SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
NxStage Medical, Inc.
(Name of Issuer)
Common Stock, $0.001 par value
(Title of Class of Securities)
67072V103
(CUSIP Number)
Ivy Dodes
Credit Suisse
Eleven Madison Avenue, New York, NY 10010
(212) 325-2000
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
June 9, 2006
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7(b) for other parties to whom copies are to be sent.
*The remainder of this cover page shall be filled out for a reporting persons 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 shall be subject to all other provisions of the Act (however, see the Notes).
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CUSIP No. 67072V103 |
13D/A |
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NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Credit Suisse, on behalf of the Investment Banking division | ||
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (b) x | ||
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SEC USE ONLY | ||
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SOURCE OF FUNDS WC | ||
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) x | ||
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CITIZENSHIP OR PLACE OF ORGANIZATION Switzerland | ||
NUMBER OF SHARES |
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SOLE VOTING POWER | |
BENEFICIALLY |
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SHARED VOTING POWER | |
EACH REPORTING |
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SOLE DISPOSITIVE POWER | |
WITH |
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SHARED DISPOSITIVE POWER
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES o | ||
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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TYPE OF REPORTING PERSON | ||
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This Amendment No. 1 to Schedule 13D amends and supplements the statement on Schedule 13D originally filed on December 16, 2005 (the Schedule 13D) with respect to the Common Stock, $0.001 par value per share (the Shares), of NxStage Medical, Inc., a Delaware corporation (the Company). The principal executive offices of the Company are located at 439 South Union Street, 5th Floor, Lawrence, Massachusetts 01843. Unless otherwise indicated, each capitalized term used but not defined herein shall have the meaning assigned to such term in the Schedule 13D.
Item 2. |
Identity and Background. |
The response set forth in Item 2 of the Schedule 13D is hereby amended by deleting the previous response in its entirety and replacing it with the following:
In accordance with Securities and Exchange Commission Release No. 34-39538 (January 12, 1998), this Statement is being filed by Credit Suisse (the Bank), a Swiss bank, on behalf of its subsidiaries to the extent that they constitute the Investment Banking division (the Investment Banking division) (the Reporting Person). The Reporting Person provides financial advisory and capital raising services, sales and trading for users and suppliers of capital around the world and invests in and manages private equity and venture capital funds. The address of the Banks principal business and office is Uetlibergstrasse 231, P.O. Box 900, CH 8070 Zurich, Switzerland. The address of the Reporting Persons principal business and office in the United States is Eleven Madison Avenue, New York, New York 10010.
The Bank owns directly a majority of the voting stock, and all of the non-voting stock, of Credit Suisse Holdings (USA), Inc. (CS Hldgs USA Inc), a Delaware corporation. The address of CS Hldgs USA Incs principal business and office is Eleven Madison Avenue, New York, New York 10010. The ultimate parent company of the Bank and CS Hldgs USA Inc, and the direct owner of the remainder of the voting stock of CS Hldgs USA Inc, is Credit Suisse Group (CSG), a corporation formed under the laws of Switzerland.
CS Hldgs USA Inc owns all of the voting stock of Credit Suisse (USA), Inc. (CS USA Inc), a Delaware corporation and holding company. CS USA Inc is the successor company of Credit Suisse First Boston (USA), Inc. (CSFB-USA), and all references hereinafter to CSFB-USA shall be deemed to refer to CS USA Inc. CS USA Inc is the sole member of Credit Suisse Securities (USA) LLC (CS Sec USA LLC), a Delaware limited liability company and a registered broker-dealer that effects trades in many companies, including the Company. CS Sec USA LLC is the successor company of Credit Suisse First Boston LLC (CSFB LLC), which is the successor company of Credit Suisse First Boston Corporation (CSFBC), and all references hereinafter to CSFB LLC and CSFBC shall be deemed to refer to CS Sec USA LLC. The address of the principal business and office of each of CS USA Inc and CS Sec USA LLC is Eleven Madison Avenue, New York, New York 10010.
