UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 1)*
Nalco Holding Company
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(Name of Issuer)
Common Stock (Par Value $0.01 Per Share)
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(Title of Class of Securities)
62985Q 10 1
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(CUSIP Number)
Robert C. Schwenkel, Esq. Ben I. Adler, Esq.
Fried, Frank, Harris, Shriver & Goldman, Sachs & Co.
Jacobson LLP One New York Plaza
One New York Plaza New York, NY 10004
New York, NY 10004 (212) 902-1000
(212) 859-8000
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(Name, Address and Telephone Number of Persons Authorized to
Receive Notices and Communications)
August 17, 2005
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(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 Rule 13d-1(e), 13d-1(f) or 13d-1(g), check
the following box |_|.
*The remainder of this cover page will 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 will be subject to all other provisions of the
Act (however, see the Notes).
SCHEDULE 13D
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CUSIP No. 62985Q 10 1 Page 2 of 35
--------------------------------- --------------------------------
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1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
THE GOLDMAN SACHS GROUP, INC.
---------- --------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
(b) |X|
---------- --------------------------------------------------------------------
3 SEC USE ONLY
---------- --------------------------------------------------------------------
4 SOURCE OF FUNDS
AF
---------- --------------------------------------------------------------------
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
------------------------- -------- --------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
0
SHARES
-------- --------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 14,702,701
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 14,702,701
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
14,702,701
---------- --------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.4%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
HC-CO
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SCHEDULE 13D
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CUSIP No. 62985Q 10 1 Page 3 of 35
--------------------------------- --------------------------------
---------- --------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
GOLDMAN, SACHS & CO.
---------- --------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
(b) |X|
---------- --------------------------------------------------------------------
3 SEC USE ONLY
---------- --------------------------------------------------------------------
4 SOURCE OF FUNDS
AF
---------- --------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) |_|
---------- --------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
NEW YORK
------------------------- -------- --------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
0
SHARES
-------- --------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 14,702,701
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH
14,702,701
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
14,702,701
---------- --------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.4%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
BD-PN-IA
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SCHEDULE 13D
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CUSIP No. 62985Q 10 1 Page 4 of 35
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1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
GS ADVISORS 2000, L.L.C.
---------- --------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
(b) |X|
---------- --------------------------------------------------------------------
3 SEC USE ONLY
---------- --------------------------------------------------------------------
4 SOURCE OF FUNDS
AF
---------- --------------------------------------------------------------------
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
------------------------- -------- --------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
0
SHARES
-------- --------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 11,181,660
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH
11,181,660
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11,181,660
---------- --------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.9%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
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SCHEDULE 13D
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CUSIP No. 62985Q 10 1 Page 5 of 35
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---------- --------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
GOLDMAN, SACHS & CO. OHG
---------- --------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
(b) |X|
---------- --------------------------------------------------------------------
3 SEC USE ONLY
---------- --------------------------------------------------------------------
4 SOURCE OF FUNDS
AF
---------- --------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) |_|
---------- --------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
GERMANY
------------------------- -------- --------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
0
SHARES
-------- --------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 342,674
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 342,674
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
342,674
---------- --------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
---------- --------------------------------------------------------------------
SCHEDULE 13D
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CUSIP No. 62985Q 10 1 Page 6 of 35
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---------- --------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
GOLDMAN, SACHS MANAGEMENT GP GMBH
---------- --------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
(b) |X|
---------- --------------------------------------------------------------------
3 SEC USE ONLY
---------- --------------------------------------------------------------------
4 SOURCE OF FUNDS
AF
---------- --------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) |_|
---------- --------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
GERMANY
------------------------- -------- --------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
0
SHARES
-------- --------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 342,674
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 342,674
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
342,674
---------- --------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
CO
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SCHEDULE 13D
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CUSIP No. 62985Q 10 1 Page 7 of 35
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---------- --------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
GS EMPLOYEE FUNDS 2000 GP, L.L.C.
---------- --------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
(b) |X|
---------- --------------------------------------------------------------------
3 SEC USE ONLY
---------- --------------------------------------------------------------------
4 SOURCE OF FUNDS
AF
---------- --------------------------------------------------------------------
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
------------------------- -------- --------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
0
SHARES
-------- --------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 3,178,367
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 3,178,367
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,178,367
---------- --------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.2%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
---------- --------------------------------------------------------------------
SCHEDULE 13D
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CUSIP No. 62985Q 10 1 Page 8 of 35
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1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
GS CAPITAL PARTNERS 2000, L.P.
---------- --------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
(b) |X|
---------- --------------------------------------------------------------------
3 SEC USE ONLY
---------- --------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
---------- --------------------------------------------------------------------
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
------------------------- -------- --------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
0
SHARES
-------- --------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 8,198,381
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 8,198,381
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,198,381
---------- --------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.8%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
---------- --------------------------------------------------------------------
SCHEDULE 13D
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CUSIP No. 62985Q 10 1 Page 9 of 35
--------------------------------- --------------------------------
---------- --------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
GS CAPITAL PARTNERS 2000 OFFSHORE, L.P.
---------- --------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
(b) |X|
---------- --------------------------------------------------------------------
3 SEC USE ONLY
---------- --------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
---------- --------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) |_|
---------- --------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
CAYMAN ISLANDS
------------------------- -------- --------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
0
SHARES
-------- --------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 2,978,976
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 2,978,976
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,978,976
---------- --------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.1%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
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SCHEDULE 13D
--------------------------------- --------------------------------
CUSIP No. 62985Q 10 1 Page 10 of 35
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---------- --------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
GS CAPITAL PARTNERS 2000 GMBH & CO. BETEILIGUNGS KG
---------- --------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
(b) |X|
---------- --------------------------------------------------------------------
3 SEC USE ONLY
---------- --------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
---------- --------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) |_|
---------- --------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
GERMANY
------------------------- -------- --------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
0
SHARES
-------- --------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 342,674
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 342,674
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
342,674
---------- --------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
---------- --------------------------------------------------------------------
SCHEDULE 13D
--------------------------------- --------------------------------
CUSIP No. 62985Q 10 1 Page 11 of 35
--------------------------------- --------------------------------
---------- --------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
GS CAPITAL PARTNERS 2000 EMPLOYEE FUND, L.P.
