UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 3)*
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 Person Authorized to
Receive Notices and Communications)
November 8, 2006
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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 ss.ss. 240.13d-1(e), 240.13d-1(f) or
240.13d-1(g), check the following box |_|.
NOTE: Schedules filed in paper format shall include a signed original and
five copies of the schedule, including all exhibits. See ss.240.13d-7 for
other parties to whom copies are to be sent.
*The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which
would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities
Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of
that section of the Act but will be subject to all other provisions of the
Act (however, see the Notes).
SCHEDULE 13D
--------------------------------- --------------------------------
CUSIP No. 62985Q 10 1 Page 2 of 31
--------------------------------- --------------------------------
---------- --------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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 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 4,636,421
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 4,636,421
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,636,421
---------- --------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.2%
---------- --------------------------------------------------------------------
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 31
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---------- --------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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 IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) |X|
---------- --------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
NEW YORK
------------------------- -------- --------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
0
SHARES
-------- --------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 4,638,421
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH
4,638,421
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,638,421
---------- --------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.2%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
BD-PN-IA
---------- --------------------------------------------------------------------
SCHEDULE 13D
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CUSIP No. 62985Q 10 1 Page 4 of 31
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---------- --------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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 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 3,526,080
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH
3,526,080
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,526,080
---------- --------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.5%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
---------- --------------------------------------------------------------------
SCHEDULE 13D
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CUSIP No. 62985Q 10 1 Page 5 of 31
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---------- --------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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 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 108,060
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 108,060
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
108,060
---------- --------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
---------- --------------------------------------------------------------------
SCHEDULE 13D
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CUSIP No. 62985Q 10 1 Page 6 of 31
--------------------------------- --------------------------------
---------- --------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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 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 108,060
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 108,060
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
108,060
---------- --------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
CO
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SCHEDULE 13D
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CUSIP No. 62985Q 10 1 Page 7 of 31
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---------- --------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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 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 1,002,281
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 1,002,281
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,002,281
---------- --------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.7%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
---------- --------------------------------------------------------------------
SCHEDULE 13D
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CUSIP No. 62985Q 10 1 Page 8 of 31
--------------------------------- --------------------------------
---------- --------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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 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 2,585,318
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 2,585,318
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,585,318
---------- --------------------------------------------------------------------
12 CHECK 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
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CUSIP No. 62985Q 10 1 Page 9 of 31
--------------------------------- --------------------------------
---------- --------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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 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 939,405
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 939,405
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
939,405
---------- --------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.7%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
---------- --------------------------------------------------------------------
SCHEDULE 13D
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CUSIP No. 62985Q 10 1 Page 10 of 31
--------------------------------- --------------------------------
---------- --------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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 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 108,060
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 108,060
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
108,060
---------- --------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
---------- --------------------------------------------------------------------
SCHEDULE 13D
--------------------------------- --------------------------------
CUSIP No. 62985Q 10 1 Page 11 of 31
--------------------------------- --------------------------------
---------- --------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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 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 821,430
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 821,430
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
821,430
---------- --------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.6%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
---------- --------------------------------------------------------------------
SCHEDULE 13D
--------------------------------- --------------------------------
CUSIP No. 62985Q 10 1 Page 12 of 31
--------------------------------- --------------------------------
---------- --------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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 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 180,851
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 180,851
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
180,851
---------- --------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |X|
---------- --------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%
---------- --------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
---------- --------------------------------------------------------------------
SCHEDULE 13D
--------------------------------- --------------------------------
CUSIP No. 62985Q 10 1 Page 13 of 31
--------------------------------- --------------------------------
---------- --------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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 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 1,357
-------- --------------------------------------------
9 SOLE DISPOSITIVE POWER
EACH
0
REPORTING
-------- --------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 1,357
---------- --------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,357
---------- --------------------------------------------------------------------
12 CHECK 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. 3, 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
(as amended by Amendment No.1 filed on August 19, 2005 and by
Amendment No. 2 filed on March 24, 2006), relating to the common
stock, par value $0.01 per share (the "Common Stock"), of Nalco
Holding Company (the "Issuer").(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 Act.
