Filed On 12/19/06 5:29pm ET ˇ SEC File 5-35355 ˇ Accession Number 1144204-6-53486
As Of Filer Filing As/For/On Docs:Pgs Issuer Agent
12/19/06 Heartland Industrial Assoc LLC SC 13D 1:53 Metaldyne Corp Vintage Filings LLC/FA
75 Wall Street Associates LLC
Annex Holdings I LP
CRM 1999 Enterprise Fund/LLC
Equity Asset Investment Trust
G/E/Capital Services Equity Corp
General Electric Capital Services/Inc
General Electric Company
Graham Partners Investments (A)/L/P
Graham Partners Investments (B)/L/P
Graham Partners Investments/L/P
Heartland Industrial Partners (C1)/L/P
Heartland Industrial Partners (Ff)/L/P
Heartland Industrial Partners/L/P
Hip Side-By-Side Partners/L/P
Long Point Capital Fund/L/P
Long Point Capital Partners/L/L/C
Metaldyne Investment Fund I/LLC
Metaldyne Investment Fund II/LLC
Richard A/Manoogian Trust
Richard and Jane Manoogian Foundation
Wachovia Capital Partners 2000/LLC
General Statement of Beneficial Ownership ˇ Schedule 13D
Filing Table of Contents
Document/Exhibit Description Pages Size
1: SC 13D General Statement of Beneficial Ownership 53 191K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
METALDYNE CORPORATION
--------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
--------------------------------------------------------------------------------
(Title of Class of Securities)
574670 10 5
--------------------------------------------------------------------------------
(CUSIP Number)
Heartland Industrial Associates L.L.C.
Daniel P. Tredwell
55 Railroad Avenue
Greenwich, Connecticut 06830
(203) 861-2622
--------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to Receive Notices and
Communications)
August 31, 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 ss.240.13d-1(e), 240.13d-1(f) or 240.13d-(1)(g), check the
following box |_|.
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).
-1-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
HEARTLAND INDUSTRIAL ASSOCIATES L.L.C.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP(a) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 21,425,931(a)
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
21,425,931(a)
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
21,425,931(a)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)(1)
50.0%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
HC
--------------------------------------------------------------------------------
----------
(a) By virtue of being the general partner or managing member, as applicable,
of each of the other Reporting Heartland Entities filing this Schedule
13D. The Reporting Entities on this Schedule 13D may be deemed to
constitute a group and therefore each Reporting Entity may be deemed to
beneficially own the Issuer's securities that are held by all of the
Reporting Entities. Each Reporting Entity disclaims beneficial ownership
of securities held by each other Reporting Entity or Other Entity and we
refer you to Item 5 hereof for a more detailed discussion of the holdings
of Issuer's securities by the Reporting Entities.
-2-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
HEARTLAND INDUSTRIAL PARTNERS, L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (b) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 19,922,184(b)
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
19,922,184(b)
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
19,922,184(b)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
46.5%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
----------
(b) Exercised by the Reporting Heartland Entity's general partner, Heartland
Industrial Associates L.L.C. The Reporting Entities on this Schedule 13D
may be deemed to constitute a group and therefore each Reporting Entity
may be deemed to beneficially own the Issuer's securities that are held by
all of the Reporting Entities. Each Reporting Entity disclaims beneficial
ownership of securities held by each other Reporting Entity or Other
Entity and we refer you to Item 5 hereof for a more detailed discussion of
the holdings of Issuer's securities by the Reporting Entities.
-3-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
HIP SIDE-BY-SIDE PARTNERS, L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP(c) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 1,211,173(c)
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
1,211,173(c)
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,211,173(c)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.8%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
----------
(c) Exercised by the Reporting Heartland Entity's general partner, Heartland
Industrial Associates L.L.C. The Reporting Entities on this Schedule 13D
may be deemed to constitute a group and therefore each Reporting Entity
may be deemed to beneficially own the Issuer's securities that are held by
all of the Reporting Entities. Each Reporting Entity disclaims beneficial
ownership of securities held by each other Reporting Entity or Other
Entity and we refer you to Item 5 hereof for a more detailed discussion of
the holdings of Issuer's securities by the Reporting Entities.
-4-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
METALDYNE INVESTMENT FUND I, LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (d) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 19,922,184(d)
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
19,922,184(d)
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
19,922,184(d)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
46.5%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
----------
(d) Exercised by Heartland Industrial Partners L.L.C., the general partner of
the managing member of the Reporting Heartland Entity. The Reporting
Entities on this Schedule 13D may be deemed to constitute a group and
therefore each Reporting Entity may be deemed to beneficially own the
Issuer's securities that are held by all of the Reporting Entities. Each
Reporting Entity disclaims beneficial ownership of securities held by each
other Reporting Entity or Other Entity and we refer you to Item 5 hereof
for a more detailed discussion of the holdings of Issuer's securities by
the Reporting Entities.
-5-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
METALDYNE INVESTMENT FUND II, LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (e) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 292,574(e)
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
292,574(e)
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
292,574(e)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.7%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
----------
(e) Exercised by Heartland Industrial Partners L.L.C., the general partner of
the managing member of the Reporting Heartland Entity. The Reporting
Entities on this Schedule 13D may be deemed to constitute a group and
therefore each Reporting Entity may be deemed to beneficially own the
Issuer's securities that are held by all of the Reporting Entities. Each
Reporting Entity disclaims beneficial ownership of securities held by each
other Reporting Entity or Other Entity and we refer you to Item 5 hereof
for a more detailed discussion of the holdings of Issuer's securities by
the Reporting Entities.
-6-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
HEARTLAND INDUSTRIAL PARTNERS (FF), L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (f) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 244,920(f)
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
244,920(f)
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
244,920(f)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.6%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
----------
(f) Exercised by the Reporting Heartland Entity's general partner, Heartland
Industrial Associates L.L.C. The Reporting Entities on this Schedule 13D
may be deemed to constitute a group and therefore each Reporting Entity
may be deemed to beneficially own the Issuer's securities that are held by
all of the Reporting Entities. Each Reporting Entity disclaims beneficial
ownership of securities held by each other Reporting Entity or Other
Entity and we refer you to Item 5 hereof for a more detailed discussion of
the holdings of Issuer's securities by the Reporting Entities.
-7-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
HEARTLAND INDUSTRIAL PARTNERS (C1), L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (g) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 47,654(g)
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
47,654(g)
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
47,654(g)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
----------
(g) Exercised by the Reporting Heartland Entity's general partner, Heartland
Industrial Associates L.L.C. The Reporting Entities on this Schedule 13D
may be deemed to constitute a group and therefore each Reporting Entity
may be deemed to beneficially own the Issuer's securities that are held by
all of the Reporting Entities. Each Reporting Entity disclaims beneficial
ownership of securities held by each other Reporting Entity or Other
Entity and we refer you to Item 5 hereof for a more detailed discussion of
the holdings of Issuer's securities by the Reporting Entities.
-8-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
RICHARD AND JANE MANOOGIAN FOUNDATION (h)
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 661,260
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
661,260
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
661,260
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.5%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
----------
(h) The Reporting Entities on this Schedule 13D may be deemed to constitute a
group and therefore each Reporting Entity may be deemed to beneficially
own the Issuer's securities that are held by all of the Reporting
Entities. Each Reporting Entity disclaims beneficial ownership of
securities held by each other Reporting Entity or Other Entity and we
refer you to Item 5 hereof for a more detailed discussion of the holdings
of Issuer's securities by the Reporting Entities.
-9-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
RICHARD A. MANOOGIAN TRUST
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (i) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 621,170
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
621,170
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
621,170
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.4%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
----------
(i) The Reporting Entities on this Schedule 13D may be deemed to constitute a
group and therefore each Reporting Entity may be deemed to beneficially
own the Issuer's securities that are held by all of the Reporting
Entities. Each Reporting Entity disclaims beneficial ownership of
securities held by each other Reporting Entity or Other Entity and we
refer you to Item 5 hereof for a more detailed discussion of the holdings
of Issuer's securities by the Reporting Entities.
