SC 13D/A 1 vivendi13da_5-10.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------------ SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 21)* PHILADELPHIA SUBURBAN CORPORATION -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.50 per share -------------------------------------------------------------------------------- (Title of Class of Securities) 718009-6-08 -------------------------------------------------------------------------------- (CUSIP Number) Andrew A. Bernstein, Esq. Stephen P. Stanczak, Esq. Cleary, Gottlieb, Steen & Hamilton c/o United States Filter Corporation 41, avenue de Friedland 40-004 Cook Street 75008 Paris, France Palm Desert, CA 92211 33-1-40-74-68-00 (760) 341-8126 -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) May 10, 2002 ------------------------------------------------------------------ (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Section 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 Section 240.13d-7(b) 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 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. 718009608 Page 2 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Vivendi Universal S.A. (formerly Vivendi S.A.) 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 4 SOURCE OF FUNDS* OO 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] 6 CITIZENSHIP OR PLACE OF ORGANIZATION France 7 SOLE VOTING POWER None NUMBER OF SHARES BENEFICIALLY OWNED 8 SHARED VOTING POWER BY 11,510,136 EACH REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH None 10 SHARED DISPOSITIVE POWER 11,510,136 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,510,136 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*[ ] 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Approximately 16.8% (based upon 68,486,101 shares outstanding as of March 1, 2002 according to Philadelphia Suburban Corporation's Annual Report on Form 10K for the fiscal year ended December 31, 2001) 14 TYPE OF REPORTING PERSON* CO *SEE INSTRUCTIONS BEFORE FILLING OUT! SCHEDULE 13D CUSIP No. 718009608 Page 3 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Vivendi North America Company (formerly Anjou International Company) 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 4 SOURCE OF FUNDS* OO 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware, U.S.A. 7 SOLE VOTING POWER None NUMBER OF SHARES BENEFICIALLY OWNED 8 SHARED VOTING POWER BY 1,175,915 EACH REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH None 10 SHARED DISPOSITIVE POWER 1,175,915 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,175,915 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*[ ] 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Approximately 1.7% (based upon 68,486,101 shares outstanding as of March 1, 2002 according to Philadelphia Suburban Corporation's Annual Report on Form 10K for the fiscal year ended December 31, 2001) 14 TYPE OF REPORTING PERSON* CO *SEE INSTRUCTIONS BEFORE FILLING OUT! SCHEDULE 13D CUSIP No. 718009608 Page 4 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Vivendi Water S.A. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 4 SOURCE OF FUNDS* OO 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] 6 CITIZENSHIP OR PLACE OF ORGANIZATION France 7 SOLE VOTING POWER None NUMBER OF SHARES BENEFICIALLY OWNED 8 SHARED VOTING POWER BY 10,334,221 EACH REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH None 10 SHARED DISPOSITIVE POWER 10,334,221 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,334,221 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*[ ] 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Approximately 15.1% (based upon 68,486,101 shares outstanding as of March 1, 2002 according to Philadelphia Suburban Corporation's Annual Report on Form 10K for the fiscal year ended December 31, 2001) 14 TYPE OF REPORTING PERSON* CO *SEE INSTRUCTIONS BEFORE FILLING OUT! SCHEDULE 13D CUSIP No. 718009608 Page 5 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Compagnie Generale des Eaux 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 4 SOURCE OF FUNDS* OO 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] 6 CITIZENSHIP OR PLACE OF ORGANIZATION France 7 SOLE VOTING POWER None NUMBER OF SHARES BENEFICIALLY OWNED 8 SHARED VOTING POWER BY None EACH REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH None 10 SHARED DISPOSITIVE POWER None 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON None 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*[ ] 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% 14 TYPE OF REPORTING PERSON* PN (limited partnership) *SEE INSTRUCTIONS BEFORE FILLING OUT! This Amendment No. 21 (this "Amendment"), which amends and supplements the Report on Schedule 13D dated August 1, 2000, as amended and restated (the "Schedule 13D"), of Vivendi Universal S.A. (formerly Vivendi S.A.), its indirect subsidiaries Vivendi North