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 November 2, 2006 (the
"November 2006 Underwriting Agreement"), by and among the Issuer, Nalco
LLC, Apollo Investment Fund V, L.P., Blackstone Capital Partners IV L.P.
and GS Capital (collectively, Nalco LLC, Apollo Investment Fund V, L.P.,
Blackstone Capital Partners IV L.P. and GS Capital, the "November 2006
Selling Stockholders") and Citigroup Global Markets Inc. (the "November
2006 Underwriter"), the November 2006 Underwriter agreed to purchase from
the November 2006 Selling Stockholders and the November 2006 Selling
Stockholders agreed to sell to the November 2006 Underwriter an aggregate
of 20,000,000 shares of Common Stock (the "November 2006 Sale"), which
aggregate amount includes 5,116,280 shares which may be deemed to be
beneficially owned by the Purchasers.
According to the final prospectus supplement (the "November 2006
Offering Prospectus") filed by the Issuer on November 6, 2006 pursuant to
Rule 424(b) of the Securities Act, the November 2006 Selling Stockholders
sold an aggregate of 20,000,000 shares of Common Stock to the November 2006
Underwriter at a price per share of $19.20 which aggregate amount includes
5,116,280 shares which may have been deemed to be beneficially owned by the
Purchasers. The November 2006 Underwriting Agreement contains standard
terms and conditions for a public offering including customary
representations and warranties and indemnity provisions. The foregoing
description of the November 2006 Underwriting Agreement is not intended to
be complete and is qualified in its entirety by the complete text of the
November 2006 Underwriting Agreement, which is incorporated herein by
reference to Exhibit 99.1 to the Issuer's Current Report on Form 8-K filed
with the SEC on November 6, 2006.
The November 2006 Sale was consummated on November 8, 2006.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
------------------------------------
Item 5 is hereby amended and restated in its entirety as follows:
(a) On December 30, 2005, Nalco LLC made a distribution of an
aggregate of 38,029,261 shares of Common Stock to the members of Nalco LLC
that qualified as a "venture capital operating company" (as defined in 29
C.F.R. sec. 2510.3-101(d)) in proportion to their membership interests
pursuant to the terms of the previously reported Stockholders Agreement,
which included the distribution of 7,577,879 shares to GS Capital, which
was formerly a member of Nalco LLC. Following such distribution, the Filing
Persons beneficially held an aggregate of 13,589,911 shares of Common
Stock, consisting of (i) the direct ownership of 7,577,879 shares of Common
Stock by GS Capital and (ii) 6,012,032 shares in which GS Offshore, GS
Germany, GS Employee, GS Direct and NH held an indirect beneficial economic
interest based on the membership interests in Nalco LLC held by such
entities. Following the March 2006 Sale, (i) GS Capital directly owned
5,438,210 shares of Common Stock and (ii) GS Offshore, GS Germany, GS
Employee, GS Direct and NH might be deemed to hold an economic interest in
4,314,491 shares of Common Stock held of record by Nalco LLC. Following the
November 2006 Sale, (i) GS Capital directly owns 2,585,318 shares of Common
Stock and (ii) GS Offshore, GS Germany, GS Employee, GS Direct and NH may
be deemed to hold an economic interest in 2,051,103 shares of Common Stock
held of record by Nalco LLC.
As of November 8, 2006, the shares of Common Stock shown as
beneficially owned by the Filing Persons reflect (i) the direct ownership
of 2,585,318 shares of Common Stock by GS Capital and (ii) the percentage
interest of GS Offshore, GS Germany, GS Employee, GS Direct and NH in the
5,184,444 shares of Common Stock held of record by Nalco LLC, based on the
combined percentage interest of GS Offshore, GS Germany, GS Employee, GS
Direct and NH 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 143,040,860 issued and outstanding shares of Common
Stock as of November 2, 2006 reported by the Issuer in the November 2006
Offering Prospectus.