---------- --------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
(b) |X|
---------- --------------------------------------------------------------------
3 SEC USE ONLY
---------- --------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
---------- --------------------------------------------------------------------
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
------------------------- -------- --------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
0
SHARES
-------- --------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 2,604,864
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 2,604,864
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,604,864
---------- --------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.8%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
---------- --------------------------------------------------------------------
SCHEDULE 13D
--------------------------------- --------------------------------
CUSIP No. 62985Q 10 1 Page 12 of 35
--------------------------------- --------------------------------
---------- --------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
GOLDMAN SACHS DIRECT INVESTMENT FUND 2000, L.P.
---------- --------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
(b) |X|
---------- --------------------------------------------------------------------
3 SEC USE ONLY
---------- --------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
---------- --------------------------------------------------------------------
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
------------------------- -------- --------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
0
SHARES
-------- --------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 573,503
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 573,503
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
573,503
---------- --------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.4%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
---------- --------------------------------------------------------------------
SCHEDULE 13D
--------------------------------- --------------------------------
CUSIP No. 62985Q 10 1 Page 13 of 35
--------------------------------- --------------------------------
---------- --------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
NH ACQUISITION LLC
---------- --------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
(b) |X|
---------- --------------------------------------------------------------------
3 SEC USE ONLY
---------- --------------------------------------------------------------------
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
------------------------- -------- --------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
0
SHARES
-------- --------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 4,303
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 4,303
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,303
---------- --------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
LESS THAN 0.1%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
---------- --------------------------------------------------------------------
This Amendment No. 1, filed by The Goldman Sachs Group, Inc. ("GS
Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Advisors 2000, L.L.C.
("GS Advisors"), Goldman, Sachs & Co. oHG ("GS oHG"), Goldman, Sachs
Management GP GmbH ("GS GmbH"), GS Employee Funds 2000 GP, L.L.C. ("GS
Employee 2000"), GS Capital Partners 2000, L.P. ("GS Capital"), GS Capital
Partners 2000 Offshore, L.P. ("GS Offshore"), GS Capital Partners 2000 GmbH
& Co. Beteiligungs KG ("GS Germany"), GS Capital Partners 2000 Employee
Fund, L.P. ("GS Employee"), Goldman Sachs Direct Investment Fund 2000, L.P.
("GS Direct") and NH Acquisition LLC ("NH" and, together with GS Capital,
GS Offshore, GS Germany, GS Employee and GS Direct, the "Purchasers"), (GS
Group, Goldman Sachs, GS Advisors, GS oHG, GS GmbH, GS Employee 2000, and
the Purchasers, collectively, the "Filing Persons"), amends and supplements
the Schedule 13D filed by the Filing Persons with the Securities and
Exchange Commission (the "SEC") on November 24, 2004.(1)
--------
(1) Neither the present filing nor anything contained herein will be
construed as an admission that any Filing Person constitutes a
"person" for any purpose other than for compliance with Section 13(d)
of the Securities Exchange Act of 1934.
ITEM 4. PURPOSE OF TRANSACTION.
----------------------
Item 4 is hereby amended by adding the following immediately before the
final two paragraphs thereof:
Pursuant to an underwriting agreement, dated August 11, 2005 (the
"August 2005 Underwriting Agreement"), by and among the Issuer, Nalco LLC
and the representatives of the several underwriters listed in Schedule I
thereto (collectively, the "August 2005 Underwriters"), the August 2005
Underwriters agreed to purchase from Nalco LLC and Nalco LLC agreed to sell
to the August 2005 Underwriters an aggregate of 29,000,000 shares of Common
Stock (the "August 2005 Sale"), which aggregate amount includes 7,418,604
shares which may be deemed to be beneficially owned by the Purchasers. In
addition, pursuant to the August 2005 Underwriting Agreement, Nalco LLC
granted the August 2005 Underwriters an option, exercisable within 30 days
after the date of the August 2005 Underwriting Agreement, to purchase an
additional 4,350,000 shares of Common Stock from Nalco LLC at the same
purchase price per share for the purpose of covering over-allotments (the
"Over-Allotment Option").
Pursuant to the final prospectus (the "Offering Prospectus")
filed by the Issuer on August 12, 2005 pursuant to Rule 424(b) of the
Securities Act, the public offering price in the public offering of Common
Stock by the Company was $18.41 per share and the underwriting discount was
$0.6444 per share.
Accordingly, Nalco LLC sold an aggregate of 29,000,000 shares of
Common Stock to the August 2005 Underwriters at a price per share of
$17.7656 (which is net of underwriting discounts and commissions) which
aggregate amount includes 7,418,604 shares which may have been deemed to be
beneficially owned by the Purchasers. The August 2005 Underwriting
Agreement contains standard terms and conditions for a public offering
including customary representations and warranties and indemnity
provisions. The foregoing description of the August 2005 Underwriting
Agreement is not intended to be complete and is qualified in its entirety
by the complete text of the August 2005 Underwriting Agreement, the form of
which is incorporated herein by reference to Exhibit 1.1 to the Company's
Registration Statement on Amendment No. 2 to Form S-1 (No. 333-126642)
filed on August 4, 2005.
The August 2005 Sale was consummated on August 17, 2005. On
August 18, 2005, the August 2005 Underwriters, exercised their
Over-Allotment Option to purchase an additional 4,350,000 shares of Common
Stock from Nalco LLC. The closing of such sale of the Over-Allotment shares
is expected to occur on August 22, 2005.
ITEM 5. INTERESTS IN SECURITIES OF THE ISSUER.
-------------------------------------
Item 5 is hereby amended and restated in its entirety as follows:
(a) The shares of Common Stock shown as beneficially owned by the
Filing Persons reflect the Filing Persons' percentage interest in the
61,552,258 shares of Common Stock held of record by Nalco LLC, based on the
Filing Person's percentage interest in Nalco LLC, and excludes the balance
of such shares which represent the other Sponsors' and management members'
percentage interest in Nalco LLC. As described in Item 4, because voting
and dispositive decisions of Nalco LLC with respect to the Common Stock of
the Issuer require the approval of at least two of the Sponsors, the Filing
Persons each disclaim beneficial ownership of the shares of the Issuer's
Common Stock reported as beneficially owned by Nalco LLC or any of the
other Sponsors, and the filing of this Schedule 13D shall not be construed
as an admission that any such person is the beneficial owner of any such
securities. The percentage of the class beneficially owned by each Filing
Person is based on 141,663,369 issued and outstanding shares of Common
Stock reported by the Issuer on August 15, 2005 in its quarterly report on
Form 10-Q filed with the SEC.