America Company (formerly Anjou International Company) and Vivendi Water S.A., and Vivendi Water S.A.'s wholly-owned subsidiary Compagnie Generale des Eaux, is filed to reflect the resignation from the Board of Directors of Philadelphia Suburban Corporation, a Pennsylvania corporation (the "Issuer"), of a member of the supervisory board and a member of the management board of Vivendi Environnement S.A., a majority owned subsidiary of Vivendi Universal S.A., and to reflect information required pursuant to Rule 13d-2 under the Securities Exchange Act of 1934, as amended, relating to the shares of common stock, par value $0.55 per share, of the Issuer. All capitalized terms used in this Amendment and not otherwise defined herein have the meanings ascribed to such terms in the Schedule 13D. Item 2. Identity and Background. Items 2(a) and (b) of Schedule 13D are amended and restated in their entirety as follows: "(a) This statement is filed by Vivendi Universal S.A. (formerly Vivendi S.A.) ("Vivendi Universal" or "Vivendi"), its indirect subsidiaries Vivendi North America Company (formerly Anjou International Company) ("VNAC") and Vivendi Water S.A. ("Water"), and Water's wholly owned subsidiary Compagnie Generale des Eaux ("CGE" and, together with Vivendi, VNAC and Water, the "Filing Persons"). Except for three (3) shares held indirectly by Vivendi Universal, Water is a wholly owned subsidiary of Vivendi Environnement S.A., a French corporation ("Environnement"). Vivendi Universal holds approximately 63% of the capital stock of Environnement. VNAC is a wholly owned subsidiary of Vivendi North America Operations, Inc. ("Operations"), a wholly-owned indirect subsidiary of Environnement. (b) The business address of Vivendi Universal is 42 avenue de Friedland, 75380 Paris, Cedex 08, France. The business address of Environnement is 36-38 avenue Kleber, 75116 Paris, France. The business address of VNAC is 60 East 42nd Street, 36th Floor, New York, New York 10165. The business address of Water and CGE is 52 Rue d'Anjou 75008, Paris, France." Item 4. Purpose of Transaction. Item 4 of Schedule 13D is amended by: (i) Amending and restating paragraph (c) of Item 4 as follows: "(c) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board. However, Richard J. Heckmann, a member of the Supervisory Boards of Environnement and Water, resigned as a director of the Issuer in January 2002, and Andrew D. Seidel, a member of the Management Board of Environnement, resigned as a director of the Issuer on May 9, 2002. As of the date hereof, none of the members of the Board of Directors of the Issuer are directors or executive officers of Vivendi Universal nor of any of its direct or indirect subsidiaries." (ii) Deleting the last paragraph of Item 4 and adding the following paragraphs at the end thereof: "VNAC has authorized the immediate sale, in one or more broker's transactions, of up to 684,861 Shares. Each of VNAC and Water presently intends to fully divest its interest in the Issuer by (i) selling, pledging or otherwise disposing of, directly or indirectly, additional Shares in the open market and/or in negotiated transactions, (ii) issuing securities exchangeable into any Shares, (iii) entering into any swap, hedge or other arrangements that transfers, in whole or in part, any of the economic consequences of ownership of the Shares, and (iv) entering into one or more transactions which would have the same effect as (i) through (iii) above, in each case from time to time as permitted under applicable U.S. securities laws and regulations, and until such time as VNAC, Water and their affiliates cease to hold any Shares. VNAC and Water will continue to review their investment position in the Issuer periodically and, depending on such review, market conditions and share prices, the Issuer's business, prospects and future developments and applicable legal requirements, VNAC and Water may decide to change their divestment strategy relating to the Shares at any time." Item 5. Interest in Securities of the Issuer. Item 5 (a)-(c) of Schedule 13D is amended and restated in its entirety as follows: "(a) As of May 10, 2002, Vivendi Universal was, through its indirect subsidiaries VNAC and Water, the beneficial owner of 11,510,136 Shares constituting approximately 16.8% of the outstanding Shares (based upon 68,486,101 shares outstanding as of March 1, 2002 according to the Issuer's Annual Report on Form 10-K for the fiscal year ended December 31, 2001). To the best knowledge of Vivendi Universal, no director or executive officer owns or has any right to acquire, directly or indirectly, any Shares. As of May 10, 2002, Environnement was, through its subsidiaries VNAC and Water, the beneficial owner of the 11,510,136 Shares, constituting approximately 16.8% of the outstanding Shares (based upon 68,486,101 shares outstanding as of March 1, 2002 according to the Issuer's Annual Report on