-10-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
WACHOVIA CAPITAL PARTNERS 2000, LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (j) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 1,597,633
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
1,597,633
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,597,633
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.7%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
----------
(j) The Reporting Entities on this Schedule 13D may be deemed to constitute a
group and therefore each Reporting Entity may be deemed to beneficially
own the Issuer's securities that are held by all of the Reporting
Entities. Each Reporting Entity disclaims beneficial ownership of
securities held by each other Reporting Entity or Other Entity and we
refer you to Item 5 hereof for a more detailed discussion of the holdings
of Issuer's securities by the Reporting Entities.
-11-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
EQUITY ASSET INVESTMENT TRUST
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (k) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 591,761
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
591,761
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
591,761
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.4%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
----------
(k) The Reporting Entities on this Schedule 13D may be deemed to constitute a
group and therefore each Reporting Entity may be deemed to beneficially
own the Issuer's securities that are held by all of the Reporting
Entities. Each Reporting Entity disclaims beneficial ownership of
securities held by each other Reporting Entity or Other Entity and we
refer you to Item 5 hereof for a more detailed discussion of the holdings
of Issuer's securities by the Reporting Entities.
-12-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
GE CAPITAL SERVICES EQUITY CORP.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (l) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 591,761
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
591,761
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
591,761
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.4%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
----------
(1) The Reporting Entities on this Schedule 13D may be deemed to constitute a
group and therefore each Reporting Entity may be deemed to beneficially
own the Issuer's securities that are held by all of the Reporting
Entities. Each Reporting Entity disclaims beneficial ownership of
securities held by each other Reporting Entity or Other Entity and we
refer you to Item 5 hereof for a more detailed discussion of the holdings
of Issuer's securities by the Reporting Entities. GE Capital Services
Equity Corp. is the manager of Equity Asset Investment Trust.
-13-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
GENERAL ELECTRIC CAPITAL SERVICES, INC.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP(m) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 591,761
SHARES
-------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING
-------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
591,761
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
591,761
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.4%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted
stock in accordance with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
----------
(m) The Reporting Entities on this Schedule 13D may be deemed to constitute a
group and therefore each Reporting Entity may be deemed to beneficially
own the Issuer's securities that are held by all of the Reporting
Entities. Each Reporting Entity disclaims beneficial ownership of
securities held by each other Reporting Entity or Other Entity and we
refer you to Item 5 hereof for a more detailed discussion of the holdings
of Issuer's securities by the Reporting Entities. General Electric Capital
Services, Inc. wholly owns G.E. Capital Services Equity Corp. and Equity
Asset Investment Trust.
-14-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
GENERAL ELECTRIC COMPANY
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP(n) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (New York)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 591,761
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
591,761
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
591,761
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.4%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
----------
(n) The Reporting Entities on this Schedule 13D may be deemed to constitute a
group and therefore each Reporting Entity may be deemed to beneficially
own the Issuer's securities that are held by all of the Reporting
Entities. Each Reporting Entity disclaims beneficial ownership of
securities held by each other Reporting Entity or Other Entity and we
refer you to Item 5 hereof for a more detailed discussion of the holdings
of Issuer's securities by the Reporting Entities. General Electric Company
wholly owns General Electric Capital Services, Inc., which wholly owns
G.E. Capital Services Equity Corp. and Equity Asset Investment Trust.
-15-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
ANNEX HOLDINGS I LP
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (o) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 591,761
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
591,761
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
591,761
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.4%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
----------
(o) The Reporting Entities on this Schedule 13D may be deemed to constitute a
group and therefore each Reporting Entity may be deemed to beneficially
own the Issuer's securities that are held by all of the Reporting
Entities. Each Reporting Entity disclaims beneficial ownership of
securities held by each other Reporting Entity or Other Entity and we
refer you to Item 5 hereof for a more detailed discussion of the holdings
of Issuer's securities by the Reporting Entities.
-16-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
75 WALL STREET ASSOCIATES LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (p) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 295,858
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
295,858
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
295,858
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.7%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
----------
(p) The Reporting Entities on this Schedule 13D may be deemed to constitute a
group and therefore each Reporting Entity may be deemed to beneficially
own the Issuer's securities that are held by all of the Reporting
Entities. Each Reporting Entity disclaims beneficial ownership of
securities held by each other Reporting Entity or Other Entity and we
refer you to Item 5 hereof for a more detailed discussion of the holdings
of Issuer's securities by the Reporting Entities.
-17-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
LONG POINT CAPITAL FUND, L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (q) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 581,025
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
581,025
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
581,025
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.4%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
----------
(q) The Reporting Entities on this Schedule 13D may be deemed to constitute a
group and therefore each Reporting Entity may be deemed to beneficially
own the Issuer's securities that are held by all of the Reporting
Entities. Each Reporting Entity disclaims beneficial ownership of
securities held by each other Reporting Entity or Other Entity and we
refer you to Item 5 hereof for a more detailed discussion of the holdings
of Issuer's securities by the Reporting Entities.
-18-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
LONG POINT CAPITAL PARTNERS, L.L.C.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (r) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 10,692
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
10,692
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,692
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.0%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
----------
(r) The Reporting Entities on this Schedule 13D may be deemed to constitute a
group and therefore each Reporting Entity may be deemed to beneficially
own the Issuer's securities that are held by all of the Reporting
Entities. Each Reporting Entity disclaims beneficial ownership of
securities held by each other Reporting Entity or Other Entity and we
refer you to Item 5 hereof for a more detailed discussion of the holdings
of Issuer's securities by the Reporting Entities.
-19-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
GRAHAM PARTNERS INVESTMENTS, L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (s) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 591,715
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
591,715
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
591,715
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.4%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
----------
(s) The Reporting Entities on this Schedule 13D may be deemed to constitute a
group and therefore each Reporting Entity may be deemed to beneficially
own the Issuer's securities that are held by all of the Reporting
Entities. Each Reporting Entity disclaims beneficial ownership of
securities held by each other Reporting Entity or Other Entity and we
refer you to Item 5 hereof for a more detailed discussion of the holdings
of Issuer's securities by the Reporting Entities. Notwithstanding anything
contained herein to the contrary, each Reporting Graham Partners entity
shares voting and dispositive power with each other Reporting Graham
Partners Entity.
-20-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
GRAHAM PARTNERS INVESTMENTS (A), L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (t) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 591,715
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
591,715
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
591,715
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.4%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
----------
(t) The Reporting Entities on this Schedule 13D may be deemed to constitute a
group and therefore each Reporting Entity may be deemed to beneficially
own the Issuer's securities that are held by all of the Reporting Entities
Each Reporting Entity disclaims beneficial ownership of securities held by
each other Reporting Entity or Other Entity and we refer you to Item 5
hereof for a more detailed discussion of the holdings of Issuer's
securities by the Reporting Entities. Notwithstanding anything contained
herein to the contrary, each Reporting Graham Partners entity shares
voting and dispositive power with each other Reporting Graham Partners
Entity.
-21-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
GRAHAM PARTNERS INVESTMENTS (B), L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (u) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 591,715
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
591,715
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
591,715
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.4%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
----------
(u) The Reporting Entities on this Schedule 13D may be deemed to constitute a
group and therefore each Reporting Entity may be deemed to beneficially
own the Issuer's securities that are held by all of the Reporting
Entities. Each Reporting Entity disclaims beneficial ownership of
securities held by each other Reporting Entity or Other Entity and we
refer you to Item 5 hereof for a more detailed discussion of the holdings
of Issuer's securities by the Reporting Entities. Notwithstanding anything
contained herein to the contrary, each Reporting Graham Partners entity
shares voting and dispositive power with each other Reporting Graham
Partners Entity.
