SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
(Amendment No. 6)
Under the Securities Exchange Act of 1934
PSi Technologies Holdings, Inc.
(Name of Issuer)
Common Shares, par value 1 2/3 Philippine Pesos per share
(Title of Class of Securities)
74438Q 10 9
(CUSIP Number)
c/o Merrill Lynch Global Emerging Markets Partners, L.P.
4 World Financial Center
North Tower
New York, NY 10080
Telephone: (212) 449-1000
With a copy to:
Frank J. Marinaro, Esq.
Merrill Lynch & Co., Inc.
4 World Financial Center
North Tower
New York, NY 10080
Telephone: (212) 449-1000
(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
January 4, 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 Rule 13d-l(e), 13d-1(f) or 13d-l(g), check the following box o.
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 (the “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 Note).
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SCHEDULE 13D/A
CUSIP No. 74438Q 10 9 |
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1 |
NAME OF REPORTING PERSON |
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S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Merrill Lynch Global Emerging Markets Partners, L.P. |
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2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP Not Applicable |
(a) o |
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3 |
SEC USE ONLY |
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4 |
SOURCE OF FUNDS 00 |
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5 |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) Not Applicable |
o |
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6 |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER Not Applicable |
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8 SHARED VOTING POWER 23,415,879* |
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9 SOLE DISPOSITIVE POWER Not Applicable |
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10 SHARED DISPOSITIVE POWER 23,415,879* |
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11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 23,415,879* |
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12 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES Not Applicable |
o |
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13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 79.2%* |
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14 |
TYPE OF REPORTING PERSON PN |
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Page 3 |
SCHEDULE 13D/A
CUSIP No. 74438Q 10 9 |
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1 |
NAME OF REPORTING PERSON |
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S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Merrill Lynch Global Capital, L.L.C. |
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2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP Not Applicable |
(a) o |
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3 |
SEC USE ONLY |
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4 |
SOURCE OF FUNDS 00 |
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5 |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) Not Applicable |
o |
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6 |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER Not Applicable |
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8 SHARED VOTING POWER 23,415,879* |
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9 SOLE DISPOSITIVE POWER Not Applicable |
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10 SHARED DISPOSITIVE POWER 23,415,879* |
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11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 23,415,879* |
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12 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES Not Applicable |
o |
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13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 79.2%* |
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14 |
TYPE OF REPORTING PERSON OO |
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Page 4 |
SCHEDULE 13D/A
CUSIP No. 74438Q 10 9 |
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1 |
NAME OF REPORTING PERSON |
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S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Merrill Lynch Global Private Equity, Inc. |
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2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP Not Applicable |
(a) o |
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3 |
SEC USE ONLY |
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4 |
SOURCE OF FUNDS 00 |
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5 |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) Not Applicable |
o |
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6 |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER Not Applicable |
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8 SHARED VOTING POWER 23,415,879* |
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9 SOLE DISPOSITIVE POWER Not Applicable |
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10 SHARED DISPOSITIVE POWER 23,415,879* |
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11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 23,415,879* |
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12 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES Not Applicable |
o |
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13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 79.2%* |
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14 |
TYPE OF REPORTING PERSON CO |
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Page 5 |
SCHEDULE 13D/A
CUSIP No. 74438Q 10 9 |
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1 |
NAME OF REPORTING PERSON |
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S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ML IBK Positions, Inc. |
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2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP Not Applicable |
(a) o |
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3 |
SEC USE ONLY |
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4 |
SOURCE OF FUNDS 00 |
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5 |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) Not Applicable |
o |
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6 |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER Not Applicable |
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8 SHARED VOTING POWER 23,415,879* |
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9 SOLE DISPOSITIVE POWER Not Applicable |
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10 SHARED DISPOSITIVE POWER 23,415,879* |
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11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 23,415,879* |
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12 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES Not Applicable |
o |
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13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 79.2%* |
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14 |
TYPE OF REPORTING PERSON CO |
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SCHEDULE 13D/A
CUSIP No. 74438Q 10 9 |
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1 |