Sprout Capital IX, L.P. (Sprout IX), Sprout Capital VIII, L.P. (Sprout VIII), Sprout Capital VII, L.P. (Sprout VII), Sprout CEO Fund, L.P. (Sprout CEO), Sprout Entrepreneurs Fund, L.P. (Sprout Entrepreneurs), Sprout IX Plan Investors, L.P. (IX Plan), Sprout Plan Investors, L.P. (Plan Investors), Sprout Venture Capital, L.P. (Sprout Venture) and DLJ ESC II, L.P. (ESC II) are Delaware limited partnerships which make investments for long term appreciation. DLJ Capital Corporation (DLJCC), a Delaware corporation and a wholly-owned subsidiary of CS USA Inc, acts as a venture capital partnership management company. DLJCC is also the general partner of Sprout CEO, Sprout Entrepreneurs and Sprout Venture. DLJCC is also the managing general partner of Sprout IX, Sprout VIII and Sprout VII and, as such, is responsible for their day-to-day management. DLJCC makes all of the investment decisions on behalf of Sprout IX, Sprout VIII, Sprout VII, Sprout CEO, Sprout Entrepreneurs and Sprout Venture. DLJ Associates IX, L.P. (Associates IX), a Delaware limited partnership, is a general partner of Sprout IX and in accordance with the terms of the relevant partnership
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agreement, does not participate in investment decisions made on behalf of Sprout IX. DLJ Capital Associates IX, Inc. (DLJCA IX), a Delaware corporation and wholly-owned subsidiary of DLJCC, is the managing general partner of Associates IX. DLJ Associates VIII, L.P. (Associates VIII), a Delaware limited partnership, is a general partner of Sprout VIII and in accordance with the terms of the relevant partnership agreement, does not participate in investment decisions made on behalf of Sprout VIII. DLJ Capital Associates VIII, Inc. (DLJCA VIII), a Delaware corporation and wholly-owned subsidiary of DLJCC, is the managing general partner of Associates VIII. DLJ Associates VII, L.P. (Associates VII), a Delaware limited partnership, is a general partner of Sprout VII and in accordance with the terms of the relevant partnership agreement, does not participate in investment decisions made on behalf of Sprout VII. DLJ Capital Associates VII, Inc. (DLJCA VII), a Delaware corporation and wholly-owned subsidiary of CS USA Inc, is the managing general partner of Associates VII. DLJ LBO Plans Management Corporation (DLJLBO), a Delaware corporation, is the general partner of ESC II and, as such, is responsible for its day-to-day management. DLJLBO makes all of the investment decisions on behalf of ESC II. DLJLBO is an indirect wholly-owned subsidiary of CS USA Inc. DLJ LBO Plans Management Corporation II (DLJLBO II), a Delaware corporation, is the general partner of IX Plan and Plan Investors and, as such, is responsible for their day-to-day management. DLJLBO II makes all of the investment decisions on behalf of IX Plan and Plan Investors. DLJLBO II is a wholly-owned subsidiary of Credit Suisse First Boston Private Equity, Inc. (CSFBPE), a Delaware corporation, which, in turn, is a wholly-owned subsidiary of CS USA Inc. CSFB Fund Co-Investment Program, L.P. (CSFB Fund) is a Delaware limited partnership. DLJ MB Advisors, Inc. (DLJMB), an indirect, wholly owned subsidiary of CS USA Inc, serves as an investment advisor to CSFB Fund. The address of the principal business and office of each of DLJCC, DLJCA IX, Associates IX, DLJCA VIII, Associates VIII, DLJCA VII, Associates VII, Sprout IX, Sprout VIII, Sprout VII, Sprout CEO, Sprout Entrepreneurs, Sprout Venture, ESC II, IX Plan, DLJLBO, DLJLBO II, DLJMB, CSFBPE, CSFB Fund and Plan Investors is Eleven Madison Avenue, New York, New York 10010. Sprout IX, Sprout VIII, Sprout VII, Sprout CEO, Sprout Entrepreneurs, IX Plan, Plan Investors, Sprout Venture, ESC II, DLJCC and CSFB Fund are collectively referred to as the Purchasing Entities. The Purchasing Entities, Associates IX, DLJCA IX, Associates VIII, DLJCA VIII, Associates VII, DLJCA VII, DLJLBO, DLJLBO II, CSFBPE and DLJMB are collectively referred to as the CSFB Entities.