Form 10-K for the fiscal year ended December 31, 2001). To the best knowledge of Environnement, no director or executive officer owns or has any right to acquire, directly or indirectly, any Shares, other than Andrew D. Seidel, a member of the Management Board of Environnement, who currently owns 875 Shares. As of May 10, 2002, VNAC was the beneficial owner of 1,175,915 Shares, constituting approximately 1.7% of the outstanding Shares (based upon 68,486,101 shares outstanding as of March 1, 2002 according to the Issuer's Annual Report on Form 10-K for the fiscal year ended December 31, 2001). To the best knowledge of VNAC, no director or executive officer owns or has any right to acquire, directly or indirectly, any Shares. As of May 10, 2002, Water was the beneficial owner of 10,334,221 Shares, constituting approximately 15.1% of the outstanding Shares (based upon 68,486,101 shares outstanding as of March 1, 2002 according to the Issuer's Annual Report on Form 10-K for the fiscal year ended December 31, 2001). To the best knowledge of Water, no director or executive officer owns or has any right to acquire, directly or indirectly, any Shares. As of May 10, 2002, CGE did not beneficially own any Shares. To the best knowledge of CGE, no director or executive officer owns or has any right to acquire, directly or indirectly, any Shares. (b) Vivendi Universal has, through its indirect subsidiaries VNAC and Water, the shared power to vote or direct the disposition of 11,510,136 Shares. Environnement has, through its subsidiaries VNAC and Water, the shared power to vote or direct the disposition of 11,510,136 Shares. VNAC and Water have the shared power to vote or direct the disposition of 1,175,915 Shares and 10,334,221 Shares, respectively. (c) Neither Vivendi Universal nor, to the best of Vivendi Universal's knowledge, any executive officer or director of Vivendi Universal: (a) owns, or has any right to acquire, directly or indirectly, any Shares or (b) has, in the past sixty (60) days, effected any transactions in the Shares. Neither Environnement nor, to the best of Environnement's knowledge, any executive officer or supervisory board member of Environnement: (a) owns, or has any right to acquire, directly or indirectly, any Shares or (b) has, in the past sixty (60) days, effected any transactions in the Shares, other than Richard J. Heckmann, a member of the Supervisory Board of Environnement, who sold 875 Shares on April 30, 2002 and Andrew D. Seidel, a member of the Management Board of Environnement, who currently owns 875 Shares. To the best knowledge of Environnement, Mr. Heckmann does not currently own any Shares. Neither VNAC nor, to the best of VNAC's knowledge, any executive officer or director of VNAC: (a) owns, or has any right to acquire, directly or indirectly, any Shares or (b) has, in the past sixty (60) days, effected any transactions in the Shares. Except as set forth in Schedule 1 hereto and incorporated herein by reference, neither Water nor, to the best of Water's knowledge, any executive officer or supervisory board member of Water (a) owns, or has any right to acquire, directly or indirectly, any Shares or (b) has, in the past sixty (60) days, effected any transactions in the Shares. Neither CGE nor, to the best of CGE's knowledge, any executive officer or director of CGE: (a) owns, or has any right to acquire, directly or indirectly, any Shares or (b) has, in the past sixty (60) days, effected any transactions in the Shares." Item 6. Contracts, Arrangements, Understandings, or Relationships with Respect to Securities of the Issuer. Item 6 of Schedule 13D is amended to read in its entirety as follows: "On May 10, 2002, VNAC placed a sale order with Deutsche Banc Alex. Brown Inc. ("DB"), pursuant to which DB has been requested to execute the sale of up to 684,861 Shares in one or more broker's transactions within the meaning of the Securities Act of 1933, as amended, in coordination with VNAC with respect to the material terms, including price, of such transactions. Except as set forth in the preceding paragraph, none of the Filing Persons nor, to the best of the Filing Persons' knowledge, any person named in Item 2 hereof, has any contract, arrangement, understanding or relationship (legal or otherwise) with any person with respect to any securities of the Issuer, including but not limited to any contract, arrangement, understanding or relationship concerning the transfer or the voting of any such securities, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, or the giving or withholding of proxies." Item 7. Material to be Filed as Exhibits. 1. Joint Filing Agreement.* 2. Special Power of Attorney of Vivendi Universal S.A. (formerly Vivendi S.A.)* 3. Special Power of Attorney of Vivendi North America Company* 4. Special Power of Attorney of Vivendi Water S.A.