NAME OF REPORTING PERSON |
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S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Merrill Lynch Group, Inc. |
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2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP Not Applicable |
(a) o |
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3 |
SEC USE ONLY |
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4 |
SOURCE OF FUNDS 00 |
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5 |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) Not Applicable |
o |
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6 |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER Not Applicable |
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8 SHARED VOTING POWER 23,415,879* |
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9 SOLE DISPOSITIVE POWER Not Applicable |
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10 SHARED DISPOSITIVE POWER 23,415,879* |
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11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 23,415,879* |
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12 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES Not Applicable |
o |
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13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 79.2%* |
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14 |
TYPE OF REPORTING PERSON HC, CO |
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SCHEDULE 13D/A
CUSIP No. 74438Q 10 9 |
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1 |
NAME OF REPORTING PERSON |
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S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Merrill Lynch & Co., Inc. |
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2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP Not Applicable |
(a) o |
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3 |
SEC USE ONLY |
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4 |
SOURCE OF FUNDS 00 |
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5 |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) Not Applicable |
o |
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6 |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER Not Applicable |
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8 SHARED VOTING POWER 23,415,879* |
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9 SOLE DISPOSITIVE POWER Not Applicable |
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10 SHARED DISPOSITIVE POWER 23,415,879* |
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11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 23,415,879* |
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12 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES Not Applicable |
o |
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13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 79.2%* |
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14 |
TYPE OF REPORTING PERSON HC, CO |
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SCHEDULE 13D/A
CUSIP No. 74438Q 10 9 |
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1 |
NAME OF REPORTING PERSON |
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S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Merrill Lynch Global Emerging Markets Partners, LLC |
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2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP Not Applicable |
(a) o |
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3 |
SEC USE ONLY |
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4 |
SOURCE OF FUNDS 00 |
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5 |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) Not Applicable |
o |
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6 |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER Not Applicable |
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8 SHARED VOTING POWER 16,274,255* |
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9 SOLE DISPOSITIVE POWER Not Applicable |
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10 SHARED DISPOSITIVE POWER 16,274,255* |
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11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 16,274,255* |
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12 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES Not Applicable |
o |
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13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 55.1%* |
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14 |
TYPE OF REPORTING PERSON OO |
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Page 9 |
SCHEDULE 13D/A
CUSIP No. 74438Q 10 9 |
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1 |
NAME OF REPORTING PERSON |
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S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Merrill Lynch Global Emerging Markets Partners II, LLC |
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2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP Not Applicable |
(a) o |
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3 |
SEC USE ONLY |
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4 |
SOURCE OF FUNDS 00 |
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5 |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) Not Applicable |
o |
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6 |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER Not Applicable |
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8 SHARED VOTING POWER 16,274,255* |
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||
9 SOLE DISPOSITIVE POWER Not Applicable |
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10 SHARED DISPOSITIVE POWER 16,274,255* |
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11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 16,274,255* |
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12 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES Not Applicable |
o |
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13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 55.1%* |
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14 |
TYPE OF REPORTING PERSON OO |
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Page 10 |
* Includes 16,274,255 shares of common stock of the issuer issuable pursuant to the terms of the Note (as defined below) and the 2003 Note (as defined below), representing 55.1% of the currently outstanding common stock of the Issuer and assuming the issuance of such 16,274,255 shares of common stock.
This Amendment No. 6 to Schedule 13D (this “Sixth Amendment”) amends and supplements the Schedule 13D (the “Schedule 13D”), Amendment No. 1 to the Schedule 13D (the “First Amendment”), Amendment No. 2 to the Schedule 13D (the “Second Amendment”), Amendment No. 3 to the Schedule 13D (the “Third Amendment”), Amendment No. 4 to the Schedule 13D (the “Fourth Amendment”), and Amendment No. 5 to the Schedule 13D (the “Fifth Amendment”) filed by the parties with the Securities and Exchange Commission (the “SEC”) on June 7, 2001, June 16, 2003, July 11, 2003, June 3, 2005, January 5, 2007 and July 3, 2007, respectively. Except as specifically amended below, all other provisions of the Schedule 13D, the First Amendment, the Second Amendment, the Third Amendment, the Fourth Amendment and the Fifth Amendment remain in effect.