CSG is a global financial services company, active in all major financial centers and providing a comprehensive range of banking and insurance products. CSG and its consolidated subsidiaries are comprised of the Bank and the Winterthur division (the Winterthur division). In addition to the Investment Banking division, the Bank is comprised of the Asset Management division (the Asset Management division) and the Private Banking division (the Private Banking division). The Asset Management division provides asset management and investment advisory services to institutional, mutual fund and private investors worldwide. The Private Banking division offers global private banking and corporate and retail banking services in Switzerland. The Winterthur division provides life and non-life insurance and pension products to private and corporate clients worldwide. CSGs business address is Paradeplatz 8, P.O. Box 1, CH 8070 Zurich, Switzerland.
CSG, for purposes of the federal securities laws, may be deemed ultimately to control the Bank and the Reporting Person. CSG, its executive officers and directors, and its direct and indirect subsidiaries (including those subsidiaries that constitute the Asset Management division, the Private Banking division and the Winterthur division) may beneficially own Shares to which this Statement relates and such Shares are not reported in this Statement. CSG disclaims beneficial ownership of Shares beneficially owned by its direct and indirect subsidiaries, including the Reporting Person. Each of the Asset Management division, the Private Banking division and the Winterthur division disclaims beneficial ownership of Shares beneficially owned by the Reporting Person. The Reporting Person disclaims beneficial ownership of Shares beneficially owned by CSG, the Asset Management division, the Private Banking division and the Winterthur division.
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The Reporting Person, CS Hldgs USA Inc, CS USA Inc and CS Sec USA LLC may be deemed for purposes of this Statement to beneficially own shares of Common Stock held in client accounts with respect to which CS Sec USA LLC or its employees have voting or investment discretion, or both (Managed Accounts). The Reporting Person, CS Hldgs USA Inc, CS USA Inc and CS Sec USA LLC disclaim beneficial ownership of shares of Common Stock held in Managed Accounts.
The name, business address, citizenship, present principal occupation or employment, and the name and business address of any corporation or organization in which each such employment is conducted, of each executive officer or director of the Reporting Person, CS Hldgs USA Inc, CS USA Inc, CS Sec USA LLC, DLJCC, DLJCA IX, DLJCA VIII, DLJCA VII, DLJLBO, DLJLBO II, CSFBPE and DLJMB are set forth on Schedules A-1 through A-12 attached hereto, each of which is incorporated by reference herein.
Except as otherwise provided herein, during the past five years none of the Reporting Person, CS Hldgs USA Inc, CS USA Inc, CS Sec USA LLC, the CSFB Entities nor, to the best knowledge of the Reporting Person, any of the other persons listed on Schedules A-1 through A-12 attached hereto, has been (i) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (ii) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to United States federal or state securities laws or finding any violation with respect to such laws.
On January 22, 2002, CSFBC, without admitting or denying any alleged violation, entered into coordinated settlements with NASD Regulation, Inc. (NASDR) and the Securities and Exchange Commission (SEC) resolving all outstanding investigations of CSFBC into the allocation of shares in initial public offerings (IPOs). CSFB-USA was then the sole stockholder of CSFBC.
CSFBC consented to these settlements without admitting or denying any of the allegations made in the SECs Complaint or the Letter of Acceptance, Waiver and Consent (AWC) filed with the NASDR. The SEC and NASDR alleged that, between April 1999 and June 2000, certain CSFBC employees allocated many shares in IPOs to over 100 customers with whom they had improper profit-sharing arrangements. The NASDR and SEC alleged that certain employees allocated hot IPO shares to certain customers who paid the Firm a portion of the profits (between 33 and 65 percent) that they made when they sold their IPO stock, by paying inflated brokerage commissions on transactions unrelated to the IPO shares.