As of November 8, 2006, GS Group may be deemed to beneficially own an
aggregate of (i) 4,636,421 shares of Common Stock which may be deemed to be
beneficially owned by the Purchasers and (ii) 5,670 shares of restricted
stock units of the Issuer granted to GS Group pursuant to the Issuer's 2004
Stock Incentive Plan (the "Plan") in connection with the service of Sanjeev
Mehra, a managing director of Goldman Sachs, as a director on the Issuer's
Board (2,000 of which units were granted on November 14, 2005 and vest on
January 1, 2007, 3,670 of which units were granted on February 15, 2006 and
vest on January 1, 2008 and which represent the right to receive shares of
the Common Stock on a 1-for-1 basis and which are subject to the terms and
conditions set forth in the Plan), representing in the aggregate
approximately 3.2% of the outstanding shares of Common Stock, based on
calculations made in accordance with Rule 13d-3(d) of the Act.
As of November 8, 2006, Goldman Sachs may be deemed to beneficially
own an aggregate of 4,636,421 shares of Common Stock which may be deemed to
be beneficially owned by the Purchasers representing in the aggregate
approximately 3.2% 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 the Securities and Exchange Commission Release No.
34-39538 (January 12, 1998) (the "Release"), this filing reflects the
securities beneficially owned by certain operating units (collectively, the
"Goldman Sachs Reporting Units") of GS Group and its subsidiaries and
affiliates (collectively, "Goldman Sachs Group"). This filing does not
reflect securities, if any, beneficially owned by any operating units of
Goldman Sachs Group whose ownership of securities is disaggregated from
that of the Goldman Sachs Reporting Units in accordance with the Release.
The Goldman Sachs Reporting Units disclaim beneficial ownership of the
securities beneficially owned by (i) any client accounts with respect to
which the Goldman Sachs Reporting Units or their employees have voting or
investment discretion, or both and (ii) certain investment entities of
which the Goldman Sachs Reporting Units act as the general partner,
managing general partner or other manager, to the extent interests in such
entities are held by persons other than the Goldman Sachs Reporting Units.
As of November 8, 2006, GS Advisors may be deemed to beneficially own
the aggregate of 3,526,080 shares of Common Stock that may be deemed to be
beneficially owned by GS Capital, GS Offshore and NH representing in the
aggregate, approximately 2.5% of the outstanding shares of Common Stock
based on calculations made in accordance with Rule 13d-3(d) of the Act.
As of November 8, 2006, each of GS oHG and GS GmbH may be deemed to
beneficially own the aggregate of 108,060 shares of Common Stock that may
be deemed to be beneficially owned by GS Germany representing in the
aggregate, approximately 0.1% of the outstanding shares of Common Stock
based on calculations made in accordance with Rule 13d-3(d) of the Act.
As of November 8, 2006, GS Employee 2000 may be deemed to beneficially
own the aggregate of 1,002,281 shares of Common Stock that may be deemed to
be beneficially owned by GS Employee and GS Direct representing in the
aggregate, approximately 0.7% of the outstanding shares of Common Stock
based on calculations made in accordance with Rule 13d-3(d) of the Act.
As of November 8, 2006, GS Capital may be deemed to beneficially own
2,585,318 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 November 8, 2006, GS Offshore may be deemed to beneficially own
939,405 shares of Common Stock representing in the aggregate, approximately
0.7% of the outstanding shares of Common Stock based on calculations made
in accordance with Rule 13d-3(d) of the Act.
As of November 8, 2006, GS Germany may be deemed to beneficially own
108,060 shares of Common Stock representing in the aggregate, approximately
0.1% of the outstanding shares of Common Stock based on calculations made
in accordance with Rule 13d-3(d) of the Act.
As of November 8, 2006, GS Employee may be deemed to beneficially own
821,430 shares of Common Stock representing in the aggregate, approximately
0.6% of the outstanding shares of Common Stock based on calculations made
in accordance with Rule 13d-3(d) of the Act.