Item 2. |
Identity and Background. |
The following paragraphs amend and supplement Item 2:
This Sixth Amendment is being filed jointly by the parties to the Schedule 13D, the First Amendment, the Second Amendment, the Third Amendment, the Fourth Amendment and the Fifth Amendment.
Appendix B is amended to include the following information with respect to the executive officers and directors of the parties jointly filing the Schedule 13D:
|
(a) |
name; |
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(b) |
business address (or residence where indicated); |
|
(c) |
present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted; and |
|
(d) |
citizenship. |
Except as described below, during the last five years, none of the Reporting Persons, nor, to the knowledge of each of the Reporting Persons, any of the persons listed on Appendix A or Appendix B hereto (i) has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (ii) has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject
Page 11 |
to a judgment, decree, or final order enjoining future violations of, or prohibiting or mandating activities subject to federal or state securities laws or finding any violation with respect to such laws.
As part of a settlement relating to managing auctions for auction rate securities, the SEC accepted the offers of settlement of 15 broker-dealer firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated (“MLPF&S”), and issued a settlement order on May 31, 2006. The Commission found, and MLPF&S neither admitted nor denied, that respondents (including MLPF&S) violated section 17(a)(2) of the Securities Act of 1933 by managing auctions for auction rate securities in ways not adequately disclosed or that did not conform to disclosed procedures. MLPF&S consented to a cease and desist order, a censure, a civil money penalty, and compliance with certain undertakings.
On March 13, 2006, MLPF&S entered into a settlement with the SEC whereby the SEC alleged, and MLPF&S neither admitted nor denied, that MLPF&S failed to furnish promptly to representatives of the SEC electronic mail communications (“e-mails”) as required under Section 17(a) of the Exchange Act and Rule 17a-4(j) thereunder. The SEC also alleged, and MLPF&S neither admitted nor denied, that MLPF&S failed to retain certain e-mails related to its business as such in violation of Section 17(a) of the Exchange Act and Rule 17a-4(b)(4) thereunder. Pursuant to the terms of the settlement, MLPF&S consented to a cease and desist order, a censure, a civil money penalty of $2,500,000, and compliance with certain undertakings relating to the retention of e-mails and the prompt production of e-mails to the SEC.
In March 2005, Merrill Lynch & Co., Inc. and certain of its affiliates (Merrill Lynch & Co., Inc. and its affiliates collectively, “Merrill Lynch”) reached agreements with the State of New Jersey and the New York Stock Exchange (the “NYSE”) and reached an agreement in principle with the State of Connecticut pursuant to which Merrill Lynch, without admitting or denying the allegations, consented to a settlement that included findings that it failed to maintain certain books and records and to reasonably supervise a team of former financial analysts (“FAs”) who facilitiated improper market timing by a hedge fund client. Merrill Lynch terminated the FAs in October 2003, brought the matter to the attention of regulators, and cooperated fully in the regulators' review. The settlement will result in aggregate payments of $13.5 million.
In March 2005, Merrill Lynch reached an agreement in principle with the NYSE pursuant to which Merrill Lynch, without admitting or denying the allegations, later consented to a settlement that included findings with regard to certain matters relating to the failure to deliver prospectuses for certain auction rate preferred shares and open-end mutual funds; the failure to deliver product descriptions with regard to certain exchange-traded funds; the failure to ensure that proper registration qualifications were obtained for certain personnel; issues with regard to the retention, retrieval and review of e-mails; isolated lapses in branch office supervision; late reporting of certain events such as customer complaints and arbitrations; the failure to report certain complaints in quarterly reports to the NYSE due to a systems error; and partial non-compliance with Continuing Education requirements. The settlement resulted in a payment of $10 million to the NYSE.