As of August 17, 2005, GS Group may be deemed to beneficially own
an aggregate of 14,702,701 shares of Common Stock which may be deemed to be
beneficially owned by the Purchasers representing in the aggregate
approximately 10.4% of the outstanding Common Stock, based on calculations
made in accordance with Rule 13d-3(d) of the Act.
As of August 17, 2005, Goldman Sachs may be deemed to
beneficially own an aggregate of 14,702,701 shares of Common Stock which
may be deemed to be beneficially owned by the Purchasers representing in
the aggregate approximately 10.4% of the outstanding shares of Common Stock
based on calculations made in accordance with Rule 13d-3(d) of the Act.
GS Group and Goldman Sachs disclaim beneficial ownership of the
shares of Common Stock beneficially owned by the Purchasers to the extent
that partnership interests in the Purchasers are held by persons other than
Goldman Sachs or its affiliates.
In accordance with Securities and Exchange Commission Release No.
34-39538 (January 12, 1998), this filing reflects the securities
beneficially owned by the investment banking division ("IBD") of GS Group
and its subsidiaries and affiliates (collectively, "Goldman Sachs Group").
This filing does not reflect securities, if any, beneficially owned by any
other operating unit of Goldman Sachs Group. IBD disclaims beneficial
ownership of the securities beneficially owned by (i) any client accounts
with respect to which IBD or its employees have voting or investment
discretion, or both and (ii) certain investment entities, of which IBD is
the general partner, managing general partner or other manager, to the
extent interests in such entities are held by persons other than IBD.
As of August 17, 2005, GS Advisors may be deemed to beneficially
own the aggregate of 11,181,660 shares of Common Stock that may be deemed
to be beneficially owned by GS Capital, GS Offshore and NH representing in
the aggregate, approximately 7.9% of the outstanding shares of Common Stock
based on calculations made in accordance with Rule 13d-3(d) of the Act.
As of August 17, 2005, each of GS oHG and GS GmbH may be deemed
to beneficially own the aggregate of 342,674 shares of Common Stock that
may be deemed to be beneficially owned by GS Germany representing in the
aggregate, approximately 0.2% of the outstanding shares of Common Stock
based on calculations made in accordance with Rule 13d-3(d) of the Act.
As of August 17, 2005, GS Employee 2000 may be deemed to
beneficially own the aggregate of 3,178,367 shares of Common Stock that may
be deemed to be beneficially owned by GS Employee and GS Direct
representing in the aggregate, approximately 2.2% of the outstanding shares
of Common Stock based on calculations made in accordance with Rule 13d-3(d)
of the Act.
As of August 17, 2005, GS Capital may be deemed to beneficially
own 8,198,381 shares of Common Stock representing in the aggregate,
approximately 5.8% of the outstanding shares of Common Stock based on
calculations made in accordance with Rule 13d-3(d) of the Act.
As of August 17, 2005, GS Offshore may be deemed to beneficially
own 2,978,976 shares of Common Stock representing in the aggregate,
approximately 2.1% of the outstanding shares of Common Stock based on
calculations made in accordance with Rule 13d-3(d) of the Act.
As of August 17, 2005, GS Germany may be deemed to beneficially
own 342,674 shares of Common Stock representing in the aggregate,
approximately 0.2% of the outstanding shares of Common Stock based on
calculations made in accordance with Rule 13d-3(d) of the Act.
As of August 17, 2005, GS Employee may be deemed to beneficially
own 2,604,864 shares of Common Stock representing in the aggregate,
approximately 1.8% of the outstanding shares of Common Stock based on
calculations made in accordance with Rule 13d-3(d) of the Act.
As of August 17, 2005, GS Direct may be deemed to beneficially
own 573,503 shares of Common Stock representing in the aggregate,
approximately 0.4% of the outstanding shares of Common Stock based on
calculations made in accordance with Rule 13d-3(d) of the Act.
As of August 17, 2005, NH may be deemed to beneficially own 4,303
shares of Common Stock representing in the aggregate, less than 0.1% of the
outstanding shares of Common Stock based on calculations made in accordance
with Rule 13d-3(d) of the Act.
None of the Filing Persons or, to the knowledge of the Filing
Persons, the persons listed on Schedules I, II-A-i, II-A-ii, II-B-i,
II-B-ii or II-C hereto beneficially owns any shares of Common Stock other
than as set forth herein.
(b) Each Filing Person shares the power to vote or direct the
vote and to dispose or to direct the disposition of securities that such
Filing Person may be deemed to beneficially own as indicated above.
(c) Except as described above, no other transactions in the
shares of Common Stock were effected by the Filing Persons, or, to their
knowledge, any of the persons listed on Schedules I, II-A-i, II-A-ii,
II-B-i, II-B-ii or II-C hereto, during the last 60 days.
(d) In accordance with the terms of the LLC Agreement (as defined
below) and, if approved by the board of directors of Nalco LLC, the members
of Nalco LLC have the right to receive dividends from and the proceeds from
any sale of Common Stock in accordance with their membership interests in
Nalco LLC.
Except for clients of Goldman Sachs who may have the right to
receive or the power to direct the receipt of dividends from, or the
proceeds from the sale of, any shares of Common Stock held in managed
accounts, no other person is known by any Filing Person to have the right
to receive or the power to direct the receipt of dividends from, or the
proceeds from the sale of, any shares of Common Stock beneficially owned by
any Filing Person.
(e) Not applicable.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS
WITH RESPECT TO SECURITIES OF THE ISSUER.