Under the terms of the coordinated settlement:
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CSFBC paid a total of $100 million. This amount included $30 million in fines and civil penalties divided evenly between the SEC and NASDR, and a total of $70 million in disgorgement, $35 million of which was paid to the U.S. Treasury and $35 million of which was paid to the NASDR, representing the monies obtained as a result of the conduct described by the SEC and NASDR. The SEC determined in this case that it was appropriate and in the public interest to pay funds to the U.S. Treasury rather than to any third parties. |
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CSFBC has adopted and implemented revised policies and procedures for allocating IPOs in its broker-dealer operations. The SEC and NASD have reviewed these policies and procedures. These included the establishment of an IPO Allocation Review Committee, a process for the pre-qualification of accounts before they are eligible to receive IPO allocations and enhanced supervisory procedures, which includes the review of commissions paid by certain accounts receiving allocations around the time of the IPO. CSFBC also agreed to retain an independent consultant to review the implementation of these policies and procedures one year from the date of the settlement. |
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In the NASDR settlement, CSFBC, without admitting or denying any findings, consented to a censure and findings that it violated NASD Rules 2110, 2330, 2710, 3010 and 3110. These Rules (a) require broker-dealers to adhere to just and equitable principles of trade, (b) prohibit broker-dealers from sharing in the profits of client accounts except as specifically provided, (c) require a managing underwriter to file certain information that may have a bearing on the NASDRs review of underwriting arrangements, (d) require members to establish, maintain and enforce a reasonable supervisory system, and (e) require broker-dealers to maintain certain books and records.
The NASDR AWC also found violations of Section 17(a) of the Securities Exchange Act of 1934, as amended (the Exchange Act), and SEC Rule 17a-3, thereunder, which are incorporated by NASD Rule 3110 and similarly impose certain record keeping requirements on CSFBC as a broker-dealer. In the SEC settlement, CSFBC, without admitting or denying the allegations of the Complaint, consented to entry by the District Court for the District of Columbia of a final judgment that: (1) permanently enjoined CSFBC, directly or indirectly, from violations of NASD Conduct Rules 2110 and 2330 and Section 17(a)(1) of the Exchange Act and SEC Rule 17a-3; and (2) ordered CSFBC to comply with certain undertakings.
Neither the SEC nor NASDR made any allegations or findings of fraudulent conduct by CSFBC. Further, neither the SEC nor NASDR alleged that any IPO prospectus was rendered false or misleading by CSFBCs conduct or that this conduct affected either the offering price of an IPO or the price at which any IPO stock traded in the aftermarket.
On August 13, 2002, Mr. John A. Ehinger, an executive officer of CSFB-USA and board member of CSFB LLC, without admitting or denying any alleged violation, entered into a settlement with the NASD resolving outstanding investigations of Mr. Ehinger into his alleged failure to supervise with a view toward preventing CSFBCs violations of NASD Rules 2110, 2330, 2710 and 3110, and Section 17(a) of the Exchange Act and SEC Rule 17a-3 thereunder. Under the terms of the settlement, Mr. Ehinger agreed to (1) the payment of a fine of $200,000, (2) a suspension from associating with a member firm in any and all capacities for 30 calendar days, and (3) a suspension from acting in any supervisory capacity for 30 additional calendar days, such supervisory suspension beginning after the suspension in all capacities had been served.
On October 31, 2003, the U.S. District Court for the Southern District of New York (the SDNY) approved the global settlement among a number of Wall Street firms, including CSFB LLC, and a coalition of state and federal regulators and self-regulatory organizations (the Global Settlement). CSFB LLC, without admitting or denying any alleged violation, consented to the Global Settlement and thereby resolved a Securities and Exchange Commissions (SEC) complaint filed on April 28, 2003, in the SDNY. In this complaint, the SEC alleged that, from July 1998 to December 2001, CSFB LLC engaged in acts and practices that created or maintained inappropriate influence over research analysts, thereby imposing conflicts of interest on research analysts that CSFB LLC failed to manage in an adequate or appropriate manner. The SECs complaint also alleged that CSFB LLC engaged in inappropriate spinning of hot IPO allocations in violation of New York Stock Exchange (NYSE) and NASD Inc. (NASD) rules requiring adherence to high business standards and just and equitable principles of trade, and that CSFB LLCs books and records relating to certain transactions violated the broker-dealer record-keeping provisions of Section 17(a) of the Securities Exchange Act of 1934, NYSE Rules 401, 440 and 476(a)(6) and NASD Rules 2110 and 3110.
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Under the terms of the Global Settlement: | |||
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CSFB LLC agreed to pay the following amounts: $75 million as a penalty, $75 million as disgorgement of commissions and other monies for restitution for investors, and $50 million to be used to fund independent research. This $50 million to fund independent research is payable over a five year period. | ||
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CSFB LLC is required, among other things, to: (i) separate its research and investment banking departments and make independent research available to investors, (ii) prohibit its analysts from receiving compensation for investment banking activities and prohibit analysts involvement in investment banking pitches and roadshows, (iii) contract, for a five-year period, with no fewer than three independent research firms that will make available independent research to CSFBs customers, and (iv) make its analysts historical price targets (among other things) publicly available. |
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CSFB LLC is permanently restrained and enjoined from violating Sections 15(c) and 17(a) of the Exchange Act, Exchange Act Rules 15c1-2 and 17a-3, NASD Rules 2110, 2210, 3010, and 3110, and NYSE Rules 342, 401, 440, 472, and 476. |
Other Wall Street firms were subject to similar requirements.