-22-
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP No. 574670 10 5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
CRM 1999 ENTERPRISE FUND, LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (v) (a) |_|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States (Delaware)
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 59,172
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING -------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
59,172
-------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
59,172
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%
(subject to increase based on holders of outstanding restricted stock of
Metaldyne electing to receive cash in lieu of restricted stock in accordance
with the restricted stock incentive plans)
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
----------
(v) The Reporting Entities on this Schedule 13D may be deemed to constitute a
group and therefore each Reporting Entity may be deemed to beneficially
own the Issuer's securities that are held by all of the Reporting
Entities. Each Reporting Entity disclaims beneficial ownership of
securities held by each other Reporting Entity or Other Entity and we
refer you to Item 5 hereof for a more detailed discussion of the holdings
of Issuer's securities by the Reporting Entities.
-23-
With respect to the Reporting Heartland Entities (as defined below), this
filing supplements all previous filings on Schedule 13D made by the Reporting
Heartland Entities relating to Metaldyne (as defined below).
Neither the present filing or anything contained herein shall be construed
as an admission that any combination of Reporting Entities constitutes a "group"
for any purpose.
Item 1. Security and Issuer.
The class of equity securities to which this statement on Schedule 13D
(this "Statement") relates is the common stock, par value $1.00 per share, of
Metaldyne Corporation, a Delaware corporation ("Metaldyne"). The principal
executive offices of Metaldyne are located at 47659 Halyard Drive, Plymouth,
Michigan 48170.
Item 2. Identity and Background.
This Statement is being filed jointly on behalf of the following persons
(collectively, the "Reporting Entities"):
o Heartland Industrial Associates L.L.C. ("HIA"), Heartland Industrial
Partners, L.P. ("HIP"), HIP Side-By-Side Partners, L.P. ("HIP
Side-By-Side"), Metaldyne Investment Fund I, LLC ("MIF I"),
Metaldyne Investment Fund II, LLC ("MIF II"), Heartland Industrial
Partners (FF), L.P. ("HIPFF") and Heartland Industrial Partners
(C1), L.P. ("HIPC1" and, together with HIA, HIP, HIP Side-By-Side,
MIF I, MIF II and HIPFF, the "Reporting Heartland Entities");
o the Richard and Jane Manoogian Foundation (the "Manoogian
Foundation"), Richard A. Manoogian Trust (together with the
Manoogian Foundation, the "Reporting Manoogian Persons");
o Wachovia Capital Partners 2000, LLC;
o Equity Asset Investment Trust ("EAIT"), G.E. Capital Services Equity
Corp. ("GECSEC"), General Electric Capital Services, Inc. ("GECS")
and General Electric Company ("GE" and, together with EAIT, GECSEC
and GECS, The "Reporting G.E. Entities");
o Annex Holdings I LP;
o 75 Wall Street Associates LLC;
o Long Point Capital Fund, L.P. ("Long Point Fund") and Long Point
Capital Partners, L.L.C. ("Long Point Partners" and, together with
Long Point Fund, the "Reporting Long Point Entities");
o Graham Partners Investments, L.P. ("GPI"), Graham Partners
Investments (A), L.P. ("GPIA") and Graham Partners Investments (B),
L.P. ("GPIB" and, together with GPI and GPIA, the "Reporting Graham
Partners Entities"); and
o CRM 1999 Enterprise Fund, LLC.
-24-
The additional information required to be included with respect to each
Reporting Entity is included in the table below:
[Enlarge/Download Table]
Residence or Principal
------------ ---------
Shareholder Business Address Occupation / Citizenship or
----------- ---------------- ------------ --------------
Employer jurisdiction of
-------- ---------------
organization
------------
Reporting Heartland Entities:
Heartland Industrial Associates L.L.C. See below See below Delaware
Heartland Industrial Partners, L.P. See below See below Delaware
HIP Side-By-Side Partners, L.P. See below See below Delaware
Metaldyne Investment Fund I, LLC See below See below Delaware
Metaldyne Investment Fund II, LLC See below See below Delaware
Heartland Industrial Partners (FF), L.P. See below See below Delaware
Heartland Industrial Partners (C1), L.P. See below See below Delaware
HIA is the general partner of each of the Reporting Heartland Entities.
Daniel P. Tredwell is the sole managing member of HIA.
The principal business and office address of each of the Reporting
Heartland Entities and Daniel P. Tredwell is 55 Railroad Avenue, Greenwich, CT
06830.
The principal business of each of the Reporting Heartland Entities is to
focus on investments in industrial companies. Daniel P. Tredwell's principal
occupation is Senior Managing Director of HIP. Daniel P. Tredwell is a citizen
of the United States of America.
During the last five years, none of the Reporting Heartland Entities or
Daniel P. Tredwell has been convicted in a criminal proceeding (excluding
traffic violations or similar misdemeanors) or has been a party to a civil
proceeding of a judicial or administrative body of competent jurisdiction and as
a result of such proceeding was or is subject to a judgment, decree or final
order enjoining future violations of, or prohibiting or mandating activities
subject to, federal or state securities laws or finding any violation with
respect to such laws.
-25-
[Enlarge/Download Table]
Residence or Principal
------------ ---------
Shareholder Business Address Occupation / Citizenship or
----------- ---------------- ------------ --------------
Employer jurisdiction of
-------- ---------------
organization
------------
Reporting Manoogian Persons:
Richard and Jane Manoogian Foundation 21001 Van Born Rd. Charitable Michigan
Taylor, MI 48180 activities
Richard A. Manoogian Trust 21001 Van Born Rd. Investments Michigan
Taylor, MI 48180
Wachovia Capital Partners 2000, LLC 301 S. College Street Investments North Carolina
Floor 12
Charlotte, NC
28288-0732
Reporting G.E. Entities:
Equity Asset Investment Trust 120 Long Ridge Road, See below Delaware
Stamford, CT 06927
GE Capital Services Equity Corp 120 Long Ridge Road, See below Delaware
Stamford, CT 06927
General Electric Capital Services, Inc. 260 Long Ridge Road, See below Delaware
Stamford, CT 06927
General Electric Company 3135 Easton Turnpike, See below New York
Fairfield, CT 06828
Annex Holdings I LP 599 Lexington Ave. Private Equity Fund Cayman Islands
New York, NY 10022
75 Wall Street Associates Giselastr. 4, 80802 Private Equity Fund Delaware
Munich, Germany
Reporting Long Point Entities:
Long Point Capital Fund, L.P. 767 5th Ave, Fl. 8 Private Equity Fund Delaware
New York, NY 10153
Long Point Capital Partners, L.L.C. 767 5th Ave, Fl. 8 General Partner in Delaware
New York, NY 10153 Private Equity Fund
Reporting Graham Partners Entities:
Graham Partners Investments, L.P. 3811 West Chester Private Equity Fund Delaware
Pike, Building 2,
Suite 200, Newtown
Square, PA 19073
Graham Partners Investments (A), L.P. 3811 West Chester Private Equity Fund Delaware
Pike, Building 2,
Suite 200, Newtown
Square, PA 19073
Graham Partners Investments (B), L.P. 3811 West Chester Private Equity Fund Delaware
Pike, Building 2,
Suite 200, Newtown
Square, PA 19073
-26-
[Enlarge/Download Table]
Residence or Principal
------------ ---------
Shareholder Business Address Occupation / Citizenship or
----------- ---------------- ------------ --------------
Employer jurisdiction of
-------- ---------------
organization
------------
CRM 1999 Enterprise Fund, LLC c/o Cramer Rosenthal Private Equity Delaware
McGlynn, LLC Investment Fund
520 Madison Avenue
New York, NY 10022
The Reporting Manoogian Persons
The directors of the Richard and Jane Manoogian Foundation are Richard A.
Manoogian, Jane Manoogian and Eugene A. Gargaro. Richard A. Manoogian ultimately
controls the Richard and Jane Manoogian Foundation.