----------------------------------------
Item 6 is hereby amended by adding the following immediately before the
ultimate paragraph thereof:
Lock-Up Agreements
On August 11, 2005, each of the Purchasers entered into a lock-up
agreement (the "Lock-Up Agreements") with the underwriters whereby such
person agreed, subject to certain exceptions, not to dispose of or hedge
any of their Common Stock or securities convertible into or exchangeable
for shares of Common Stock during the period that is 90 days from August
11, 2005, subject to an extension of up to 18 additional days under certain
circumstances, except with the prior written consent of Goldman, Sachs &
Co., with certain exceptions.
References to, and descriptions of, the Lock-Up Agreements as set
forth in this Item 6 are qualified in their entirety by reference to the
Form of Lock-Up Agreement, a copy of which is filed as Exhibit 20 hereto.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
--------------------------------
Exhibit 1 Joint Filing Agreement, dated as of November 24, 2004. *
Exhibit 2 Nalco LLC Limited Liability Company Operating Agreement,
dated May 17, 2004 (incorporated herein by reference to
Exhibit 10.25 to the Nalco Holding Company Registration
Statement on Form S-1 filed with the Securities and Exchange
Commission on August 26, 2004 (file number 333-118583)). *
Exhibit 3 Stockholders Agreement, dated November 16, 2004, among Nalco
Holding Company and Nalco LLC and the other parties named
therein (incorporated herein by reference to Exhibit 10.3 to
the Nalco Holding Company Report on Form 8-K filed with the
Securities and Exchange Commission on November 18, 2004
(file number 001-32342)). *
Exhibit 4 Registration Rights Agreement, dated November 16, 2004,
among Nalco Holding Company, Nalco LLC and the other parties
named therein (incorporated herein by reference to Exhibit
10.1 to the Nalco Holding Company Report on Form 8-K filed
with the Securities and Exchange Commission on November 18,
2004 (file number 001-32342)). *
Exhibit 5 Form of Lock-Up Agreement among Nalco Holding Company, Nalco
LLC and the other parties named therein (incorporated herein
by reference to Annex III(a) of Exhibit 1.1 to the Nalco
Holding Company Registration Statement on Form S-1 filed
with the Securities and Exchange Commission on October 25,
2004 (file number 333-118583)). *
Exhibit 6 Underwriting Agreement (incorporated herein by reference to
Exhibit 1.1 to the Nalco Holding Company Registration
Statement on Form S-1 filed with the Securities and Exchange
Commission on October 25, 2004 (file number 333-118583)). *
Exhibit 7 Power of Attorney, dated as of December 12, 2003, relating
to The Goldman Sachs Group, Inc. *
Exhibit 8 Power of Attorney, dated as of November 19, 2003, relating
to Goldman, Sachs & Co. *
Exhibit 9 Power of Attorney, dated as of August 19, 2004, relating to
GS Advisors 2000, L.L.C. *
Exhibit 10 Power of Attorney, dated as of August 5, 2004, relating to
Goldman, Sachs & Co. oHG. *
Exhibit 11 Power of Attorney, dated as of August 19, 2004, relating to
Goldman, Sachs Management GP GmbH. *
Exhibit 12 Power of Attorney, dated as of August 19, 2004, relating to
GS Employee Funds 2000 GP, L.L.C. *
Exhibit 13 Power of Attorney, dated as of August 19, 2004, relating to
GS Capital Partners 2000, L.P. *
Exhibit 14 Power of Attorney, dated as of August 19, 2004, relating to
GS Capital Partners 2000 Offshore, L.P. *
Exhibit 15 Power of Attorney, dated as of August 19, 2004, relating to
GS Capital Partners 2000 GmbH & Co. Beteiligungs KG. *
Exhibit 16 Power of Attorney, dated as of August 19, 2004, relating to
GS Capital Partners 2000 Employee Fund, L.P. *
Exhibit 17 Power of Attorney, dated as of October 21, 2004, relating to
Goldman Sachs Direct Investment Fund 2000, L.P. *
Exhibit 18 Power of Attorney, dated as of June 24, 2004, relating to NH
Acquisition LLC. *
Exhibit 19 Form of Lock-up Agreement, dated as of August 11, 2005,
among Nalco Holding Company, Nalco LLC and the other parties
named therein.
Exhibit 20 Underwriting Agreement, dated as of August 11, 2005, among
Nalco Holding Company, Nalco LLC and the underwriters named
therein (incorporated herein by reference to Exhibit 99.1 to
the Nalco Holding Company Current Report on Form 8-K filed
with the SEC on August 12, 2005 (file number 001-32342)).
* Previously filed.
SIGNATURE
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.
August 19, 2005
THE GOLDMAN SACHS GROUP, INC.
By: /s/ Ted Chang
-------------------------------------
Name: Ted Chang
Title: Attorney-in-fact
GOLDMAN, SACHS & CO.
By: /s/ Ted Chang
-------------------------------------
Name: Ted Chang
Title: Attorney-in-fact
GS ADVISORS 2000, L.L.C.
By: /s/ Ted Chang
-------------------------------------
Name: Ted Chang
Title: Attorney-in-fact
GOLDMAN, SACHS & CO. OHG
By: /s/ Ted Chang
-------------------------------------
Name: Ted Chang
Title: Attorney-in-fact
GOLDMAN, SACHS MANAGEMENT GP GMBH
By: /s/ Ted Chang
-------------------------------------
Name: Ted Chang
Title: Attorney-in-fact
GS EMPLOYEE FUNDS 2000 GP, L.L.C.
By: /s/ Ted Chang
-------------------------------------
Name: Ted Chang
Title: Attorney-in-fact
GS CAPITAL PARTNERS 2000, L.P.
By: /s/ Ted Chang
-------------------------------------
Name: Ted Chang
Title: Attorney-in-fact
GS CAPITAL PARTNERS 2000 OFFSHORE, L.P.
By: /s/ Ted Chang
-------------------------------------
Name: Ted Chang
Title: Attorney-in-fact
GS CAPITAL PARTNERS 2000 GMBH & CO.
BETEILIGUNGS KG
By: /s/ Ted Chang
-------------------------------------
Name: Ted Chang
Title: Attorney-in-fact
GS CAPITAL PARTNERS 2000 EMPLOYEE FUND,
L.P.