Item 3. |
Source and Amounts of Funds. |
The response set forth in Item 3 of the Schedule 13D is hereby amended by adding to the end of Item 3 the following:
On June 9, 2006, Sprout IX purchased 348,538 Shares and Sprout Entrepreneurs purchased 1,462 Shares at a price of $8.75 per Share in the Companys follow-on public offering. The aggregate consideration (exclusive of commissions) paid by Sprout IX and Sprout Entrepreneurs for the purchase of such Shares was $3,062,500. On June 13, 2006, Sprout IX purchased 69,708 Shares and Sprout Entrepreneurs purchased 292 Shares at a price of $9.3655 per Share on the Nasdaq National Market. The aggregate consideration (exclusive of commissions) paid by Sprout IX and Sprout Entrepreneurs for the purchase of such Shares was $655,585. The funds used by Sprout IX and Sprout Entrepreneurs to make the acquisitions on June 9, 2006 and June 13, 2006 were obtained from working capital.
Item 4. |
Purpose of Transaction. |
The response set forth in Item 4 of the Schedule 13D is hereby amended by adding to the end of the first paragraph of Item 4 the following:
Sprout IX and Sprout Entrepreneurs purchased the Shares on June 9, 2006 and June 13, 2006 for investment purposes.
Item 5. |
Interest in Securities of the Issuer. |
The response set forth in Item 5 of the Schedule 13D is hereby amended by deleting the previous response in its entirety and replacing it with the following:
(a) As of June 22, 2006, the Reporting Person may be deemed to beneficially own an aggregate of 6,185,874 Shares, consisting of (i) 2,359,547 Shares held directly by Sprout IX, (ii) 2,108,034 Shares held directly by Sprout VIII, (iii) 830,437 Shares held directly by Sprout VII, (iv) 9,666 Shares held directly by Sprout CEO, (v) 9,402 Shares held directly by Sprout Entrepreneurs, (vi) 112,061
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Shares held directly by IX Plan, (vii) 47,203 Shares held directly by Plan Investors, (viii) 126,517 Shares held directly by Sprout Venture, (ix) 135,480 Shares held directly by ESC II, (x) 174,845 Shares held directly by DLJCC, (xi) 272,582 Shares held directly by CSFB Fund and (xii) 100 Shares held directly by CS Sec USA LLC.
Accordingly, the Reporting Person may be deemed to beneficially own 23.2% of the outstanding Shares of the Company.
To the best knowledge of the Reporting Person, and except as described herein, neither the Reporting Person, CS Hldgs USA Inc, CS USA Inc, CS Sec USA LLC, the CSFB Entities nor, to the best knowledge of the Reporting Person, any other persons listed on Schedules A-1 through A-12 attached hereto, beneficially owns any additional Shares.
(b) With respect to any rights or powers to vote, or to direct the vote of, or to dispose of, or direct the disposition of, the Shares referenced in paragraph 5(a), there is shared power to vote, or to direct the vote of, and to dispose of, or to direct the disposition of, such Shares among the Reporting Person, CS Hldgs USA Inc, CS USA Inc, CS Sec USA LLC and the CSFB Entities.
(c) Except as described below, the Reporting Person effected no transactions in the Shares during the 60 days prior to June 22, 2006.
On May 24, 2006, DLJCC exercised 204 warrants of the Company into 204 Shares at an exercise price of $7.13, ESC II exercised 4,948 warrants of the Company into 4,948 Shares at an exercise price of $7.13, Sprout VIII exercised 61,681 warrants of the Company into 61,681 Shares at an exercise price of $7.13 and Sprout Venture exercised 3,700 warrants of the Company into 3,700 Shares at an exercise price of $7.13. On June 9, 2006, Sprout IX purchased 348,538 Shares and Sprout Entrepreneurs purchased 1,462 Shares at a price of $8.75 per Share in the follow-on public offering of the Company. On June 13, 2006, Sprout IX purchased 69,708 Shares and Sprout Entrepreneurs purchased 292 Shares at a price of $9.3655 per Share on the Nasdaq National Market.