Richard A. Manoogian is the Trustee of the Richard A. Manoogian Trust.
Richard A. Manoogian's principal occupation is Chairman and Chief
Executive Officer of Masco Corporation. Richard A. Manoogian is a citizen of the
United States of America.
During the last five years, none of the Reporting Manoogian Persons or
Richard a. Manoogian has been convicted in a criminal proceeding (excluding
traffic violations or similar misdemeanors) or has been a party to a civil
proceeding of a judicial or administrative body of competent jurisdiction and as
a result of such proceeding was or is subject to a judgment, decree or final
order enjoining future violations of, or prohibiting or mandating activities
subject to, federal or state securities laws or finding any violation with
respect to such laws.
Wachovia Capital Partners 2000, LLC
Wachovia Investors, Inc. and Wachovia Capital Partners Management Company
2000, LLC are the managing members of Wachovia Capital Partners 2000, LLC and
are ultimately controlled by Scott B. Perper.
Scott B Perper's principal occupation is Executive of Wachovia Capital
Partners Management Company 2000, LLC. Scott B Perper is a citizen of the United
States of America.
During the last five years, neither Wachovia Capital Partners 2000, LLC
nor Scott B. Perper has been convicted in a criminal proceeding (excluding
traffic violations or similar misdemeanors) or has been a party to a civil
proceeding of a judicial or administrative body of competent jurisdiction and as
a result of such proceeding was or is subject to a judgment, decree or final
order enjoining future violations of, or prohibiting or mandating activities
subject to, federal or state securities laws or finding any violation with
respect to such laws.
-27-
Reporting GE Entities
General Electric Capital Services, Inc. ("GECS") wholly owns GE Capital
Services Equity Corp. ("GECSEC") and Equity Asset Investment Trust ("EAIT").
GECSEC is the manager of EAIT. GECS is a wholly owned subsidiary of General
Electric Company ("GE"). GECS is a holding company which owns all of the common
stock of General Electric Capital Corporation, GECSEC and other subsidiaries of
GE and maintains its principal executive offices at 260 Long Ridge Road,
Stamford, Connecticut 06927. GECSEC manages EAIT and other GE entities and
maintains its principal executive offices at 120 Long Ridge Road, Stamford,
Connecticut 06927. EAIT is a trust whose principal business is to purchase, hold
and dispose of assets and maintains its principal executive offices at 120 Long
Ridge Road, Stamford, Connecticut 06927. GE engages in a providing a wide
variety of industrial, commercial and consumer products and services and
maintains its principal executive offices at 3135 Easton Turnpike, Fairfield,
Connecticut 06431. For information with respect to the identity and background
of each executive officer and director of each Reporting Person, see Schedule I,
II and III attached hereto.
During the last five years, none of the Reporting GE Persons or, to the
best of their knowledge, any person identified on Schedules I, II or III has
been (i) convicted of any 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, federal or
state securities laws or finding any violation with respect to such laws.
Annex Holdings I LP
Annex Capital Partners LLC is the general partner of Annex Holdings I LP.
Alexander P. Coleman ultimately controls Annex Capital Partners LLC.
Alexander P. Coleman's principal occupation is Managing Member of Annex
Capital Partners LLC. Alexander P. Coleman is a citizen of the United States of
America.
During the last five years, neither Annex Holdings I LP nor Alexander P.
Coleman has been convicted in a criminal proceeding (excluding traffic
violations or similar misdemeanors) or has been a party to a civil proceeding of
a judicial or administrative body of competent jurisdiction and as a result of
such proceeding was or is subject to a judgment, decree or final order enjoining
future violations of, or prohibiting or mandating activities subject to, federal
or state securities laws or finding any violation with respect to such laws.
75 Wall Street Associates
Allianz Leben Private Equity Fonds Plus GmbH is a Member of 75 Wall Street
Associates, LLC. Wanching Ang, Claus Zellner, Christian Mayert, Dr. Gerhard
Bauer and Dr. Florian Huber are Directors of Allianz Leben Private Equity Fonds
Plus GmbH. The principal occupation of Messrs: Ang, Zellner, Mayert, Bauer and
Huber is Director of Allianz Leben Private Equity Fonds Plus GmbH. Allianz Leben
Private Equity Fonds Plus GmbH is a German corporation. Wanching Ang is a
citizen of Singapore. Messrs. Zellner, Mayert, Bauer and Huber are citizens of
Germany.
During the last five years, neither 75 Wall Street Associates nor Messrs:
Ang, Zellner, Mayert, Bauer or Huber has been convicted in a criminal proceeding
(excluding traffic violations or similar misdemeanors) or has been a party to a
civil proceeding of a judicial or administrative body of competent jurisdiction
and as a result of such proceeding was or is subject to a judgment, decree or
final order enjoining future violations of, or prohibiting or mandating
activities subject to, federal or state securities laws or finding any violation
with respect to such laws.
Reporting Long Point Entities
Long Point Capital Partners, LLC is the general partner of Long Point
Capital Fund, L.P. Ira Starr, Gerard W. Boylan, John Morgan and William C.
Ughetta, Jr. are the managing members of the Reporting Long Pint Entities.
The principal occupation of each of Ira Starr, Gerard W. Boylan, John
Morgan and William C. Ughetta, Jr. is managing member of the Reporting Long Pint
Entities. Each of Ira Starr, Gerard W. Boylan, John Morgan and William C.
Ughetta, Jr. is a citizen of the United States of America.
During the last five years, none of the Reporting Long Point Entities or
Ira Starr, Gerard W. Boylan, John Morgan or William C. Ughetta, Jr. has been
convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors) or has been a party to a civil proceeding of a judicial or
administrative body of competent jurisdiction and as a result of such proceeding
was or is subject to a judgment, decree or final order enjoining future
violations of, or prohibiting or mandating activities subject to, federal or
state securities laws or finding any violation with respect to such laws.
-28-
Reporting Graham Partners Entities
Graham Partners General Partner, L.P. is the general partner of each of
the Reporting Graham Partners Entities. Steven C. Graham ultimately controls
Graham Partners General Partner, L.P.
Steven C. Graham's principal occupation is President of Graham Partners,
Inc. Graham Partners, Inc. serves, among other things, as the manager of each of
the Reporting Graham Partners Entities. Steven C. Graham is a citizen of the
United States of America.
During the last five years, none of the Reporting Graham Partners Entities
or Steven C. Graham has been convicted in a criminal proceeding (excluding
traffic violations or similar misdemeanors) or has been a party to a civil
proceeding of a judicial or administrative body of competent jurisdiction and as
a result of such proceeding was or is subject to a judgment, decree or final
order enjoining future violations of, or prohibiting or mandating activities
subject to, federal or state securities laws or finding any violation with
respect to such laws.
CRM 1999 Enterprise Fund, LLC
CRM Alternatives, Inc. is the sole managing member of CRM 1999 Enterprise
Fund, LLC.
Carlos Leal's principal occupation is Chief Financial Officer and
Corporate Secretary of CRM Alternatives, Inc. Carlos Leal is a citizen of the
United States of America.
During the last five years, neither CRM 1999 Enterprise Fund , LLC or
Carlos Leal has been convicted in a criminal proceeding (excluding traffic
violations or similar misdemeanors) or has been a party to a civil proceeding of
a judicial or administrative body of competent jurisdiction and as a result of
such proceeding was or is subject to a judgment, decree or final order enjoining
future violations of, or prohibiting or mandating activities subject to, federal
or state securities laws or finding any violation with respect to such laws.
Joint Filing Agreement
The Reporting Entities have entered into a Joint Filing Agreement, dated
as of December 14, 2006, a copy of which is attached hereto as Exhibit E.
Item 3. Source and Amount of Funds or Other Consideration.