By: /s/ Ted Chang
-------------------------------------
Name: Ted Chang
Title: Attorney-in-fact
GOLDMAN SACHS DIRECT INVESTMENT FUND
2000, L.P.
By: /s/ Ted Chang
-------------------------------------
Name: Ted Chang
Title: Attorney-in-fact
NH ACQUISITION LLC
By: /s/ Ted Chang
-------------------------------------
Name: Ted Chang
Title: Attorney-in-fact
SCHEDULE I
Schedule I is hereby amended and restated in its entirety as follows:
The name of each director of The Goldman Sachs Group, Inc. is set
forth below.
The business address of each person listed below is c/o Goldman,
Sachs & Co., 85 Broad Street, New York, NY 10004.
Each director listed below is a United States citizen, except as
follows: Lord Browne of Madingley is a citizen of the United Kingdom and
Claes Dahlback is a citizen of Sweden. The present principal occupation or
employment of each of the directors listed below is set forth below.
--------------------------------------- ------------------------------------------------------------------------------
Name Present Principal Occupation
--------------------------------------- ------------------------------------------------------------------------------
Henry M. Paulson, Jr. Chairman of the Board and Chief Executive Officer of The Goldman Sachs
Group, Inc.
--------------------------------------- ------------------------------------------------------------------------------
Lloyd C. Blankfein President and Chief Operating Officer of The Goldman Sachs Group, Inc.
--------------------------------------- ------------------------------------------------------------------------------
Lord Browne of Madingley Group Chief Executive of BP plc
--------------------------------------- ------------------------------------------------------------------------------
John H. Bryan Retired Chairman and Chief Executive Officer of Sara Lee Corporation
--------------------------------------- ------------------------------------------------------------------------------
Claes Dahlback Senior Advisor to Investor AB
--------------------------------------- ------------------------------------------------------------------------------
Stephen Friedman Former Assistant to the President for Economic Policy and Director of the
National Economic Council
--------------------------------------- ------------------------------------------------------------------------------
William W. George Retired Chairman and Chief Executive Officer of Medtronic, Inc.
--------------------------------------- ------------------------------------------------------------------------------
James A. Johnson Vice Chairman of Perseus, L.L.C.
--------------------------------------- ------------------------------------------------------------------------------
Lois D. Juliber Retired Vice Chairman of Colgate-Palmolive Company
--------------------------------------- ------------------------------------------------------------------------------
Edward M. Liddy Chairman of the Board, President and Chief Executive Officer of The Allstate
Corporation
--------------------------------------- ------------------------------------------------------------------------------
Ruth J. Simmons President of Brown University
--------------------------------------- ------------------------------------------------------------------------------
SCHEDULE II-A-i
Schedule II-A-i is hereby amended and restated in its entirety as follows:
The name, position and present principal occupation of each
executive officer of GS Advisors 2000, L.L.C., the sole general partner of
each of GS Capital Partners 2000, L.P. and GS Capital Partners 2000
Offshore, L.P., and the sole manager of NH Acquisition LLC are set forth
below.
The business address for all the executive officers listed below
is c/o Goldman, Sachs & Co., 85 Broad Street, New York, New York 10004,
except as follows: The business address of Richard S. Sharp, Hughes B.
Lepic, Robert R. Gheewalla, Sanjay H. Patel, Steffen J. Kastner, Bjorn P.
Killmer, Benoit Valentin and Ulrika Werdelin is Peterborough Court, 133
Fleet Street, London EC4A 2BB, England. The business address of Mary Nee
and Hsueh J. Sung is Cheung Kong Center, 68th Floor, 2 Queens Road,
Central, Hong Kong. The business address of Joseph P. DiSabato is 555
California Street, San Francisco, CA 94104. The business address of Muneer
A. Satter is 4900 Sears Tower, Chicago, IL 60606.
All executive officers listed below are United States citizens, except as
follows: Richard S. Sharp and Sarah E. Smith are citizens of the United
Kingdom; Hughes B. Lepic and Benoit Valentin are citizens of France; Adrian
M. Jones is a citizen of Ireland; Bjorn P. Killmer and Steffen J. Kastner
are citizens of Germany; Hsueh Sung is a citizen of Taiwan and Ulrika
Werdelin is a citizen of Sweden.
------------------------------- ---------------------------- ---------------------------------------------------------
Name Position Present Principal Occupation
------------------------------- ---------------------------- ---------------------------------------------------------
Richard A. Friedman President Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Joseph H. Gleberman Vice President Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Henry Cornell Vice President Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Richard S. Sharp Vice President Managing Director of Goldman Sachs International
------------------------------- ---------------------------- ---------------------------------------------------------
Esta E. Stecher Assistant Secretary Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Sanjeev K. Mehra Vice President Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Muneer A. Satter Vice President Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Sanjay H. Patel Vice President Managing Director of Goldman Sachs International
------------------------------- ---------------------------- ---------------------------------------------------------
Hsueh J. Sung Vice President Managing Director of Goldman Sachs (Asia) L.L.C.
------------------------------- ---------------------------- ---------------------------------------------------------
Steven M. Bunson Assistant Secretary Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Elizabeth C. Fascitelli Treasurer Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
David J. Greenwald Assistant Secretary Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Hughes B. Lepic Vice President Managing Director of Goldman Sachs International
------------------------------- ---------------------------- ---------------------------------------------------------
Russell E. Makowsky Assistant Secretary Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Sarah E. Smith Assistant Treasurer Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Gerald J. Cardinale Vice President Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Stephen S. Trevor Vice President Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Joseph P. DiSabato Vice President Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Robert R. Gheewalla Vice President Managing Director of Goldman Sachs International
------------------------------- ---------------------------- ---------------------------------------------------------
Ben I. Adler Vice President Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Melina E. Higgins Vice President Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Adrian M. Jones Vice President Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
John E. Bowman Vice President Vice President of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Katherine B. Enquist Vice President/Secretary Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Beverly L. O'Toole Assistant Secretary Vice President and Associate General Counsel of
Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Matthew E. Tropp Assistant Secretary Vice President and Associate General Counsel of
Goldman, Sachs &Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Mitchell S. Weiss Vice President Vice President of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Mary Nee Vice President Executive Director of Goldman Sachs (Asia) L.L.C.