* 5. Special Power of Attorney of Compagnie Generale Des Eaux* ------------------ * Previously filed as an exhibit to Amendment 20 to Schedule 13D filed on August 1, 2000. Schedule 1 Directors and Executive Officers of Vivendi Universal S.A. Present Principal Occupation or Employment, including the Name (principal business) and Address (if different than Business Address) of Position with Vivendi Name and Citizenship Employer Business Address ------------------------------------------------------------------------------------------------------------------------- I. Directors ------------------------------------------------------------------------------------------------------------------------- Chairman of the Board Jean-Marie Messier French Chairman and Chief c/o Vivendi Universal Executive Officer of 42, avenue de Friedland Vivendi Universal 75380 Paris, Cedex 08, France ------------------------------------------------------------------------------------------------------------------------- Director Edgar Bronfman, Jr. U.S. Special Advisor to the Lexa Partners LLC Chairman of Vivendi 390 Park Avenue, 4th floor Universal New York, NY 10022 ------------------------------------------------------------------------------------------------------------------------- Director Eric Licoys French Co-Chief Operating c/o Vivendi Universal Officer of Vivendi 42, avenue de Friedland Universal; Chairman of 75380 Paris, Cedex 08 Havas Medimedia France ------------------------------------------------------------------------------------------------------------------------- Director Bernard Arnault French Chairman and Chief Executive LVMH Officer of LVMH Moet 30, avenue Montaigne Hennessy Louis Vuitton, 75008 Paris Christian Dior, Groupe Arnault, France Societe Civile du Cheval Blanc, Saint Emilion, and Montaigne Participations et Gestion S.A. ------------------------------------------------------------------------------------------------------------------------- Director Edgar M. Bronfman U.S. President of World c/o Vivendi Universal Jewish Congress, World 375 Park Avenue, 5th floor Jewish Restitution New York, NY 10152-0192 Organization and USA Foundation for Jewish Campus Life (Hillel) ------------------------------------------------------------------------------------------------------------------------- Director Richard H. Brown U.S. Chairman and Chief Executive Electronic Data Systems Officer of Electronic Data 5400 Legacy Drive Systems Co. Plano, Texas 75024-3199 USA ------------------------------------------------------------------------------------------------------------------------- Director Jean-Marc Espalioux French Chairman of the Accor Management Board Tour Maine Montparnasse and CEO of Accor 33 avenue du Maine 75755 Paris Cedex 15 France ------------------------------------------------------------------------------------------------------------------------- Director Philippe Foriel-Destezet French Director of Adecco S.A.; Nescofin Chairman of Akila 43 Rutland gate Finance S.A. and S.W. 71 ED London Nescofin UK Ltd England ------------------------------------------------------------------------------------------------------------------------- Director Jacques Friedman French Director of BNP Paribas 80 avenue de Breteuil and TotalFinaElf S.A. 75015 Paris ------------------------------------------------------------------------------------------------------------------------- Director Esther Koplowitz Spanish Director of Fomentos de FCC Construcciones y Plaza Pablo Ruiz Picasso Contratas (FCC); 28020 Madrid President of Ayuda al Spain Desvalido Foundation ------------------------------------------------------------------------------------------------------------------------- Director Marie-Josee Kravis Canadian Senior Fellow of Hudson Institute Hudson Institute Inc.; 625 Park Avenue Director of The New York, NY 10021 Canadian Imperial Bank USA of Commerce, Hollinger International Inc., The Ford Motor Company and USA Networks, Inc. ------------------------------------------------------------------------------------------------------------------------- Director Henri Lachmann French Chairman and Chief Schneider Electric S.A. Executive Officer of 43-45 Bd Franklin Roosevelt Schneider Electric S.A. 92500 Rueil Malmaison France ------------------------------------------------------------------------------------------------------------------------- Director Samuel Minzberg Canadian Chairman and Chief Claridge Inc. Executive Officer of 1170 Peel Street, 8th floor Claridge Inc. Montreal, Quebec H3B 4P2 ------------------------------------------------------------------------------------------------------------------------- Director Simon Murray British Chairman of Simon Simon Murray & Murray & Associates Associates (U.K) Ltd. Princes House 38 Jermyn Street England ------------------------------------------------------------------------------------------------------------------------- Director Serge Tchuruk French Chairman and Chief