On March 17, 2003, Merrill Lynch & Co., Inc. (“MLC”) announced that it had entered into a final settlement agreement with the SEC regarding an investigation into two 1999 transactions with Enron Corporation (“Enron”). This agreement, in which MLC neither admitted nor denied any wrongdoing, finalized a settlement-in-principle in which MLC agreed to pay a total of $80 million in disgorgement, penalties and interest and other relief.
In September 2003, the United States Department of Justice agreed not to prosecute MLC for crimes that may have been committed by its former employees related to certain transactions with Enron, subject to certain understandings, including MLC’s continued cooperation with the Department of Justice, its acceptance of responsibility for conduct of its former employees, and its agreement to adopt and implement new policies and procedures related to the integrity of client and counter-party financial statements, complex structured finance transactions and year-end transactions.
On April 28, 2003, the SEC, New York Stock Exchange, National Association of Securities Dealers, and state securities regulators announced that previously disclosed settlements-in-principle had been reduced to final settlements with regard to ten securities firms, including MLPF&S, in connection with the independence of research. These settlements were approved by the United States District Court for the Southern District of New York on October 31, 2003. The settlements called for MLPF&S, among other things, to contribute $100 million for the funding of independent research and investor education over the next five years but did not require MLPF&S to pay any fines or make any additional civil payments. In 2002, MLPF&S had agreed to pay $100 million to settle allegations by the Attorney General of the State of New York challenging the independence of its research. MLPF&S entered into these settlements without admitting or denying the allegations and findings by the regulators, and the settlements do not establish wrongdoing or liability for purposes of any other proceedings.
In addition, MLPF&S has entered into settlement orders with several states over the past five years concerning various allegations of sales practice and related supervisory violations. Settlement orders have been entered into with the Commonwealth of Massachusetts (May 2000), the State of Maryland (December 1999), State of Wisconsin (August 1999), State of Vermont (March 2001), State of Delaware (July 2002), and the Commonwealth of Virginia (January 2004).
Page 12 |
For further information, reference is made to the Form ADV of Merrill Lynch on file with, and publicly available on the website of, the Commission.
Item 5. |
Interest in Securities of the Issuer. |
The following paragraphs amend and supplement Item 5:
On June 2, 2005, Merrill Lynch Global Emerging Markets Partners LLC (“MLGEMP LLC”) purchased from PSi Technologies, Inc. (“PSi Technologies”) a $7.0 million aggregate principal amount 10.00% Exchangeable Senior Subordinated Note (the “Note”) for cash consideration of $7.0 million. Pursuant to the terms of the Note, PSi Technologies Holdings, Inc. (the “Issuer”) may elect to pay any of the accrued interest by adding it to the
Page 13 |
principal amount of the Note, as the Issuer did on December 31, 2005, June 30, 2006, December 31, 2006, June 30, 2007 and December 31, 2007. As a result of the addition of approximately $2,005,939 in the aggregate of interest to the principal amount of the Note since its issuance, as of December 31, 2007, the Note may be exchanged for approximately 11,257,424 shares of common stock of the Issuer.
PSi Technologies issued to MLGEMP LLC a $4.0 million aggregate principal amount 10% Senior Subordinated Note on July 3, 2003 (the “2003 Note”). Pursuant to the terms of the Note, the Issuer may elect to pay any of the accrued interest by adding it to the principal amount of the 2003 Note, as the Issuer did on on June 30, 2005, December 31, 2005, June 30, 2006, December 31, 2006, June 30, 2007 and December 31, 2007. As a result of the addition of approximately $1,317,840 in the aggregate of interest to the principal amount of the 2003 Note since its issuance, as of December 31, 2007, the 2003 Note may be exchanged for approximately 5,016,831 shares of common stock of the Issuer.