------------------------------- ---------------------------- ---------------------------------------------------------
Ulrika Werdelin Vice President Executive Director of Goldman Sachs International
------------------------------- ---------------------------- ---------------------------------------------------------
Kenneth A. Pontarelli Vice President Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Steffen J. Kastner Vice President Managing Director of Goldman Sachs International
------------------------------- ---------------------------- ---------------------------------------------------------
Stuart A. Katz Vice President Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Bjorn P. Killmer Vice President Managing Director of Goldman Sachs International
------------------------------- ---------------------------- ---------------------------------------------------------
Benoit Valentin Vice President Managing Director of Goldman Sachs International
------------------------------- ---------------------------- ---------------------------------------------------------
Julie Abraham Assistant Secretary Vice President and Assistant General Counsel of
Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
SCHEDULE II-A-ii
Schedule II-A-ii is hereby amended and restated in its entirety as follows:
The name and principal occupation of each member of the Principal
Investment Area Investment Committee of Goldman, Sachs & Co., which
exercises the authority of Goldman, Sachs & Co. in managing GS Advisors
2000, L.L.C., GS Capital Partners 2000, L.P., GS Capital Partners 2000
Offshore, L.P., GS Capital Partners 2000 GmbH & Co. Beteiligungs KG, GS
Capital Partners 2000 Employee Fund, L.P., and Goldman Sachs Direct
Investment Fund 2000, L.P., are set forth below.
The business address for each member listed below is c/o Goldman,
Sachs & Co., 85 Broad Street, New York, New York 10004, except as follows:
The business address of Richard S. Sharp, Robert R. Gheewalla, Hughes B.
Lepic and Sanjay H. Patel is Peterborough Court, 133 Fleet Street, London
EC4A 2BB, England. The business address of Muneer A. Satter is 4900 Sears
Tower, Chicago, IL 60606. The business address of Hsueh J. Sung is 68/F
Cheung Kong Centre, Hong Kong.
All members listed below are United States citizens, except as follows:
Richard S. Sharp and Sarah E. Smith are citizens of the United Kingdom;
Hughes B. Lepic is a citizen of France; Adrian M. Jones is a citizen of
Ireland and Hsueh Sung is a citizen of Taiwan.
------------------------------------- --------------------------------------------------------------------------------
Name Present Principal Occupation
------------------------------------- --------------------------------------------------------------------------------
Peter M. Sacerdote Advisory Director of Goldman, Sachs & Co.
------------------------------------- --------------------------------------------------------------------------------
Richard A. Friedman Managing Director of Goldman, Sachs & Co.
------------------------------------- --------------------------------------------------------------------------------
Joseph H. Gleberman Managing Director of Goldman, Sachs & Co.
------------------------------------- --------------------------------------------------------------------------------
Henry Cornell Managing Director of Goldman, Sachs & Co.
------------------------------------- --------------------------------------------------------------------------------
Richard S. Sharp Managing Director of Goldman Sachs International
------------------------------------- --------------------------------------------------------------------------------
Sanjeev K. Mehra Managing Director of Goldman, Sachs & Co.
------------------------------------- --------------------------------------------------------------------------------
Muneer A. Satter Managing Director of Goldman, Sachs & Co.
------------------------------------- --------------------------------------------------------------------------------
Joe DiSabato Managing Director of Goldman, Sachs & Co.
------------------------------------- --------------------------------------------------------------------------------
Adrian M. Jones Managing Director of Goldman, Sachs & Co.
------------------------------------- --------------------------------------------------------------------------------
Peter G. Sachs Senior Director of The Goldman Sachs Group, Inc.
------------------------------------- --------------------------------------------------------------------------------
Scott Kapnick Managing Director of Goldman, Sachs & Co.
------------------------------------- --------------------------------------------------------------------------------
Melina E. Higgins Managing Director of Goldman, Sachs & Co.
------------------------------------- --------------------------------------------------------------------------------
Hsueh J. Sung Managing Director of Goldman Sachs (Asia) L.L.C.
------------------------------------- --------------------------------------------------------------------------------
Ben I. Adler Managing Director of Goldman, Sachs & Co.
------------------------------------- --------------------------------------------------------------------------------
Elizabeth C. Fascitelli Managing Director of Goldman, Sachs & Co.
------------------------------------- --------------------------------------------------------------------------------
Sarah E. Smith Managing Director of Goldman, Sachs & Co.
------------------------------------- --------------------------------------------------------------------------------
Stephen S. Trevor Managing Director of Goldman, Sachs & Co.
------------------------------------- --------------------------------------------------------------------------------
Robert R. Gheewalla Managing Director of Goldman, Sachs International
------------------------------------- --------------------------------------------------------------------------------
Hughes B. Lepic Managing Director of Goldman, Sachs International
------------------------------------- --------------------------------------------------------------------------------
Gerald J. Cardinale Managing Director of Goldman, Sachs & Co.
------------------------------------- --------------------------------------------------------------------------------
Sanjay H. Patel Managing Director of Goldman, Sachs International
------------------------------------- --------------------------------------------------------------------------------
SCHEDULE II-B-i
Schedule II-B-i is hereby amended and restated in its entirety as follows:
The name, position and present principal occupation of each
executive officer and director of Goldman, Sachs & Co. Finanz GmbH which is
the sole managing general partner of Goldman, Sachs & Co. oHG are set forth
below.
The business address for each of the executive officers and
directors listed below is MesseTurm, 60308 Frankfurt am Main, Germany.
The executive officers and directors listed below are citizens of
Germany.
---------------------------------- ---------------------------- ------------------------------------------------------
Name Position Present Principal Occupation
---------------------------------- ---------------------------- ------------------------------------------------------
Andreas Koernlein Managing Director Managing Director of Goldman, Sachs & Co. oHG
---------------------------------- ---------------------------- ------------------------------------------------------
Alexander C. Dibelius Managing Director Managing Director of Goldman, Sachs & Co. oHG
---------------------------------- ---------------------------- ------------------------------------------------------
Peter Hollmann Managing Director Managing Director of Goldman, Sachs & Co. oHG
---------------------------------- ---------------------------- ------------------------------------------------------
SCHEDULE II-B-ii
Schedule II-B-ii is hereby amended and restated in its entirety as follows:
The name, position and present principal occupation of each
executive officer of GS Management GP GmbH, the sole managing partner of GS
Capital Partners 2000 GmbH & Co. Beteiligungs KG, are set forth below.
