-----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, OkrEyyeyJ7QhYZiorR2Rso958l1QS5LZ1DmcDEzpGaOTOQXSrxRIXYPveNVqByHd wFd5H/w3+qICj9eIhCOhzQ== 0000899140-09-000015.txt : 20090105 0000899140-09-000015.hdr.sgml : 20090105 20090105162127 ACCESSION NUMBER: 0000899140-09-000015 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090105 DATE AS OF CHANGE: 20090105 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: 09505423 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 n4645122b.txt AMENDMENT NO. 6 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 6) 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 December 31, 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 13 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 21,100,227 EACH ----------- ----------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 21,100,227 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 21,100,227 - ------------- ------------------------------------------------------------------ 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) 38.2% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON PN - ------------- ------------------------------------------------------------------ - -------------------------------------------------------------------------------- SCHEDULE 13D CUSIP No. - 670712108 Page 4 of 13 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 21,100,227 EACH ----------- ----------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 21,100,227 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 21,100,227 - ------------- ------------------------------------------------------------------ 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) 38.2% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON OO - ------------- ------------------------------------------------------------------ - -------------------------------------------------------------------------------- SCHEDULE 13D CUSIP No. - 670712108 Page 5 of 13 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 21,100,227 EACH ----------- ----------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 21,100,227 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 21,100,227 - ------------- ------------------------------------------------------------------ 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) 38.2% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON OO - ------------- ------------------------------------------------------------------ - -------------------------------------------------------------------------------- SCHEDULE 13D CUSIP No. - 670712108 Page 6 of 13 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 21,100,227 EACH ----------- ----------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 21,100,227 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 21,100,227 - ------------- ------------------------------------------------------------------ 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) 38.2% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON OO - ------------- ------------------------------------------------------------------ - -------------------------------------------------------------------------------- SCHEDULE 13D CUSIP No. - 670712108 Page 7 of 13 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 21,100,227 EACH ----------- ----------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 21,100,227 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 21,100,227 - ------------- ------------------------------------------------------------------ 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) 38.2% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON PN - ------------- ------------------------------------------------------------------ - -------------------------------------------------------------------------------- SCHEDULE 13D CUSIP No. - 670712108 Page 8 of 13 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 21,100,227 EACH ----------- ----------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 21,100,227 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 21,100,227 - ------------- ------------------------------------------------------------------ 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) 38.2% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON IN - ------------- ------------------------------------------------------------------ - -------------------------------------------------------------------------------- SCHEDULE 13D CUSIP No. - 670712108 Page 9 of 13 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 21,100,227 EACH ----------- ----------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- ----------------------------------------- 10 SHARED DISPOSITIVE POWER 21,100,227 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 21,100,227 - ------------- ------------------------------------------------------------------ 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) 38.2% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON IN - ------------- ------------------------------------------------------------------ This Amendment No. 6 to Schedule 13D (this "Amendment No. 6") 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 thereto filed on January 4, 2008, Amendment No. 4 thereto filed on March 17, 2008, Amendment No. 5 thereto filed on July 2, 2008 and this Amendment No. 6, 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 December 31, 2008, 525,000 shares of Common Stock were issued to WP IX by the Issuer in payment of 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) 3,850,227 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 December 31, 2008, WP IX is deemed to beneficially own an aggregate of 21,100,227 shares of Common Stock, which represents approximately 38.2% of the outstanding shares of Common Stock in accordance with Rule 13d-3(d). This percentage is based on 38,055,934 shares of Common Stock outstanding as of November 5, 2008, as disclosed in the Issuer's Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2008. Due to their respective relationships with WP IX and each other, the Reporting Persons may be deemed to beneficially own, in the aggregate, 21,100,227 shares of the Issuer's Common Stock, which represents 38.2% 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 21,100,227 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. 6. [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: January 5, 2009 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. -----END PRIVACY-ENHANCED MESSAGE-----