Except as set forth below, all shares of Common Stock held by the
Reporting Entities were issued or retained in connection with a recapitalization
consummated on November 28, 2000 (the "Recapitalization") involving the
acquisition of control of Metaldyne by Heartland. In aggregate, the Reporting
Entities (other than the Reporting Mannogian Persons) contributed $435.1 million
in cash to acquire 25,745,548 shares of Common Stock of Metaldyne at a price of
$16.90 per share. The Reporting Manoogian Persons were stockholders of Metaldyne
prior to the Recapitalization and retained an aggregate of 1,282,430 shares of
Common Stock. The source of funds for each acquisition of shares of Common Stock
by the Reporting Entities was working capital.
-29-
Item 4. Purpose of Transaction.
In connection with the planned acquisition of Metaldyne by Asahi Tec
described below, the Reporting Entities entered into stock purchase agreements
to reinvest the cash proceeds in Asahi Tec equity securities as described below.
The signing of the stock purchase agreements may be deemed to constitute the
Reporting Entities as a "group" within the meaning of Section 13(d) of the
Securities Exchange Act of 1934, as amended, and, accordingly, the Reporting
Entities join in the filing of this Statement. Additionally, the signing of the
stock purchase agreements by Credit Suisse First Boston Equity Partners, L.P.
and affiliated entities, Masco Corporation, BancBoston Capital, Inc., Private
Equity Portfolio Fund II, LLC, Met Life, Inc., and Metropolitan Life Insurance
Company (collectively the "Other Entities") may cause such entities to be deemed
part of the "group" along with the Reporting Entities. However, each of such
Other Entities may file their own Schedule 13D separately and apart from the
Reporting Entities. Neither the present filing nor anything contained herein
shall be construed as an admission that any combination of Reporting Entities or
Other Entities constitutes a "group" for any purpose.
(a) Agreement and Plan of Merger
The Company had previously announced that it entered into an Agreement and
Plan of Merger, dated as of August 31, 2006 (the "Original Merger Agreement") by
and among Metaldyne, Asahi Tec Corporation, a Japanese corporation ("Asahi
Tec"), and Argon Acquisition Corp., a Delaware corporation and a wholly owned
subsidiary of Asahi Tec ("Acquisition Sub"). On November 27, 2006, these parties
entered into an Amended and Restated Agreement and Plan of Merger (the "Amended
Merger Agreement") which supersedes the Original Merger Agreement. Under the
Amended Merger Agreement, it is contemplated that Acquisition Sub will merge
into Metaldyne (the "Merger"), and that Metaldyne, as the surviving corporation
of the Merger, will become a wholly owned subsidiary of Asahi Tec and will cease
to be a Reporting Company under the Securities and Exchange Act of 1934. Under
the terms of the Amended Merger Agreement, at the effective time of the Merger,
each share of Common Stock owned by those of the Company's common stockholders
that are currently party to a Metaldyne shareholders agreement (the "Principal
Company Stockholders"), to which certain of the Reporting Entities are a party,
will be converted into the right to receive $1.5243 in cash (as opposed to
$2.1833 in cash under the Original Merger Agreement), in each case without
interest. Each share of Common Stock held by persons that are not Principal
Company Stockholders, (the
-30-
"3% Minority Stockholders") (other than shares owned by Asahi Tec, Acquisition
Sub, Metaldyne or any of their respective subsidiaries and shares ("Dissenting
Shares") as to which Common Stockholders have perfected and not withdrawn the
right to appraisal under Section 262 of the General Corporation Law of the State
of Delaware (the "DGCL")), will be converted into the right to receive $2.57 in
cash, without interest. Holders of these shares will receive a higher price per
share if the average closing common price of the Asahi Tec common stock for a 30
trading day period prior to closing of the Merger (the "Closing Common Price"),
is higher than $2.9693 (the "Signing Common Price"), as determined under the
Merger Agreement. In addition, in the event that any cash payment will be due as
a result of the Merger on any stock options of the Company outstanding prior to
the Merger, the total cash merger consideration for Common Stockholders,
including the Reporting Entities party to the above referenced shareholders
agreement, will be correspondingly reduced. The Principal Company Stockholders
have been required by Asahi Tec, and have agreed, pursuant to a stock purchase
agreement described below in Item 4(b), as such agreement was amended and
restated on November 27, 2006 (the "Amended Stock Purchase Agreement"), to
reinvest their Merger proceeds in common stock of Asahi Tec in a private
placement. In addition, all holders of the Company's preferred stock (the
"Preferred Stockholders"), including the Reporting Entities, have been required
by Asahi Tec, and have agreed, to reinvest their Merger proceeds in Asahi Tec
convertible preferred stock or common stock of Asahi Tec to be issued in a
private placement. The Principal Company Stockholders and the Preferred
Stockholders have agreed to waive their appraisal rights under the DGCL with
respect to the Merger. The obligation of the parties to consummate the Merger
and the related transactions is subject to the satisfaction of certain
conditions, including: obtaining certain consents and waivers from holders of
Metaldyne's 11% Senior Subordinated Notes due 2012, 10% Senior Notes due 2013
and 10% Senior Subordinated Notes due 2014; obtaining financing necessary to
consummate the Merger and related transactions; closing of the private
placements of Asahi Tec equity securities to the Principal Company Stockholders
and Preferred Stockholders (in each case without the amendment, modification or
waiver in any material respect of any material term or condition thereof); the
absence of a material adverse effect on the Company; and U.S., Japanese and
other foreign regulatory approval. Following the Merger and under the new
organizational structure, Mr. Leuliette and Shoichiro Irimajiri, chairman of
Asahi Tec, will serve as Co-Chairmen of Asahi Tec. Mr. Leuliette is expected to
be appointed as a director of Asahi Tec, subject to shareholder approval. In
connection with the Merger, a shareholders' agreement was entered into as of
August 31, 2006 by and among Asahi Tec, RHJ International S.A. ("RHJI") and the
Principal Company Stockholders with reference to Asahi-Tec securities setting
forth certain rights and obligations of the parties in respect of Asahi Tec
following the Merger. It is currently anticipated that the Reporting Heartland
Entities will have the right to nominate a director to the board of Asahi Tec.
Such shareholders' agreement has been amended and restated as of November 27,
2006. The amended and restated shareholders' agreement will become effective
upon consummation of the Merger and the other transactions described in the
Amended Merger Agreement and in the Amended Stock Purchase Agreement. The
Company has reported that the Merger has been approved by the boards of
directors of the Company, Asahi Tec and Acquisition Sub. At Asahi Tec's request,
following approval by the Company's board of directors, the required majority of
the Company's stockholders delivered written consents to approve the Merger. The
Preferred Stockholders have also consented to the Merger in connection with
their agreement to reinvest the cash received in the Merger in Asahi Tec
securities. Asahi Tec has also solicited and obtained the approval of its
shareholders to the transactions contemplated by the private placement
agreements with the reinvesting stockholders; however, this approval, which was
obtained on November 16, 2006, will expire after January 16, 2007 so that, if
the Merger is not closed by that date, Asahi Tec would need to call another
shareholders meeting following a new required notice period of between eight and
ten weeks. The Original Merger Agreement has been modified to extend its
scheduled expiration date to March 15, 2007. There can be no assurance that a
new approval could be timely obtained or that the merger conditions would be
satisfied at the relevant time.
-31-
(b) Stock Purchase Agreements
See section (a) of Item 6.
(c) Additional Information
For additional information with respect to the status of discussions
related to the noteholders' consents and waivers and events that have occurred
subsequent to the date of the Merger Agreement, see the Company's Form 8-K filed
with the Securities and Exchange Commission (the "SEC") on November 28, 2006 and
the Company's Schedule 13E-3 filed with the SEC on December 15, 2006.
Item 5. Interest in Securities of the Issuer.
The aggregate percentage of shares of Common Stock reported owned by each
person named herein is based upon 42,795,963 shares of Common Stock outstanding,
as reported in the Information Statement/Proxy Statement filed by Metaldyne on
November 29, 2006.