(d) No other person is known by the Reporting Person to have the right to receive or power to direct the receipt of dividends from, or the proceeds from the sale of, the Shares beneficially owned by the Reporting Person, CS Hldgs USA Inc, CS USA Inc, CS Sec USA LLC or the CSFB Entities.
(e) Not applicable.
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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.
Date: June 22, 2006
CREDIT SUISSE, solely on behalf of the Investment Banking division.
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By: |
/s/ Ivy Dodes |
Name: Ivy Dodes |
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SCHEDULE A-1
EXECUTIVE OFFICERS AND DIRECTORS OF THE REPORTING PERSON
The following sets forth the name, business address, present principal occupation and citizenship of each executive officer and director of the Reporting Person. The business address of the Reporting Person is Eleven Madison Avenue, New York, New York 10010.
Name |
Business Address |
Title |
Citizenship |
Brady W. Dougan |
Eleven Madison Avenue |
Chief Executive Officer of the Investment Banking Division and Chairman of the Investment Banking Management Committee |
United States |
Tony Ehinger |
Eleven Madison Avenue |
Co-Head of Equities |
United States |
Brian D. Finn |
Eleven Madison Avenue |
President of Investment Banking and Head of Alternative Investments |
United States |
Marc D. Granetz |
Eleven Madison Avenue |
Co-Head of Investment Banking Department |
United States |
John S. Harrison |
Eleven Madison Avenue |
Head of Executive Office Administration |
United States |
James P. Healy |
Eleven Madison Avenue |
Head of Fixed Income |
United States |
James E. Kreitman |
One Cabot Square, London E14 4QJ, |
Co-Head of Equities |
United States |
Neil Moskowitz |
Eleven Madison Avenue |
Investment Banking Division Chief Financial Officer and Head of Investment Banking Support |
United States |
Adebayo O. Ogunlesi |
Eleven Madison Avenue |
Chief Client Officer and Executive Vice Chairman of the Investment Banking Division |
Nigeria |
Eric M. Varvel |
Eleven Madison Avenue |
Co-Head of Investment Banking Department |
United States |
Robert L. Basso |
Eleven Madison Avenue |
Head of Investment Banking Division Human Resources |
United States |
Philip Cushmaro |
Eleven Madison Avenue |
Chief Information Officer of Investment Banking Division |
United States |
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Name |
Business Address |
Title |
Citizenship |
Mark Rufeh |
Eleven Madison Avenue |
Head of Strategy Implementation and Expense Management |
United States |
Lewis H. Wirshba |
Eleven Madison Avenue |
Chief Operation Officer, Americas Region |
United States |
Carlos Onis |
Eleven Madison Avenue |
Global Head of Fixed Income Infrastructure |
United States |
Ken Weiner |
Eleven Madison Avenue |
Head of Investment Banking Operational Risk Management |
United States |
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SCHEDULE A-2
EXECUTIVE OFFICERS AND DIRECTORS OF CREDIT SUISSE HOLDINGS (USA), INC.
The following sets forth the name, business address, present principal occupation and citizenship of each executive officer and director of Credit Suisse Holdings (USA), Inc. The business address of Credit Suisse Holdings (USA), Inc. is Eleven Madison Avenue, New York, New York 10010, USA.
Name |
Business Address |
Title |
Citizenship |
Brady W. Dougan |
Eleven Madison Avenue |
Board Member, President and Chief Executive Officer |
United States |
Neil Moskowitz |
Eleven Madison Avenue |
Board Member and Managing Director |
United States |
D. Neil Radey |
One Madison Avenue |
Managing Director and General Counsel |
United States |
David C. Fisher |
Eleven Madison Avenue |
Chief Financial Officer |
United States |
Peter J. Feeney |
Eleven Madison Avenue |
Treasurer |
United States |
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SCHEDULE A-3
EXECUTIVE OFFICERS AND DIRECTORS OF CREDIT SUISSE (USA), INC.
The following sets forth the name, business address, present principal occupation and citizenship of each executive officer and director of Credit Suisse (USA), Inc. The business address of Credit Suisse (USA), Inc. is Eleven Madison Avenue, New York, New York 10010, USA.