The business address for all the executive officers listed below
is c/o Goldman, Sachs & Co., 85 Broad Street, New York, New York 10004,
except for Richard S. Sharp, whose business address is Peterborough Court,
133 Fleet Street, London EC4A 2BB, England.
All executive officers listed below are United States citizens, except for
Richards S. Sharp and Sarah E. Smith, who are citizens of the United
Kingdom.
----------------------------------- ------------------------------ ---------------------------------------------------
Name Position Present Principal Occupation
----------------------------------- ------------------------------ ---------------------------------------------------
Richard A. Friedman Managing Director Managing Director of Goldman, Sachs & Co.
----------------------------------- ------------------------------ ---------------------------------------------------
Joseph H. Gleberman Managing Director Managing Director of Goldman, Sachs & Co.
----------------------------------- ------------------------------ ---------------------------------------------------
Henry Cornell Managing Director Managing Director of Goldman, Sachs & Co.
----------------------------------- ------------------------------ ---------------------------------------------------
Esta E. Stecher Managing Director Managing Director of Goldman, Sachs & Co.
----------------------------------- ------------------------------ ---------------------------------------------------
Elizabeth C. Fascitelli Managing Director Managing Director of Goldman, Sachs & Co.
----------------------------------- ------------------------------ ---------------------------------------------------
David J. Greenwald Managing Director Managing Director of Goldman, Sachs & Co.
----------------------------------- ------------------------------ ---------------------------------------------------
Sarah E. Smith Managing Director Managing Director of Goldman, Sachs & Co.
----------------------------------- ------------------------------ ---------------------------------------------------
Katherine B. Enquist Managing Director Managing Director of Goldman, Sachs & Co.
----------------------------------- ------------------------------ ---------------------------------------------------
John E. Bowman Managing Director Vice President of Goldman, Sachs & Co.
----------------------------------- ------------------------------ ---------------------------------------------------
Richard S. Sharp Managing Director Managing Director of Goldman Sachs International
----------------------------------- ------------------------------ ---------------------------------------------------
SCHEDULE II-C
Schedule II-C is hereby amended and restated in its entirety as follows:
The name, position and present principal occupation of each
executive officer of GS Employee Funds 2000 GP, L.L.C., the sole general
partner of GS Capital Partners 2000 Employee Fund, L.P. and Goldman Sachs
Direct Investment Fund 2000, L.P., are set forth below.
The business address for all the executive officers listed below
is c/o Goldman, Sachs & Co., 85 Broad Street, New York, New York 10004,
except as follows: The business address of Richard S. Sharp, Hughes B.
Lepic, Robert R. Gheewalla, Sanjay H. Patel, Steffen J. Kastner, Bjorn P.
Killmer, Benoit Valentin and Ulrika Werdelin is 133 Fleet Street, London
EC4A 2BB, England. The business address of Mary Nee and Hsueh J. Sung is
Cheung Kong Center, 68th Floor, 2 Queens Road, Central, Hong Kong. The
business address of Joseph P. DiSabato is 555 California Street, 45th
Floor, San Francisco, CA 94104. The business address of Muneer A. Satter is
4900 Sears Tower, Chicago, IL 60606.
All executive officers listed below are United States citizens, except as
follows: Richard S. Sharp and Sarah E. Smith are citizens of the United
Kingdom, Hughes B. Lepic and Benoit Valentin are citizens of France, Adrian
M. Jones is a citizen of Ireland, Steffen J. Kastner and Bjorn P. Killmer
are citizens of Germany, Ulrika Werdelin is a citizen of Sweden and Hsueh
J. Sung is a citizen of Taiwan.
--------------------------------- ---------------------------- ------------------------------------------------------
Name Position Present Principal Occupation
--------------------------------- ---------------------------- ------------------------------------------------------
Richard A. Friedman President Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Joseph H. Gleberman Vice President Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Henry Cornell Vice President Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Richard S. Sharp Vice President Managing Director of Goldman Sachs International
--------------------------------- ---------------------------- ------------------------------------------------------
Esta E. Stecher Vice President/Assistant Managing Director of Goldman, Sachs & Co.
Secretary
--------------------------------- ---------------------------- ------------------------------------------------------
Sanjeev K. Mehra Vice President/Treasurer Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Muneer A. Satter Vice President Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Hsueh J. Sung Vice President Managing Director of Goldman Sachs (Asia) L.L.C.
--------------------------------- ---------------------------- ------------------------------------------------------
Steven M. Bunson Assistant Secretary Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Elizabeth C. Fascitelli Vice President Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
David J. Greenwald Vice President/Assistant Managing Director of Goldman, Sachs & Co.
Secretary
--------------------------------- ---------------------------- ------------------------------------------------------
Hughes B. Lepic Vice President Managing Director of Goldman Sachs International
--------------------------------- ---------------------------- ------------------------------------------------------
Russell E. Makowsky Assistant Secretary Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Sarah E. Smith Assistant Treasurer Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Gerald J. Cardinale Vice President Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Stephen S. Trevor Vice President Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Joseph P. DiSabato Vice President Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Robert R. Gheewalla Vice President Managing Director of Goldman Sachs International
--------------------------------- ---------------------------- ------------------------------------------------------
Sanjay H. Patel Vice President Managing Director of Goldman Sachs International
--------------------------------- ---------------------------- ------------------------------------------------------
Ben I. Adler Vice President Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Melina E. Higgins Vice President Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Adrian M. Jones Vice President Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
John E. Bowman Vice President Vice President of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Katherine B. Enquist Vice President/Secretary Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Beverly L. O'Toole Assistant Secretary Vice President and Associate General Counsel of
Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Raymond G. Matera Vice President Vice President of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Mitchell S. Weiss Vice President Vice President of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Mary Nee Vice President Executive Director of Goldman Sachs (Asia) L.L.C.