The ownership of each of the Reporting Entities is set forth in the
following table. Neither the present filing nor anything contained in this item
5 shall be construed as an admission that any combination of Reporting Entities
or Other Entities constitutes a "group" for any purpose, and each Reporting
Entity disclaims beneficial ownership of securities held by each other Reporting
Entity or Other Entity.
[Download Table]
Shares of
Shareholder Common Stock Percent
----------- ------------ -------
Reporting Heartland Entities:
Heartland Industrial Associates L.L.C. 21,425,931 50.0(w)
Heartland Industrial Partners, L.P. 19,922,184 46.5(x)
----------
(w) By virtue of being the general partner of the Reporting Heartland
Entities.
(x) Exercised by the Reporting Heartland Person's general partner, Heartland
Industrial Associates L.L.C.
-32-
[Download Table]
Shares of
Shareholder Common Stock Percent
----------- ------------ -------
HIP Side-By-Side Partners, L.P. 1,211,173 2.8
Metaldyne Investment Fund I, LLC 19,922,184 46.5
Metaldyne Investment Fund II, LLC 292,574 0.7
Heartland Industrial Partners (FF), L.P. 244,920 0.6
Heartland Industrial Partners (C1), L.P. 47,654 0.1
Reporting Manoogian Entities:
Richard and Jane Manoogian Foundation 661,260 1.5
Richard A. Manoogian Trust 621,170 1.4
Wachovia Capital Partners 2000, LLC 1,597,633 3.7
Reporting G.E. Entities:
Equity Asset Investment Trust 591,761 1.4
G.E. Capital Services Equity Corp. 591,761 1.4
General Electric Capital Services, Inc. 591,761 1.4
General Electric Company 591,761 1.4
Annex Holdings I LP 591,761 1.4
75 Wall Street Associates 295,858 0.7
Reporting Long Point Entities:
Long Point Capital Fund, L.P. 581,025 1.4
Long Point Capital Partners, L.L.C. 10,692 0.0
Reporting Graham Partners Entities:
Graham Partners Investments, L.P. 271,132 0.6
Graham Partners Investments (A), L.P. 164,864 0.4
Graham Partners Investments (B), L.P. 155,719 0.4
CRM 1999 Enterprise Fund, LLC 59,172 0.1
-33-
Item 6. Contracts, Arrangements Understandings or Relationships with Respect to
Securities of the Issuer.
(a) Stock Purchase Agreements
The Principal Company Stockholders, including certain of the Reporting
Entities, entered into the Amended Stock Purchase Agreement as of November 27,
2006 pursuant to which the Principal Company Stockholders have agreed to
reinvest their Merger proceeds in common stock of Asahi Tec in a private
placement. In addition, two Preferred Stockholders have entered into preferred
stock purchase agreements, which have been amended and restated as of November
27, 2006, pursuant to which such holders of the Company's preferred stock have
agreed to reinvest their proceeds in Asahi Tec convertible preferred stock in a
private placement. Certain of the Reporting Heartland Entities are holders of
the Company's Series B preferred stock and also have entered into a stock
purchase agreement, which has been amended and restated as of November 27, 2006,
pursuant to which they have agreed to reinvest their Series B preferred stock
Merger proceeds in Asahi Tec common stock in a private placement. The price at
which the Principal Company Stockholders and the Preferred Stockholders will
purchase Asahi Tec common stock in the private placements is based on a discount
to the Signing Common Price. This discount reflects the lesser per share merger
consideration to be received by the Principal Company Stockholders relative to
the 3% Minority Stockholders (without regard to any potential increase payable
to the 3% Minority Stockholders as a result of improvements in the Closing
Common Price relative to the Signing Common Price). In addition, the Reporting
Heartland Entities have agreed to purchase $15 million of additional shares of
Asahi Tec for cash on the same basis to finance the Merger and related
transactions. The Reporting Heartland Entities offered this investment on a pro
rata basis to the other Principal Company Stockholders, and such offer has
expired. None of the other Principal Company Stockholders will be receiving such
additional shares pursuant to the offer.
(b) Asahi Tec Stockholders Agreement
The Principal Company Stockholders have entered into an amended and
restated stockholders agreement (the "Stockholders Agreement") with Asahi Tec
and RHJI, dated as of November 27, 2006, attached hereto as Exhibit C, pursuant
to which the Principal Company Stockholders are subject to limitations on the
transfer of Asahi Tec common stock. In addition, pursuant to the terms of the
Stockholders Agreement, for so long as the Principal Company Stockholders
collectively own at least 10% of the outstanding Asahi Tec common stock, both
Heartland and the CSFB Private Equity Funds each have the right to nominate one
director to the Asahi Tec board of directors; if the Principal Company
Stockholders collectively own more than 5% but less than 10% of the outstanding
Asahi Tec common stock, Heartland has the right to nominate one director to the
Asahi Tec board of directors. The Stockholders Agreement also provides offering
assistance to Heartland and entitles the Principal Company Stockholders to
English language versions of documents containing financial and business
information. Finally, pursuant to the terms of the Stockholders Agreement, the
Principal Company Stockholders have agreed not to transfer any Asahi Tec common
stock subject to the Stockholders Agreement without the written consent of RHJI
until the earlier of (i) the consummation of the first private placement of
capital shares by Asahi Tec to institutional investors (the "Institutional
Offering"), or (ii) the expiration of a period of 90 days following the
consummation of the Merger (the "Initial Restricted Period"). Furthermore, for a
period of 180 days following the closing of both of the Institutional Offering
and the first primary public offering of Asahi Tec capital shares (the
"Offering"), or such shorter lock-up period as the applicable underwriters of
the Institutional Offering or the Offering may require, the principal company
stockholders may not transfer any Asahi Tec common stock subject to the
Stockholders Agreement (the "Offering Restricted Period" and, together with the
Initial Restricted Period, the "Restricted Period"); provided, however, that no
Restricted Period shall extend more than 24 months from the consummation of the
Merger.
-34-
(c) Metaldyne Shareholders Agreement.
On November 28, 2000, in connection with the Recapitalization, Metaldyne
and certain of the Reporting Entities entered into a Shareholders Agreement
("Shareholders Agreement"). The Shareholders Agreement, a copy of which is
attached hereto as Exhibit D, is incorporated herein.
Item 7. Exhibits.
(A) Amended and Restated Stock Purchase Agreement, dated as of November
27, 2006, among Asahi Tec Corporation and the Purchasers listed on Schedule I
thereto (incorporated herein by reference to Exhibit (d)(3) of the Metaldyne
Schedule 13E-3 filed with the SEC on November 29, 2006 (File No. 005-35355,
Accession Nos. 0001047469-06-014589)).
(B) Amended and Restated Stock Purchase Agreement, dated as of November
27, 2006, among Asahi Tec Corporation, Metaldyne Investment Fund I, LLC, HIP
Side-By-Side Partners, L.P. and Metaldyne Investment Fund II, LLC (incorporated
herein by reference to Exhibit (d)(4) of the Metaldyne Schedule 13E-3 filed with
the SEC on November 29, 2006 (File No. 005-35355, Accession Nos.
0001047469-06-014589)).
(C) Amended and Restated Shareholder's Agreement, dated as of November 27,
2006, among RHJI International SA, Asahi Tec Corporation, and the Principal
Company Shareholders listed on Schedule I thereto (incorporated herein by
reference to Exhibit (d)(2) of the Metaldyne Schedule 13E-3 filed with the SEC
on November 29, 2006 (File No. 005-35355, Accession Nos. 0001047469-06-014589)).
(D) Shareholder's Agreement, dated as of November 28, 2000, among RHJI
International SA, Asahi Tec Corporation, and the Principal Company Shareholders
listed on Schedule I thereto (incorporated herein by reference to Exhibit 3 of
the Metaldyne Schedule 13D filed with the SEC on December 8, 2000 (File No.