Name |
Business Address |
Title |
Citizenship |
Brady W. Dougan |
Eleven Madison Avenue |
Board Member, President and Chief Executive Officer |
United States |
Neil Moskowitz |
Eleven Madison Avenue |
Board Member and Managing Director |
United States |
D. Neil Radey |
One Madison Avenue |
Managing Director and General Counsel |
United States |
Lewis H. Wirshba |
Eleven Madison Avenue |
Board Member and Managing Director |
United States |
David C. Fisher |
Eleven Madison Avenue |
Chief Financial and Accounting Officer |
United States |
Peter J. Feeney |
Eleven Madison Avenue |
Managing Director and Treasurer |
United States |
Carlos Onis |
Eleven Madison Avenue |
Board Member and Managing Director |
United States |
Kenneth Weiner |
Eleven Madison Avenue |
Board Member and Managing Director |
United States |
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SCHEDULE A-4
EXECUTIVE OFFICERS AND DIRECTORS OF CREDIT SUISSE SECURITIES (USA) LLC
The following sets forth the name, business address, present principal occupation and citizenship of each executive officer and director of Credit Suisse Securities (USA) LLC. The business address of Credit Suisse Securities (USA) LLC is Eleven Madison Avenue, New York, New York 10010.
Name |
Business Address |
Title |
Citizenship |
Brady W. Dougan |
Eleven Madison Avenue |
Board Member, President and Chief Executive Officer |
United States |
John A. Ehinger |
Eleven Madison Avenue |
Board Member |
United States |
James P. Healy |
Eleven Madison Avenue |
Board Member |
United States |
D. Neil Radey |
One Madison Avenue |
Managing Director and General Counsel |
United States |
Paul J. OKeefe |
Eleven Madison Avenue |
Chief Financial Officer |
United States |
Gary Gluck |
Eleven Madison Avenue |
Treasurer |
United States |
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SCHEDULE A-5
EXECUTIVE OFFICERS AND DIRECTORS OF DLJ CAPITAL CORPORATION
The following sets forth the name, business address, present principal occupation and citizenship of each executive officer and director of DLJ Capital Corporation. The business address of DLJ Capital Corporation is Eleven Madison Avenue, New York, New York 10010.
Name |
Business Address |
Title |
Citizenship |
Robert Finzi |
Eleven Madison Avenue |
Board Member and Co-Chairman |
United States |
Janet A. Hickey |
Eleven Madison Avenue |
Board Member and Co-Chairman |
United States |
Peter J. Feeney |
Eleven Madison Avenue |
Board Member and Treasurer |
United States |
George R. Hornig |
Eleven Madison Avenue |
President |
United States |
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SCHEDULE A-6
EXECUTIVE OFFICERS AND DIRECTORS OF DLJ CAPITAL ASSOCIATES IX, INC.
The following sets forth the name, business address, present principal occupation and citizenship of each executive officer and director of DLJ Capital Associates IX, Inc. The business address of DLJ Capital Associates IX, Inc. is Eleven Madison Avenue, New York, New York 10010.
Name |
Business Address |
Title |
Citizenship |
George R. Hornig |
Eleven Madison Avenue |
Board Member and President |
United States |
Robert Finzi |
Eleven Madison Avenue |
Board Member and Vice President |
United States |
Peter J. Feeney |
Eleven Madison Avenue |
Treasurer |
United States |
Janet A. Hickey |
Eleven Madison Avenue |
Board Member and Vice President |
United States |
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SCHEDULE A-7
EXECUTIVE OFFICERS AND DIRECTORS OF DLJ CAPITAL ASSOCIATES VIII, INC.
The following sets forth the name, business address, present principal occupation and citizenship of each executive officer and director of DLJ Capital Associates VIII, Inc. The business address of DLJ Capital Associates VIII, Inc. is Eleven Madison Avenue, New York, New York 10010.
Name |
Business Address |
Title |
Citizenship |
George R. Hornig |
Eleven Madison Avenue |
Board Member and President |
United States |
Robert Finzi |
Eleven Madison Avenue |
Board Member and Vice President |
United States |
Janet A. Hickey |
Eleven Madison Avenue |
Board Member and Vice President |
United States |
Peter J. Feeney |
Eleven Madison Avenue |
Treasurer |
United States |
17 |
|
SCHEDULE A-8
EXECUTIVE OFFICERS AND DIRECTORS OF DLJ CAPITAL ASSOCIATES VII, INC.