As of November 8, 2006, GS Direct may be deemed to beneficially own
180,851 shares of Common Stock representing in the aggregate, approximately
0.1% of the outstanding shares of Common Stock based on calculations made
in accordance with Rule 13d-3(d) of the Act.
As of November 8, 2006, NH may be deemed to beneficially own 1,357
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) On November 8, 2006, the Filing Persons ceased to be the
beneficial owners of five percent or more of the outstanding shares of
Common Stock. Accordingly, this statement on Schedule 13D is hereby
terminated, and this Amendment No. 3 constitutes the final amendment
thereto.
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:
Underwriting Agreement
Pursuant to the terms of the November 2006 Underwriting Agreement,
each of the Issuer and the November 2006 Selling Stockholders 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 60 days from November 2, 2006,
subject to an extension of up to 18 additional days under certain
circumstances, except with the prior written consent of the November 2006
Underwriter, with certain exceptions.
The foregoing description of the November 2006 Underwriting Agreement
is not intended to be complete and is qualified in its entirety by the
complete text of the November 2006 Underwriting Agreement, which is
incorporated herein by reference to Exhibit 99.1 to the Issuer's Current
Report on Form 8-K filed with the SEC on November 6, 2006.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
--------------------------------
Exhibit 1 Underwriting Agreement, dated as of November 2, 2006, among Nalco
Holding Company, the November 2006 Selling Stockholders and the
November 2006 Underwriter (incorporated herein by reference to
Exhibit 99.1 to the Nalco Holding Company's Current Report on
Form 8-K filed with the SEC on November 6, 2006).
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.
November 13, 2006
THE GOLDMAN SACHS GROUP, INC.
By: /s/ Roger S. Begelman
-------------------------------------
Name: Roger S. Begelman
Title: Attorney-in-fact
GOLDMAN, SACHS & CO.
By: /s/ Roger S. Begelman
-------------------------------------
Name: Roger S. Begelman
Title: Attorney-in-fact
GS ADVISORS 2000, L.L.C.
By: /s/ Roger S. Begelman
-------------------------------------
Name: Roger S. Begelman
Title: Attorney-in-fact
GOLDMAN, SACHS & CO. OHG
By: /s/ Roger S. Begelman
-------------------------------------
Name: Roger S. Begelman
Title: Attorney-in-fact
GOLDMAN, SACHS MANAGEMENT GP GMBH
By: /s/ Roger S. Begelman
-------------------------------------
Name: Roger S. Begelman
Title: Attorney-in-fact
GS EMPLOYEE FUNDS 2000 GP, L.L.C.
By: /s/ Roger S. Begelman
-------------------------------------
Name: Roger S. Begelman
Title: Attorney-in-fact
GS CAPITAL PARTNERS 2000, L.P.
By: /s/ Roger S. Begelman
-------------------------------------
Name: Roger S. Begelman
Title: Attorney-in-fact
GS CAPITAL PARTNERS 2000 OFFSHORE, L.P.
By: /s/ Roger S. Begelman
-------------------------------------
Name: Roger S. Begelman
Title: Attorney-in-fact
GS CAPITAL PARTNERS 2000 GMBH & CO.
BETEILIGUNGS KG
By: /s/ Roger S. Begelman
-------------------------------------
Name: Roger S. Begelman
Title: Attorney-in-fact
GS CAPITAL PARTNERS 2000 EMPLOYEE FUND,
L.P.
By: /s/ Roger S. Begelman
-------------------------------------
Name: Roger S. Begelman
Title: Attorney-in-fact
GOLDMAN SACHS DIRECT INVESTMENT FUND
2000, L.P.
By: /s/ Roger S. Begelman
-------------------------------------
Name: Roger S. Begelman
Title: Attorney-in-fact
NH ACQUISITION LLC
By: /s/ Roger S. Begelman
-------------------------------------
Name: Roger S. Begelman
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 person is a citizen of the United States of America except for
Lord Browne of Madingley, who is a citizen of the United Kingdom and Claes
Dahlback, who is a citizen of Sweden. The present principal occupation or
employment of each of the listed persons is set forth below.