Alcatel Executive Officer of 54, rue de la Boetie Alcatel 75008 Paris France ------------------------------------------------------------------------------------------------------------------------- Director Marc Vienot French Honorary Chairman and Societe Generale Director of Societe Tour Societe Generale Generale; Chairman of 92972 Paris La Defense the Supervisory Board France of Aventis and Chairman of Paris Europlace ------------------------------------------------------------------------------------------------------------------------- II. Executive Officers (other than those who are also Directors) ------------------------------------------------------------------------------------------------------------------------- Senior Executive Vice Philippe Germond French Chairman and Chief President, Internet c/o Vivendi Universal Executive Officer of and Telecom 42, avenue de Friedland Cegetel Groupe 75380 Paris, Cedex 08, France ------------------------------------------------------------------------------------------------------------------------- Senior Executive Vice Guillaume Hannezo French President and Chief Financial c/o Vivendi Universal Officer 42, avenue de Friedland 75380 Paris, Cedex 08, France ------------------------------------------------------------------------------------------------------------------------- Senior Executive Vice Andrew Kaslow U.S. President, Human Resources c/o Vivendi Universal 42, avenue de Friedland 75380 Paris, Cedex 08, France ------------------------------------------------------------------------------------------------------------------------- Chairman and CEO of Doug Morris U.S. UMG c/o Vivendi Universal 42, avenue de Friedland 75380 Paris, Cedex 08, France ------------------------------------------------------------------------------------------------------------------------- Senior Executive Vice Henri Proglio French Chairman of the President, Vivendi c/o Vivendi Environnement Management Board and Environnement 36-38 avenue Kleber Chief Executive Officer 75116 Paris of Vivendi France Environnement ------------------------------------------------------------------------------------------------------------------------- Vice Chairman and CEO of Agnes Touraine French Vivendi Universal Publishing c/o Vivendi Universal 42, avenue de Friedland 75380 Paris, Cedex 08, France -------------------------------------------------------------------------------------------------------------------------
Directors and Executive Officers of Vivendi North America Company Present Principal Name and Business Address Occupation or Employment, Except as otherwise indicated, the Including the Name Business Address of each person is (principal business) and c/o Vivendi North America Company Address (if different than 60 East 42nd Street, 36th Floor Business Address) of Position with Vivendi New York, NY 10165 Citizenship Employer ------------------------------------------------------------------------------------------------------------------------- I. Directors ------------------------------------------------------------------------------------------------------------------------- President and Director Jerome Contamine French ------------------------------------------------------------------------------------------------------------------------- II. Executive Officers (other than those who are also Directors) ------------------------------------------------------------------------------------------------------------------------- Treasurer and Secretary Philippe Beaute French ------------------------------------------------------------------------------------------------------------------------- Assistant Treasurer Philippe Messager French ------------------------------------------------------------------------------------------------------------------------- Assistant Treasurer Stephen Dunkling British -------------------------------------------------------------------------------------------------------------------------
Members of Supervisory Board and Executive Officers of Vivendi Water S.A. Present Principal Name and Business Address Occupation or Employment, Except as otherwise indicated, the Including the Name Business Address of each person is (principal business) and c/o Vivendi Water S.A. Address (if different than 52, rue d'Anjou Business Address) of Position with Vivendi 75008 Paris, France Citizenship Employer ------------------------------------------------------------------------------------------------------------------------- I. Members of Supervisory Board ------------------------------------------------------------------------------------------------------------------------- Chairman and Chief Henri Proglio French Chairman of the Executive Officer Management Board and Chief Executive Officer of Vivendi Environment ------------------------------------------------------------------------------------------------------------------------- Member