005-35355, Accession Nos. 0000950172-00-002002)).
(E) Joint Filing Agreement, dated as of December 14, 2006, by and among
the Reporting Entities.
-35-
Signatures
----------
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.
Dated: December 14, 2006
HEARTLAND INDUSTRIAL ASSOCIATES L.L.C.
By: /s/ Daniel P. Tredwell
---------------------------------------------------
Name: Daniel P. Tredwell
Title: Managing Member
HEARTLAND INDUSTRIAL PARTNERS (FF), L.P.
HEARTLAND INDUSTRIAL PARTNERS (C1), L.P.
HEARTLAND INDUSTRIAL PARTNERS, L.P.
HIP SIDE-BY-SIDE PARTNERS, L.P.
By: Their General Partner, Heartland Industrial Associates, L.L.C.
By: /s/ Daniel P. Tredwell
-----------------------
Name: Daniel P. Tredwell
Title: Managing Member
METALDYNE INVESTMENT FUND I, LLC
By: HEARTLAND INDUSTRIAL PARTNERS, L.P.
It's Managing Member
By: HEARTLAND INDUSTRIAL ASSOCIATES L.L.C.
Its General Partner
By: /s/ Daniel P. Tredwell
---------------------------------------------------
Name: Daniel P. Tredwell
Title: Managing Member
-36-
METALDYNE INVESTMENT FUND II, LLC
By: HEARTLAND INDUSTRIAL PARTNERS, L.P.
It's Managing Member
By: HEARTLAND INDUSTRIAL ASSOCIATES L.L.C.
Its General Partner
By: /s/ Daniel P. Tredwell
---------------------------------------------------
Name: Daniel P. Tredwell
Title: Managing Member
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.
Dated: December 14, 2006
RICHARD AND JANE MANOOGIAN FOUNDATION
By: /s/ Richard A. Manoogian
---------------------------------------------------
Name: Richard A. Manoogian
Title: President and Treasurer
RICHARD A. MANOOGIAN TRUST
By: /s/ Richard A. Manoogian
---------------------------------------------------
Name: Richard A. Manoogian
Title: Trustee
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.
Dated: December 19, 2006
WACHOVIA CAPITAL PARTNERS 2000, LLC
By: /s/ Stuart M. Christhilf, IV
---------------------------------------------------
Name: Stuart M. Christhilf, IV
Title: Vice President
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.
Dated: December 14, 2006
EQUITY ASSET INVESTMENT TRUST
By: its Sole Manager, GE Capital Services Equity Corp.
By: /s/ Andrea Assarat
---------------------------------------------------
Name: Andrea Assarat
Title: Senior Vice President
GE CAPITAL SERVICES EQUITY CORP.
By: /s/ Andrea Assarat
---------------------------------------------------
Name: Andrea Assarat
Title: Senior Vice President
GENERAL ELECTRIC CAPITAL SERVICES, INC.
By: /s/ Barbara A. Lane
---------------------------------------------------
Name: Barbara A. Lane
Title: Attorney-in-Fact
GENERAL ELECTRIC COMPANY
By: /s/ Barbara A. Lane
---------------------------------------------------
Name: Barbara A. Lane
Title: Attorney-in-Fact
-37-
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.
Dated: December 19, 2006
ANNEX HOLDINGS I LP
By its General Partner, Annex Capital Partners LLC
By: /s/ Alexander P. Coleman
---------------------------------------------------
Name: Alexander P. Coleman
Title: Managing Member
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.
Dated: December 14, 2006
75 WALL STREET ASSOCIATES, LLC
By: its Member, Allianz Leben Private Equity Fonds plus GmbH
By: /s/ Claus Zellner
---------------------------------------------------
Name: Claus Zellner
Title: Director
By: /s/ Dr. Florian Huber
---------------------------------------------------
Name: Dr. Florian Huber, Director
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.
Dated: December 14, 2006
LONG POINT CAPITAL FUND, L.P.
By: /s/ Ira Starr
---------------------------------------------
Name: Ira Starr
Title: Managing Director
LONG POINT CAPITAL PARTNERS, L.L.C.
By: /s/ Ira Starr
---------------------------------------------
Name: Ira Starr
Title: Managing Director
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.
Dated: December 14, 2006
GRAHAM PARTNERS INVESTMENTS, L.P.
By GRAHAM PARTNERS GENERAL PARTNER, L.P., It's General
Partner
By GRAHAM PARTNERS INVESTMENTS (GP2), L.P., Its General
Partner
By GRAHAM PARTNERS INVESTMENTS (GP), LLC, Its General
Partner
By /s/ Steven C. Graham
-----------------------------------------------------
Name: Steven C. Graham
Title: Managing Member
-38-
GRAHAM PARTNERS INVESTMENTS (A), L.P.
By GRAHAM PARTNERS GENERAL PARTNER, L.P., It's General
Partner
By GRAHAM PARTNERS INVESTMENTS (GP2), L.P., Its General
Partner
By GRAHAM PARTNERS INVESTMENTS (GP), LLC, Its General
Partner
By /s/ Steven C. Graham
----------------------------------------------------
Name: Steven C. Graham
Title: Managing Member
GRAHAM PARTNERS INVESTMENTS (B), L.P.
By GRAHAM PARTNERS GENERAL PARTNER, L.P., It's General
Partner
By GRAHAM PARTNERS INVESTMENTS (GP2), L.P., Its General
Partner
By GRAHAM PARTNERS INVESTMENTS (GP), LLC, Its General
Partner
By /s/ Steven C. Graham
------------------------------------------------
Name: Steven C. Graham
Title: Managing Member
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.
Dated: December 14, 2006
CRM 1999 ENTERPRISE FUND, LLC
By /s/ Carlos Leal
----------------------------------------------------
Name: Carlos Leal
Title: CFO of Managing Member
-39-
EXHIBIT E
JOINT FILING AGREEMENT
In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act
of 1934, as amended, each of the persons named below agrees to the joint filing
of a Statement on Schedule 13D (including amendments thereto) with respect to
the common stock, $1.00 par value per share, of Metaldyne Corporation, a
Delaware corporation, and further agrees that this Joint Filing Agreement be
included as an exhibit to such filings; provided, that, as contemplated by
Section 13d-1(k)(1)(ii), no person shall be responsible for the completeness or
accuracy of the information concerning the other persons making the filing,
unless such person knows or has reason to believe that such information is
inaccurate.
[signature pages follow]
-40-
IN WITNESS WHEREOF, the undersigned has duly executed this Joint Filing
Agreement as of this 14th day of December, 2006.
HEARTLAND INDUSTRIAL ASSOCIATES L.L.C.
By: /s/ Daniel P. Tredwell
---------------------------------------------------
Name: Daniel P. Tredwell
Title: Managing Member
HEARTLAND INDUSTRIAL PARTNERS (FF), L.P.
HEARTLAND INDUSTRIAL PARTNERS (C1), L.P.
HEARTLAND INDUSTRIAL PARTNERS, L.P.
HIP SIDE-BY-SIDE PARTNERS, L.P.
By: Their General Partner, Heartland Industrial Associates, L.L.C.
By: /s/ Daniel P. Tredwell
-----------------------
Name: Daniel P. Tredwell
Title: Managing Member
METALDYNE INVESTMENT FUND I, LLC
By: HEARTLAND INDUSTRIAL PARTNERS, L.P.
It's Managing Member
By: HEARTLAND INDUSTRIAL ASSOCIATES L.L.C.
Its General Partner
By: /s/ Daniel P. Tredwell
---------------------------------------------------
Name: Daniel P. Tredwell
Title: Managing Member
-41-
METALDYNE INVESTMENT FUND II, LLC
By: HEARTLAND INDUSTRIAL PARTNERS, L.P.