-------------------------------- ----------------------------------------------------------------
Name Present Principal Occupation
-------------------------------- ----------------------------------------------------------------
Lloyd C. Blankfein Chairman of the Board and Chief Executive Officer of The
Goldman Sachs Group, Inc.
-------------------------------- ----------------------------------------------------------------
Gary D. Cohn President and Co-Chief Operating Officer of The Goldman Sachs
Group, Inc.
-------------------------------- ----------------------------------------------------------------
Jon Winkelried President and Co-Chief Operating Officer of The Goldman Sachs
Group, Inc.
-------------------------------- ----------------------------------------------------------------
Lord Browne of Madingley Group Chief Executive of BP p.l.c.
-------------------------------- ----------------------------------------------------------------
John H. Bryan Retired Chairman and Chief Executive Officer of Sara Lee
Corporation
-------------------------------- ----------------------------------------------------------------
Claes Dahlback Senior Advisor to Investor AB and Executive Vice Chairman of W
Capital Management
-------------------------------- ----------------------------------------------------------------
Stephen Friedman Chairman of Stone Point Capital
-------------------------------- ----------------------------------------------------------------
William W. George Professor of Management Practice at the Harvard Business
School, Retired Chairman and Chief Executive Officer of
Medtronic, Inc.
-------------------------------- ----------------------------------------------------------------
Rajat K. Gupta Senior Partner of McKinsey & Company
-------------------------------- ----------------------------------------------------------------
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 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,
Ulrika Werdelin and Martin Hintze is Peterborough Court, 133 Fleet Street,
London EC4A 2BB, England. The business address of Sang Gyun Ahn, Hsueh J.
Sung and Andrew Wolff 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 71 South Wacker Drive, Chicago, IL 60606. The business address
of Ankur A. Sahu is Roppongi Hills, Mori Tower, Level 43-48, 10-1, Roppongi
6-chome, Minato-ku, Tokyo, 106-6147, Japan.
All executive officers listed below are United States citizens, except as
follows: Richard S. Sharp is a citizen of the United Kingdom; Hughes B.
Lepic is a citizen 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
------------------------------- ---------------------------- ---------------------------------------------------------
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.
------------------------------- ---------------------------- ---------------------------------------------------------
Elizabeth C. Fascitelli Treasurer Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Hughes B. Lepic Vice President Managing Director of Goldman Sachs International
------------------------------- ---------------------------- ---------------------------------------------------------
Gerald J. Cardinale 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 Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Katherine B. Enquist Vice President/Secretary Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Ulrika Werdelin Vice President Managing 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
------------------------------- ---------------------------- ---------------------------------------------------------
Sang Gyun Ahn Vice President Managing Director of Goldman Sachs (Asia) L.L.C.
------------------------------- ---------------------------- ---------------------------------------------------------
Martin Hintze Vice President Managing Director of Goldman Sachs International
------------------------------- ---------------------------- ---------------------------------------------------------
Michael E. Koester Vice President Managing Director of Goldman, Sachs & Co.
------------------------------- ---------------------------- ---------------------------------------------------------
Ankur A. Sahu Vice President Managing Director of Goldman Sachs (Japan) Ltd.
------------------------------- ---------------------------- ---------------------------------------------------------
Andrew E. Wolff Vice President Managing Director of Goldman Sachs (Asia) L.L.C.
------------------------------- ---------------------------- ---------------------------------------------------------
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 71 South
Wacker Drive, 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 is acitizens 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
------------------------------------- --------------------------------------------------------------------------------
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.
------------------------------------- --------------------------------------------------------------------------------
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.
------------------------------------- --------------------------------------------------------------------------------
Michael E. Koester 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 and Simon B. Cresswell, whose business address is
Peterborough Court, 133 Fleet Street, London EC4A 2BB, England.