The following sets forth the name, business address, present principal occupation and citizenship of each executive officer and director of DLJ Capital Associates VII, Inc. The business address of DLJ Capital Associates VII, Inc. is Eleven Madison Avenue, New York, New York 10010.
Name |
Business Address |
Title |
Citizenship |
George R. Hornig |
Eleven Madison Avenue |
Board Member and President |
United States |
Robert Finzi |
Eleven Madison Avenue |
Board Member and Vice President |
United States |
Peter J. Feeney |
Eleven Madison Avenue |
Treasurer |
United States |
18 |
|
SCHEDULE A-9
EXECUTIVE OFFICERS AND DIRECTORS OF DLJ LBO PLANS MANAGEMENT CORPORATION
The following sets forth the name, business address, present principal occupation and citizenship of each executive officer and director of DLJ LBO Plans Management Corporation. The business address of DLJ LBO Plans Management Corporation is Eleven Madison Avenue, New York, New York 10010.
Name |
Business Address |
Title |
Citizenship |
George R. Hornig |
Eleven Madison Avenue |
Board Member and President |
United States |
Ivy B. Dodes |
Eleven Madison Avenue |
Board Member and Vice President |
United States |
Peter J. Feeney |
Eleven Madison Avenue |
Treasurer |
United States |
19 |
|
SCHEDULE A-10
EXECUTIVE OFFICERS AND DIRECTORS OF DLJ LBO PLANS MANAGEMENT CORPORATION II
The following sets forth the name, business address, present principal occupation and citizenship of each executive officer and director of DLJ LBO Plans Management Corporation II. The business address of DLJ LBO Plans Management Corporation II is Eleven Madison Avenue, New York, New York 10010.
Name |
Business Address |
Title |
Citizenship |
George R. Hornig |
Eleven Madison Avenue |
Board Member and President |
United States |
Edward A. Poletti |
Eleven Madison Avenue |
Board Member and Senior Vice President |
United States |
Nicole S. Arnaboldi |
Eleven Madison Avenue |
Board Member |
United States |
Peter J. Feeney |
Eleven Madison Avenue |
Treasurer |
United States |
20 |
|
SCHEDULE A-11
EXECUTIVE OFFICERS AND DIRECTORS OF CREDIT SUISSE FIRST BOSTON PRIVATE EQUITY, INC.
The following sets forth the name, business address, present principal occupation and citizenship of each executive officer and director of Credit Suisse First Boston Private Equity, Inc. The business address of Credit Suisse First Boston Private Equity, Inc. is Eleven Madison Avenue, New York, New York 10010.
Name |
Business Address |
Title |
Citizenship |
Nicole S. Arnaboldi |
Eleven Madison Avenue |
Board Member and Chief Operating Officer Funds Management |
United States |
George R. Hornig |
Eleven Madison Avenue |
Board Member and Chief Operating Officer |
United States |
Edward A. Poletti |
Eleven Madison Avenue |
Chief Financial Officer |
United States |
Brian D. Finn |
Eleven Madison Avenue |
Chief Executive Officer |
United States |
Peter J. Feeney |
Eleven Madison Avenue |
Treasurer |
United States |
21 |
|
SCHEDULE A-12
EXECUTIVE OFFICERS AND DIRECTORS OF DLJ MB ADVISORS, INC.
The following sets forth the name, business address, present principal occupation and citizenship of each executive officer and director of DLJ MB Advisors, Inc. The business address of DLJ MB Advisors, Inc. is Eleven Madison Avenue, New York, New York 10010.
Name |
Business Address |
Title |
Citizenship |
George R. Hornig |
Eleven Madison Avenue |
Board Member and Chairman |
United States |
Edward A. Poletti |
Eleven Madison Avenue |
Board Member and Senior Vice President |
United States |
Nicole S. Arnaboldi |
Eleven Madison Avenue |
Board Member and Managing Director |
United States |
Steven Rattner |
Eleven Madison Avenue |
Board Member |
United States |
Peter J. Feeney |
Eleven Madison Avenue |
Treasurer |
United States |
22 |
|