------------------------- Name: Charles R. Kaye By: Scott A. Arenare, Attorney-in-Fact* By: /s/ Scott A. Arenare ---------------------------------------------------- Name: Joseph P. Landy By: Scott A. Arenare, Attorney-in-Fact* * Power of Attorney given by Mr. Kaye was previously filed with the SEC on March 2, 2006 as an exhibit to a Schedule 13D filed by Building Products, LLC with respect to Builders FirstSource, Inc. ** Power of Attorney given by Mr. Landy was previously filed with the SEC on March 2, 2006 as an exhibit to a Schedule 13D filed by Building Products, LLC with respect to Builders FirstSource, Inc. SCHEDULE I ---------- Set forth below is the name, position and present principal occupation of each of the general partners of Warburg Pincus & Co. ("WP") and members of Warburg Pincus LLC (including its subsidiaries, "WP LLC"). Except as otherwise indicated, the business address of each of such persons is 466 Lexington Avenue, New York, New York 10017, and each of such persons is a citizen of the United States.
GENERAL PARTNERS OF WP - ----------------------------------- -------------------------------------------------------------------------------------- PRESENT PRINCIPAL OCCUPATION IN ADDITION TO POSITION WITH WP, AND POSITIONS NAME WITH THE REPORTING ENTITIES - ----------------------------------- -------------------------------------------------------------------------------------- Joel Ackerman Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Scott A. Arenare Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- David Barr Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Sean D. Carney Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Mark Colodny Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- David A. Coulter Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Timothy J. Curt Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- W. Bowman Cutter Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Cary J. Davis Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Steven Glenn Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Michael Graff Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Patrick T. Hackett Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- E. Davisson Hardman Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Jeffrey A. Harris Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Stewart J. Hen Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- William H. Janeway Partner of WP; Member and Senior Advisor of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Chansoo Joung Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Peter R. Kagan Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Charles R. Kaye Managing General Partner of WP; Managing Member and Co-President of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Henry Kressel Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- David Krieger Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Kevin Kruse Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Joseph P. Landy Managing General Partner of WP; Managing Member and Co-President of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Kewsong Lee Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Jonathan S. Leff Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Philip Mintz Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- James Neary Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Bilge Ogut Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Dalip Pathak Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Michael F. Profenius Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Justin Sadrian Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Henry B. Schacht Partner of WP; Member and Senior Advisor of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Steven G. Schneider Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Patrick Severson Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- John Shearburn Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Barry Taylor Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Christopher H. Turner Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- John L. Vogelstein Partner of WP; Member and Senior Advisor of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Elizabeth H. Weatherman Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Rosanne Zimmerman Partner of WP; Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Pincus & Company LLC* - ----------------------------------- -------------------------------------------------------------------------------------- WP & Co. Partners, L.P.** - ----------------------------------- -------------------------------------------------------------------------------------- Warburg Pincus Principal Partnership, L.P.*** - ----------------------------------- -------------------------------------------------------------------------------------- - ----------------------------------- -------------------------------------------------------------------------------------- Warburg Pincus Real Estate Principal Partnership, L.P.*** - ----------------------------------- -------------------------------------------------------------------------------------- Warburg Pincus 2006 Limited Partnership*** - ----------------------------------- -------------------------------------------------------------------------------------- Warburg Pincus 2007 Limited Partnership*** - ----------------------------------- --------------------------------------------------------------------------------------
_____________________ * New York limited liability company; primary activity is ownership interest in WP and WP LLC ** New York limited partnership; primary activity is ownership interest in WP *** Delaware limited partnership; primary activity is ownership interest in WP
MEMBERS OF WP LLC ----------------- - ----------------------------------- -------------------------------------------------------------------------------------- PRESENT PRINCIPAL OCCUPATION IN ADDITION TO POSITION WITH WP LLC, AND POSITIONS NAME WITH THE REPORTING ENTITIES - ----------------------------------- -------------------------------------------------------------------------------------- Joel Ackerman Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Scott A. Arenare Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Pedro Aznar (1) Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- David Barr Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Sean D. Carney Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Julian Cheng (2) Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Stephen John Coates (3) Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Mark Colodny Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- David A. Coulter Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Timothy J. Curt Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- W. Bowman Cutter Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Cary J. Davis Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Rajiv Ghatalia (2) Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Steven Glenn Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Michael Graff Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Patrick T. Hackett Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- E. Davisson Hardman Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Jeffrey A. Harris Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Stewart J. Hen Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- William H. Janeway Member and Senior Advisor of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Chansoo Joung Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Peter R. Kagan Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Charles R. Kaye Managing Member and Co-President of WP LLC; Managing General Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Rajesh Khanna (4) Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Henry Kressel Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- David Krieger Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Kevin Kruse Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Joseph P. Landy Managing Member and Co-President of WP LLC; Managing General Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Kewsong Lee Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Jonathan S. Leff Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- David Li (2) Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Niten Malhan (4) Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Philip Mintz Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Luca Molinari (5) Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- James Neary Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Bilge Ogut Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Dalip Pathak Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Michael F. Profenius Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Leo Puri (4) Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Justin Sadrian Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Henry B. Schacht Member and Senior Advisor of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Steven G. Schneider Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Joseph C. Schull (6) Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Patrick Severson Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- John Shearburn Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Chang Q. Sun (2) Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Barry Taylor Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Christopher H. Turner Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Simon Turton (3) Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- John L. Vogelstein Member and Senior Advisor of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Elizabeth H. Weatherman Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Peter Wilson (3) Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Jeremy S. Young (3) Member and Managing Director of WP LLC - ----------------------------------- -------------------------------------------------------------------------------------- Rosanne Zimmerman Member and Managing Director of WP LLC; Partner of WP - ----------------------------------- -------------------------------------------------------------------------------------- Pincus & Company LLC* - ----------------------------------- --------------------------------------------------------------------------------------
(1) Citizen of Germany (2) Citizen of Hong Kong (3) Citizen of United Kingdom (4) Citizen of India (5) Citizen of Italy (6) Citizen of Canada * New York limited liability company; primary activity is ownership interest in WP and WP LLC As of June 1, 2008 -----END PRIVACY-ENHANCED MESSAGE-----