--------------------------------- ---------------------------- ------------------------------------------------------
Matthew E. Tropp Assistant Secretary Vice President and Associate General Counsel of
Goldman, Sachs &Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Richard J. Stingi Vice President Vice President of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Ulrika Werdelin Vice President Executive Director of Goldman Sachs International
--------------------------------- ---------------------------- ------------------------------------------------------
Kenneth A. Pontarelli Vice President Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Steffen J. Kastner Vice President Managing Director of Goldman Sachs International
--------------------------------- ---------------------------- ------------------------------------------------------
Stuart A. Katz Vice President Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Bjorn P. Killmer Vice President Managing Director of Goldman Sachs International
--------------------------------- ---------------------------- ------------------------------------------------------
Benoit Valentin Vice President Managing Director of Goldman Sachs International
--------------------------------- ---------------------------- ------------------------------------------------------
Julie Abraham Assistant Secretary Vice President and Assistant General Counsel of
Goldman, Sachs &Co.
--------------------------------- ---------------------------- ------------------------------------------------------
SCHEDULE III
Schedule III is hereby amended and restated in its entirety as follows:
In November 2002, the SEC, the National Association of Securities
Dealers ("NASD") and the New York Stock Exchange, Inc. ("NYSE") alleged
that five broker dealers, including Goldman Sachs, violated Section 17(a)
of the Securities Exchange Act of 1934, as amended (the "Exchange Act"),
and Rule 17a-4 thereunder, NYSE Rules 440 and 342 and NASD Rules 3010 and
3110 by allegedly failing to preserve electronic mail communications for
three years and/or to preserve electronic mail communications for the first
two years in an accessible place, and by allegedly having inadequate
supervisory systems and procedures in relation to the retention of
electronic mail communications. Without admitting or denying the
allegations, the five broker dealers, including Goldman Sachs, consented to
censure by the SEC, NASD and NYSE and to the imposition of a
cease-and-desist order by the SEC and Goldman Sachs paid a total fine of
$1,650,000 ($550,000 each to the SEC, NASD and NYSE). Goldman Sachs also
undertook to review its procedures regarding the preservation of electronic
mail communications for compliance with the federal securities laws and
regulations and the rules of the NASD and NYSE, and to confirm within a
specified period of time that it has established systems and procedures
reasonably designed to achieve compliance with those laws, regulations and
rules.
On April 28, 2003, without admitting or denying liability, ten
investment banking firms including Goldman Sachs, entered into global
settlements with the SEC, the NYSE, the NASD and certain states to resolve
the investigations relating to equity research analyst conflicts of
interest. Goldman Sachs was charged with violating NYSE Rules 342, 401, 472
and 475, and NASD Conduct Rules 2110, 2210 and 3010. Goldman Sachs also
agreed to a censure by the NYSE and the NASD and to pay a total of
$110,000,000 and to adopt a set of industry-wide reforms of its research
and investment banking businesses and to adopt certain restrictions on the
allocations of "hot" IPO shares. The terms of the global settlement were
entered in an order by a federal court in the Southern District of New York
on October 31, 2003 (Civil Action Number 03CV2944).
On September 4, 2003, Goldman Sachs and the SEC settled
administrative proceedings relating to certain trading in U.S. Treasury
securities by Goldman Sachs on the morning of October 31, 2001. The Staff
of the SEC alleged that Goldman Sachs violated (i) Section 15(c)(1) and
Rule 15c1-2 of the Exchange Act as a result of certain trading in U.S.
Treasury bonds over an eight minute period on October 31, 2001; and (ii)
Section 15(f) of the Exchange Act by failing to maintain policies and
procedures specifically addressed to the possible misuse of non-public
information obtained from outside consultants. Under the Offer of
Settlement submitted by Goldman Sachs and accepted by the SEC, without
admitting or denying the SEC's allegations, Goldman Sachs consented to the
entry of an Order that, among other things, (i) censured Goldman Sachs;
(ii) directed Goldman Sachs to cease and desist from committing or causing
any violations of Section 15(c)(1)(A) & (C) and 15(f) and Rule 15c1-2 of
the Exchange Act; (iii) ordered Goldman Sachs to pay disgorgement and
prejudgment interest in the amount of $1,742,642, and a civil monetary
penalty of $5 million; and (iv) directed Goldman Sachs to conduct a review
its policies and procedures and to adopt, implement and maintain policies
and procedures consistent with the Order and that review. Goldman Sachs
also undertook to pay $2,562,740 in disgorgement and interest relating to
certain trading in U.S. Treasury bond futures during the same eight minute
period.
On July 1, 2004, Goldman Sachs and the SEC settled administrative
proceedings relating to communications from Goldman Sachs sales traders on
its Asian Shares Sales Desk to certain institutional customers and news
media concerning four international public securities offerings during the
period between October 1999 and March 2000. The SEC alleged (i) that
certain of these communications by Goldman Sachs employees were made after
the registration statements pertaining to those offerings were filed, but
not yet declared effective by the SEC, in violation of Section 5(b) of the
Securities Act and (ii) that certain comments to the news media by Goldman
Sachs with respect to one of the offerings constituted an offer to sell
securities in violation of Section 5(c) of the Securities Act. The SEC also
alleged that Goldman Sachs failed to adequately supervise the Asian Shares
Sales Desk traders, as required by Section 15(b)(4)(E) of the Exchange Act.
Under the Offer of Settlement submitted by Goldman Sachs and accepted by
the SEC, without admitting or denying the SEC's allegations, Goldman Sachs
consented to the entry of an Order that, among other things, directed
Goldman Sachs to cease and desist from committing or causing any violations
of Sections 5(b) and 5(c) of the Securities Act, and ordered Goldman Sachs
to pay a civil monetary penalty of $2 million.
On January 24, 2005, the SEC filed an action in the U.S. District Court for
the Southern District of New York alleging that Goldman Sachs violated Rule
101 of Regulation M under the Exchange Act by attempting to induce, or
inducing certain investors to make, aftermarket purchases of certain
initial public offerings underwritten by Goldman Sachs during 2000. On
February 4, 2005, without admitting or denying the allegations of the
complaint, a final judgment was entered against Goldman Sachs, with the
consent of Goldman Sachs, under which Goldman Sachs was permanently
restrained and enjoined from violating Rule 101 of Regulation M and
required to pay a $40 million civil penalty, which was paid on March 31,
2005.