3 1 wpform3-wpllc.txt FORM 3 ------------------------------ OMB APPROVAL ------------------------------ OMB Number: [3235-0104] Expires: [December 31, 2001] Estimated average burden hours per response.......[0.5] ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Warburg Pincus LLC (1) -------------------------------------------------------------------------------- (Last) (First) (Middle) 466 Lexington Avenue -------------------------------------------------------------------------------- (Street) New York NY 10017 -------------------------------------------------------------------------------- (City) (State) (Zip) -------------------------------------------------------------------------------- 2. Date of Event Requiring Statement (Month/Day/Year) November 20, 2001 -------------------------------------------------------------------------------- 3. IRS Identification Number of Reporting Person, if an entity (voluntary) 13-3536050 -------------------------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol Arch Capital Group, Ltd. (ACGL) -------------------------------------------------------------------------------- 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) [_] Director [X] 10% Owner [_] Officer (give title below) [_] Other (specify below) -------------------------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) -------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) [_] Form filed by One Reporting Person [X] Form filed by More than One Reporting Person ================================================================================ TABLE I -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED ================================================================================
3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 5) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 5(b)(v). POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. (Over) SEC 1473 (3-99) Page 1 of 3 SEC 1473 (3-99) FORM 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5) ------------------------------------------------------------------------------------------------------------------------------------ Series A Convertible Preference Shares(2) (2) (2) Common Shares 18,939,311 I Partnership ----------------------------------------------------------------------------------------------------------------------------------- Class A Warrants to Purchase Common Shares(3) November September Common Shares 2,003,918 $20.00 (4) I Partnership 19, 2001 19, 2002 ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) The security holders are Warburg Pincus (Bermuda) Private Equity VIII, L.P. ("WP VIII Bermuda"), Warburg Pincus (Bermuda) International Partners, L.P. ("WPIP Bermuda"), Warburg Pincus Netherlands International Partners I, C.V. ("WPIP Netherlands I") and Warburg Pincus Netherlands International Partners II, C.V. ("WPIP Netherlands II"). Warburg Pincus (Bermuda) Private Equity Ltd. ("WP VIII Bermuda Ltd.") is the sole general partner of WP VIII Bermuda. Warburg Pincus (Bermuda) International Ltd. ("WPIP Bermuda Ltd.") is the sole general partner of WPIP Bermuda. Warburg, Pincus & Co. ("WP") is the sole general partner of WPIP Netherlands I and WPIP Netherlands II. WP VIII Bermuda, WPIP Bermuda, WPIP Netherlands I and WPIP Netherlands II are managed by Warburg Pincus LLC ("WP LLC"). (2) Subject to certain restrictions on conversion, the Series A Convertible Preference Shares are convertible on a one-for-one basis into Common Shares at the option of the holder and are mandatorily convertible into Common Shares upon the occurrence of certain events. The conversion ratio is subject to antidilution and other adjustments. (3) The exercise of the Class A Warrants is subject to certain restrictions. (4) Subject to antidilution and other adjustments. WARBURG PINCUS LLC By: /s/ Kewsong Lee 11/29/01 --------------------------- ---------- Name: Kewsong Lee Date Title: Member **Signature of Reporting Person ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 of 3 SEC 1473 (3-99) JOINT FILER INFORMATION ----------------------- Name: Warburg Pincus (Bermuda) Private Equity VIII, L.P. IRS Identification No.: 13-4194502 Address: c/o A.S.&K. Services Ltd. Cedar House 41 Cedar Avenue Hamilton HM 12, Bermuda Designated Filer: Warburg Pincus LLC Issuer & Ticker Symbol: Arch Capital Group Ltd. (ACGL) Date of Event Requiring Report: November 20, 2001 Signature: Warburg Pincus (Bermuda) Private Equity VIII, L.P., By: Warburg Pincus (Bermuda) Private Equity Ltd., its General Partner By: /s/ Kewsong Lee -------------------------------- Name: Kewsong Lee Title: Managing Director Name: Warburg Pincus (Bermuda) International Partners, L.P. IRS Identification No.: 13-4194501 Address: c/o A.S.&K. Services Ltd. Cedar House 41 Cedar Avenue Hamilton HM 12, Bermuda Designated Filer: Warburg Pincus LLC Issuer & Ticker Symbol: Arch Capital Group Ltd. (ACGL) Date of Event Requiring Report: November 20, 2001 Signature: Warburg Pincus (Bermuda) International Partners, L.P., By: Warburg Pincus (Bermuda) International Ltd., its General Partner By: /s/ Kewsong Lee -------------------------------- Name: Kewsong Lee Title: Managing Director Name: Warburg Pincus Netherlands International Partners I, C.V. IRS Identification No.: 13-4133839 Address: c/o Warburg Pincus LLC 466 Lexington Avenue New York, New York 10017 Designated Filer: Warburg Pincus LLC Issuer & Ticker Symbol: Arch Capital Group Ltd. (ACGL) Date of Event Requiring Report: November 20, 2001 Signature: Warburg Pincus Netherlands International Partners I, C.V., By: Warburg, Pincus & Co., its General Partner By: /s/ Kewsong Lee -------------------------------- Name: Kewsong Lee Title: Partner Name: Warburg Pincus Netherlands International Partners II, C.V. IRS Identification No.: 13-4133841 Address: c/o Warburg Pincus LLC 466 Lexington Avenue New York, New York 10017 Designated Filer: Warburg Pincus LLC Issuer & Ticker Symbol: Arch Capital Group Ltd. (ACGL) Date of Event Requiring Report: November 20, 2001 Signature: Warburg Pincus Netherlands International Partners II, C.V., By: Warburg, Pincus & Co., its General Partner By: /s/ Kewsong Lee -------------------------------- Name: Kewsong Lee Title: Partner Name: Warburg Pincus (Bermuda) Private Equity Ltd. IRS Identification No.: Pending Address: c/o A.S.&K. Services Ltd. Cedar House 41 Cedar Avenue Hamilton HM 12, Bermuda Designated Filer: Warburg Pincus LLC Issuer & Ticker Symbol: Arch Capital Group Ltd. (ACGL) Date of Event Requiring Report: November 20, 2001 Signature: Warburg Pincus (Bermuda) Private Equity Ltd. By: /s/ Kewsong Lee -------------------------------- Name: Kewsong Lee Title: Managing Director Name: Warburg Pincus (Bermuda) International Ltd. IRS Identification No.: Pending Address: c/o A.S.&K. Services Ltd. Cedar House 41 Cedar Avenue Hamilton HM 12, Bermuda Designated Filer: Warburg Pincus LLC Issuer & Ticker Symbol: Arch Capital Group Ltd. (ACGL) Date of Event Requiring Report: November 20, 2001 Signature: Warburg Pincus (Bermuda) International Ltd. By: /s/ Kewsong Lee -------------------------------- Name: Kewsong Lee Title: Managing Director Name: Warburg, Pincus & Co. IRS Identification No.: 13-6358475 Address: c/o Warburg Pincus LLC 466 Lexington Avenue New York, New York 10017 Designated Filer: Warburg Pincus LLC Issuer & Ticker Symbol: Arch Capital Group Ltd. (ACGL) Date of Event Requiring Report: November 20, 2001 Signature: Warburg, Pincus & Co. By: /s/ Kewsong Lee -------------------------------- Name: Kewsong Lee Title: Partner Page 3 of 3