Item 7. |
Materials to be Filed as Exhibits |
Exhibit |
Description |
|
|
99.1 |
Joint Filing Agreement dated as of January 4, 2008, among Merrill Lynch Global Emerging Markets Partners, LLC; Merrill Lynch Global Emerging Markets Partners II, LLC; Merrill Lynch Global Emerging Markets Partners, L.P.; Merrill Lynch & Co., Inc.; Merrill Lynch Group, Inc.; ML IBK Positions, Inc.; Merrill Lynch Global Private Equity, Inc. and Merrill Lynch Global Capital, L.L.C. |
|
|
99.2 |
Power of Attorney by and on behalf of Merrill Lynch Group, Inc. |
Page 14 |
SIGNATURE
After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this Amendment is true, complete and correct.
Date: January 4, |
2008 |
MERRILL LYNCH GLOBAL EMERGING MARKETS PARTNERS, LLC
By: Merrill Lynch Global
Emerging
By: Merrill Lynch Global Capital
L.L.C.,
By: Merrill Lynch Global Private
Equity, Inc.,
By: /s/ Douglas P.
Madden MERRILL LYNCH GLOBAL EMERGING MARKETS PARTNERS II, LLC
By: Merrill Lynch Global
Emerging
By: Merrill Lynch Global Capital
L.L.C.,
By: Merrill Lynch Global Private
Equity, Inc.,
By: /s/ Douglas P.
Madden MERRILL LYNCH GLOBAL EMERGING MARKETS PARTNERS, L.P.
By: Merrill Lynch Global Capital,
L.L.C.
By: Merrill Lynch Global Private
Equity, Inc.
By: /s/ Douglas P.
Madden |
MERRILL LYNCH & CO., INC.
By: /s/ Jonathan N,
Santelli MERRILL LYNCH GROUP, INC.
By: /s/ Jonathan N.
Santelli ML IBK POSITIONS, INC.
By: /s/ Douglas P.
Madden MERRILL LYNCH GLOBAL PRIVATE EQUITY, INC.
By: /s/ Douglas P.
Madden MERRILL LYNCH GLOBAL CAPITAL, L.L.C.
By: Merrill Lynch Global
Private Equity, Inc.
By: /s/ Douglas P.
Madden |
Page 15 |
* See the Power of Attorney attached hereto as Exhibit 99.2.
Page 16 |
APPENDIX A
CORPORATIONS, LIMITED PARTNERSHIP
AND LIMITED LIABILITY COMPANIES
The names and principal businesses of the reporting persons are set forth below. Unless otherwise noted, the reporting persons have as the address of their principal business and office 4 World Financial Center, North Tower, New York, NY 10080.
NAME |
PRINCIPAL BUSINESS |
Merrill Lynch Global Emerging Markets Partners, L.P. |
Investment partnership. |
Merrill Lynch Global Capital, L.L.C. |
Acts as general partner for an investment partnership. |
Merrill Lynch Global Private Equity, Inc. |
Acts as a manager of the affairs of the general partner in investment partnerships. |
ML IBK Positions, Inc. |
Holds proprietary investments for Merrill Lynch & Co., Inc. |
Merrill Lynch Group, Inc. |
Holding company. |
Merrill Lynch & Co., Inc. |
A holding company that, through its subsidiaries and affiliates, provides investment, financing, insurance and related services on a global basis. |
Merrill Lynch Global Emerging Markets Partners, LLC |
Investment Entity |
Merrill Lynch Global Emerging Markets Partners II, LLC |
Investment Entity |
Page 17 |
APPENDIX B
EXECUTIVE OFFICERS AND DIRECTORS
The names and principal occupations of each of the executive officers and directors of Merrill Lynch Global Private Equity, Inc., ML IBK Positions, Inc., Merrill Lynch Group, Inc. and Merrill Lynch & Co., Inc. are set forth below. Unless otherwise noted, all of these persons are United States citizens, and have as their business address 4 World Financial Center, New York, NY 10080.
MERRILL LYNCH GLOBAL EMERGING MARKETS PARTNERS, LLC
Merrill Lynch Global Emerging Markets Partners, L.P. is the managing member of Merrill Lynch Global Emerging Markets Partners, LLC. See Appendix A and the information set forth below with respect to Merrill Lynch Global Emerging Markets Partners, L.P.