All executive officers listed below are United States citizens, except for
Richard S. Sharp and Sarah E. Smith, who are citizens of the United Kingdom
and Simon B. Cresswell who is a citizen of Australia.
----------------------------------- ------------------------------ ---------------------------------------------------
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.
----------------------------------- ------------------------------ ---------------------------------------------------
Ben I. Adler 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 Managing Director of Goldman, Sachs & Co.
----------------------------------- ------------------------------ ---------------------------------------------------
Richard S. Sharp Managing Director Managing Director of Goldman Sachs International
----------------------------------- ------------------------------ ---------------------------------------------------
Simon B. Cresswell Managing Director Vice President 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,
Ulrika Werdelin and Martin Hintze is 133 Fleet Street, London EC4A 2BB,
England. The business address of Sang Gyun Ahn, Hsueh J. Sung and Andrew
Wolff 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
71 South Wacker Drive, Chicago, IL 60606. The business address of Ankur A.
Sahu is Roppongi Hills, Mori Tower, Level 43-48, 10-1, Roppongi 6-chome,
Minato-ku, Tokyo, 106-6147, Japan.
All executive officers listed below are United States citizens, except as
follows: Richard S. Sharp is a citizen of the United Kingdom, Hughes B.
Lepic is a citizen of France, Adrian M. Jones is a citizen of Ireland,
Steffen J. Kastner, Bjorn P. Killmer and Martin Hitze are citizens of
Germany, Ulrika Werdelin is a citizen of Sweden, Hsueh J. Sung is a citizen
of Taiwan, Ankur A. Sahu is a citizen of India and Sang Gyun Ahn is a
citizen of South Korea.
--------------------------------- ---------------------------- ------------------------------------------------------
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
--------------------------------- ---------------------------- ------------------------------------------------------
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.
--------------------------------- ---------------------------- ------------------------------------------------------
Elizabeth C. Fascitelli Vice President Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Hughes B. Lepic Vice President Managing Director of Goldman Sachs International
--------------------------------- ---------------------------- ------------------------------------------------------
Gerald J. Cardinale 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 Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Katherine B. Enquist Vice President/Secretary Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Ulrika Werdelin Vice President Managing 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
--------------------------------- ---------------------------- ------------------------------------------------------
Sang Gyun Ahn Vice President Managing Director of Goldman Sachs (Asia) L.L.C.
--------------------------------- ---------------------------- ------------------------------------------------------
Martin Hintze Vice President Managing Director of Goldman Sachs International
--------------------------------- ---------------------------- ------------------------------------------------------
Michael E. Koester Vice President Managing Director of Goldman, Sachs & Co.
--------------------------------- ---------------------------- ------------------------------------------------------
Ankur A. Sahu Vice President Managing Director of Goldman Sachs (Japan) Ltd.
--------------------------------- ---------------------------- ------------------------------------------------------
Andrew E. Wolff Vice President Managing Director of Goldman Sachs (Asia) L.L.C.
--------------------------------- ---------------------------- ------------------------------------------------------
SCHEDULE III
------------
Schedule III is hereby amended and restated in its entirety as follows:
In November 2002, the Securities and Exchange Commission ("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 & Co. ("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.
In May 2006, the SEC alleged that fourteen investment banking firms,
including Goldman Sachs, violated Section 17(a)(2) of the Securities Act of
1933, by engaging in one or more practices relating to auctions of auction
rate securities during the period from January 1, 2003 through June 30,
2004 as described in the cease-and-desist order entered by the SEC. Goldman
Sachs has agreed to provide certain disclosures about its material auction
practices and procedures to auction participants and to certify to the SEC
that it has implemented certain procedures relating to the auction process.
As part of a multi-firm settlement, Goldman Sachs submitted an Offer of
Settlement which was accepted by the SEC on May 31, 2006. Without admitting
or denying the allegations, Goldman Sachs consented to a censure and
cease-and-desist order and payment of $1,500,000 civil money penalty.