Pierre-Henri Galan French c/o Vivendi Universal 42, avenue de Friedland 75380 Paris, Cedex 08, France ------------------------------------------------------------------------------------------------------------------------- Member Richard J. Heckmann(1) U.S. ------------------------------------------------------------------------------------------------------------------------- II. Executive Officers (other than those who are also Members of the Supervisory Board) ------------------------------------------------------------------------------------------------------------------------- Chief Financial Officer Olivier Grunberg French Deputy General Manager of Compagnie Generale des Eaux ------------------------------------------------------------------------------------------------------------------------- Chief Operating Officer Olivier Barbaroux French ------------------------------------------------------------------------------------------------------------------------- Deputy General Manager Gerard Mohr French Deputy General Manager of Compagnie Generale des Eaux ------------------------------------------------------------------------------------------------------------------------- (1) Richard J. Heckmann sold 875 Shares on April 30, 2002. Mr. Heckmann does not beneficially own any Shares as of the date of this Amendment.
Members of Supervisory Board and Executive Officers of Compagnie Generale des Eaux Present Principal Name and Business Address Occupation or Employment, Except as otherwise indicated, the Including the Name Business Address of each person is (principal business) and c/o Compagnie Generale des Eaux Address (if different than 52, rue d'Anjou Business Address) of Position with Vivendi 75008 Paris, France Citizenship Employer ------------------------------------------------------------------------------------------------------------------------- I. Members of Supervisory Board ------------------------------------------------------------------------------------------------------------------------- Chairman Paul Louis Girardot French ------------------------------------------------------------------------------------------------------------------------- Member Jean-Claude Douvry French c/o SADE CGTH 28, rue de la Baume 75008 Paris, France ------------------------------------------------------------------------------------------------------------------------- Member Antoine Zacharias French c/o Vivendi Universal 42, avenue de Friedland 75380 Paris, Cedex 08, France ------------------------------------------------------------------------------------------------------------------------- Member Edrif S.A. French (represented by Mr. Serge Michel) 5, rue Tronson du Coudray 75008 Paris, France ------------------------------------------------------------------------------------------------------------------------- Member Marc Noel Vigier French ------------------------------------------------------------------------------------------------------------------------- II. Executive Officers (other than those who are also Members of the Supervisory Board) ------------------------------------------------------------------------------------------------------------------------- President and Chief Henri Proglio French Chairman of the Executive Officer Management Board and Chief Executive Officer of Vivendi Environment ------------------------------------------------------------------------------------------------------------------------- Chief Operating Officer Olivier Barbaroux French ------------------------------------------------------------------------------------------------------------------------- Deputy General Manager Gerard Mohr French Deputy General Manager of Vivendi Water S.A. ------------------------------------------------------------------------------------------------------------------------- Deputy General Manager Olivier Grunberg French Chief Financial Officer of Vivendi Water S.A. ------------------------------------------------------------------------------------------------------------------------- General Secretary and Secretary Patrick Spilliaert French of the Supervisory Board -------------------------------------------------------------------------------------------------------------------------
Signature --------- After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Dated: May 10, 2002 VIVENDI UNIVERSAL S.A. By: /s/ Stephen P. Stanczak ------------------------------ Name: Stephen P. Stanczak Attorney-in-Fact VIVENDI NORTH AMERICA COMPANY By: /s/ Stephen P. Stanczak ------------------------------ Name: Stephen P. Stanczak Attorney-in-Fact VIVENDI WATER S.A. By: /s/ Stephen P. Stanczak ------------------------------ Name: Stephen P. Stanczak Attorney-in-Fact COMPAGNIE GENERALE DES EAUX By: /s/ Stephen P. Stanczak ------------------------------ Name: Stephen P. Stanczak Attorney-in-Fact