MERRILL LYNCH GLOBAL EMERGING MARKETS PARTNERS II, LLC
Merrill Lynch Global Emerging Markets Partners, L.P. is the managing member of Merrill Lynch Global Emerging Markets Partners II, LLC. See Appendix A and the information set forth below with respect to Merrill Lynch Global Emerging Markets Partners, L.P.
MERRILL LYNCH GLOBAL EMERGING MARKETS PARTNERS, L.P.
Merrill Lynch Global Capital, L.L.C. is the general partner of Merrill Lynch Global Emerging Markets Partners, L.P. See Appendix A and the information set forth below with respect to Merrill Lynch Global Capital, L.L.C.
MERRILL LYNCH GLOBAL CAPITAL, L.L.C.
Merrill Lynch Global Private Equity, Inc. is the managing member of Merrill Lynch Global Capital, L.L.C. See Appendix A and the information set forth below with respect to Merrill Lynch Global Private Equity, Inc.
MERRILL LYNCH GLOBAL PRIVATE EQUITY, INC.
EXECUTIVE OFFICERS AND DIRECTORS |
PRESENT PRINCIPAL OCCUPATION |
Nathan C. Thorne |
President, Global Private Equity |
George A. Bitar |
Managing Director, Global Private Equity |
Jerome P. Kenney |
Vice Chairman Emeritus, Special Advisor |
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Guido Padovano |
Managing Director, Global Private Equity |
Mandakini Puri |
Managing Director, Global Private Equity |
Brian A. Renaud |
Managing Director, Global Private Equity |
ML IBK POSITIONS, INC. |
|
EXECUTIVE OFFICERS AND DIRECTORS |
PRESENT PRINCIPAL OCCUPATION |
Gary M. Carlin |
Managing Director, Corporate Finance |
Nathan C. Thorne |
President, Global Private Equity |
George A. Bitar |
Managing Director, Global Private Equity |
John D. Fallon |
Director, Global Asset Backed Finance |
Martin J. McInerney |
Director, Global Principal Investments |
Mandakini Puri |
Managing Director, Global Private Equity |
Steven M. Glassman |
Managing Director, Global High Yield and Real Estate Finance |
MERRILL LYNCH GROUP, INC. |
|
EXECUTIVE OFFICERS AND DIRECTORS |
PRESENT PRINCIPAL OCCUPATION |
Richard B. Alsop |
Senior Vice President, Corporate Law |
Marlene B. Debel |
Managing Director, Global Treasury |
D. Kevin Dolan |
Senior Vice President, Corporate Tax |
Gary M. Carlin Director, President |
Managing Director, Global Finance |
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MERRILL LYNCH & CO., INC. |
|
EXECUTIVE OFFICERS AND DIRECTORS |
PRESENT PRINCIPAL OCCUPATION |
Rosemary T. Berkery |
Vice Chairman of the Board; General Counsel |
Carol T. Christ |
President, Smith College |
Armando M. Codina |
President and Chief Executive Officer of Flagler Development
Group |
Virgis W. Colbert |
Corporate Director |
Alberto Cribiore |
Managing Partner, Brera Capital Partners |
Nelson Chai |
Executive Vice President, Chief Financial Officer |
Ahmass L. Fakahany |
President; Chief Operating Officer |
John D. Finnegan |
Chairman of the Board of The Chubb Corporation |
Gregory J. Fleming |
President; Chief Operating Officer |
Judith Mayhew Jonas |
Corporate Director |
Robert J. McCann Executive Officer |
President of the Global Wealth Management Group |
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John A. Thain |
Chairman of the Board and Chief Executive Officer |
Aulana L. Peters |
Corporate Director |
Joseph W. Prueher |
Corporate Director, Consulting Professor to the
Stanford-Harvard Preventive Defense Project |
Ann N. Reese |
Co-Founder and Co-Executive Director of the Center for
Adoption Policy |
Charles O. Rossotti |
Senior Advisor to The Carlyle Group |
Christopher B. Hayward |
Managing Director, Finance Director |
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