It's Managing Member
By: HEARTLAND INDUSTRIAL ASSOCIATES L.L.C.
Its General Partner
By: /s/ Daniel P. Tredwell
---------------------------------------------------
Name: Daniel P. Tredwell
Title: Managing Member
IN WITNESS WHEREOF, the undersigned has duly executed this Joint Filing
Agreement as of this 14th day of December, 2006.
RICHARD AND JANE MANOOGIAN FOUNDATION
By: /s/ Richard A. Manoogian
---------------------------------------------------
Name: Richard A. Manoogian
Title: President and Treasurer
RICHARD A. MANOOGIAN TRUST
By: /s/ Richard A. Manoogian
---------------------------------------------------
Name: Richard A. Manoogian
Title: Trustee
IN WITNESS WHEREOF, the undersigned has duly executed this Joint Filing
Agreement as of this 19th day of December, 2006.
WACHOVIA CAPITAL PARTNERS 2000, LLC
By: /s/ Stuart M. Christhilf, IV
---------------------------------------------------
Name: Stuart M. Christhilf, IV
Title: Vice President
IN WITNESS WHEREOF, the undersigned has duly executed this Joint Filing
Agreement as of this 14th day of December, 2006.
EQUITY ASSET INVESTMENT TRUST
By: its Sole Manager, GE Capital Services Equity Corp.
By: /s/ Andrea Assarat
---------------------------------------------------
Name: Andrea Assarat
Title: Senior Vice President
GE CAPITAL SERVICES EQUITY CORP.
By: /s/ Andrea Assarat
---------------------------------------------------
Name: Andrea Assarat
Title: Senior Vice President
GENERAL ELECTRIC CAPITAL SERVICES, INC.
By: /s/ Barbara A. Lane
---------------------------------------------------
Name: Barbara A. Lane
Title: Attorney-in-Fact
GENERAL ELECTRIC COMPANY
By: /s/ Barbara A. Lane
---------------------------------------------------
Name: Barbara A. Lane
Title: Attorney-in-Fact
IN WITNESS WHEREOF, the undersigned has duly executed this Joint Filing
Agreement as of this 19th day of December, 2006.
ANNEX HOLDINGS I LP
By its General Partner, Annex Capital Partners LLC
By: /s/ Alexander P. Coleman
---------------------------------------------------
Name: Alexander P. Coleman
Title: Managing Member
-42-
IN WITNESS WHEREOF, the undersigned has duly executed this Joint Filing
Agreement as of this 14th day of December, 2006.
75 WALL STREET ASSOCIATES, LLC
By: its Member, Allianz Leben Private Equity Fonds plus GmbH
By: /s/ Claus Zellner
---------------------------------------------------
Name: Claus Zellner
Title: Director
By: /s/ Dr. Florian Huber
---------------------------------------------------
Name: Dr. Florian Huber, Director
IN WITNESS WHEREOF, the undersigned has duly executed this Joint Filing
Agreement as of this 14th day of December, 2006.
LONG POINT CAPITAL FUND, L.P.
By: /s/ Ira Starr
---------------------------------------------
Name: Ira Starr
Title: Managing Director
LONG POINT CAPITAL PARTNERS, L.L.C.
By: /s/ Ira Starr
---------------------------------------------
Name: Ira Starr
Title: Managing Director
IN WITNESS WHEREOF, the undersigned has duly executed this Joint Filing
Agreement as of this 14th day of December, 2006.
GRAHAM PARTNERS INVESTMENTS, L.P.
By GRAHAM PARTNERS GENERAL PARTNER, L.P., It's General
Partner
By GRAHAM PARTNERS INVESTMENTS (GP2), L.P., Its General
Partner
By GRAHAM PARTNERS INVESTMENTS (GP), LLC, Its General
Partner
By /s/ Steven C. Graham
-----------------------------------------------------
Name: Steven C. Graham
Title: Managing Member
-43-
GRAHAM PARTNERS INVESTMENTS (A), L.P.
By GRAHAM PARTNERS GENERAL PARTNER, L.P., It's General
Partner
By GRAHAM PARTNERS INVESTMENTS (GP2), L.P., Its General
Partner
By GRAHAM PARTNERS INVESTMENTS (GP), LLC, Its General
Partner
By /s/ Steven C. Graham
------------------------------------------------------
Name: Steven C. Graham
Title: Managing Member
GRAHAM PARTNERS INVESTMENTS (B), L.P.
By GRAHAM PARTNERS GENERAL PARTNER, L.P., It's General
Partner
By GRAHAM PARTNERS INVESTMENTS (GP2), L.P., Its General
Partner
By GRAHAM PARTNERS INVESTMENTS (GP), LLC, Its General
Partner
By /s/ Steven C. Graham
------------------------------------------------
Name: Steven C. Graham
Title: Managing Member
IN WITNESS WHEREOF, the undersigned has duly executed this Joint Filing
Agreement as of this 14th day of December, 2006.
CRM 1999 ENTERPRISE FUND, LLC
By /s/ Carlos Leal
----------------------------------------------------
Name: Carlos Leal
Title: CFO of Managing Member
-44-
Schedule I
GE CAPITAL SERVICES EQUITY CORP.
MANAGER OF
EQUITY ASSET INVESTMENT TRUST
[Enlarge/Download Table]
Name Title Present Business Address Citizenship
---------------------------------- ------------------------ --------------------------------- --------------------------
Ronald J. Herman, Jr. President/Chairman GE Corporate Financial Services USA
of the Board 201 Merritt 7
Norwalk, CT 06856
John W. Campo, Jr. MD, General Counsel GE Corporate Financial Services USA
and Secretary 201 Merritt 7
Norwalk, CT 06856
Frank Ertl MD, CFO & GE Corporate Financial Services USA
Treasurer 201 Merritt 7
Norwalk, CT 06856
Andrea Assarat SVP GE Corporate Financial Services USA
201 Merritt 7
Norwalk, CT 06856
Lorraine Hliboki SVP GE Corporate Financial Services USA
201 Merritt 7
Norwalk, CT 06856
Bryant Cohen VP- Taxes GE Corporate Financial Services USA
201 Merritt 7
Norwalk, CT 06856
-45-
Schedule II
GENERAL ELECTRIC CAPITAL SERVICES, INC. DIRECTORS
[Enlarge/Download Table]
Present Present
Name Principal Occupation Business Address Citizenship
-------------------- --------------------------------- ------------------------------- --------------------
C.E. Alexander President - GE Capital Europe GE Capital Europe U.K.
Clarges House
6-12 Clarges St.
London, England W1Y8DH
J.S. Bornstein Vice President and Chief GE Commercial Finance U.S.A.
Financial Officer - GE 901 Merritt 7
Commercial Finance Norwalk, CT 06851
K.A. Cassidy Vice President and GE GE Commercial Finance U.S.A.
Treasurer - GE Commercial 201 High Ridge Road
Finance Stamford, CT 06927
J.A. Colica Vice President, Global Risk General Electric Company U.S.A.
Management - GE Corporate 260 Long Ridge Road
Stamford, CT 06927
P. Daley Senior Vice President - General Electric Company U.S.A.
Corporate Business 3135 Easton Turnpike
Development - General Fairfield, CT 06828
Electric Company
B.B. Denniston Senior Vice President and General Electric Company U.S.A.
General Counsel - General 3135 Easton Turnpike
Electric Company Fairfield, CT 06828
J.R. Immelt Chairman of the Board and General Electric Company U.S.A.
Chief Executive Officer, 3135 Easton Turnpike
General Electric Company Fairfield, CT 06828
M.A. Neal President and Chief Executive GE Commercial Finance U.S.A.
Officer - GE Commercial 901 Merritt 7
Finance Norwalk, CT 06851
D.R. Nissen President and Chief Executive GE Consumer Finance U.S.A.
Officer - GE Consumer Finance 1600 Summer Street
Stamford, CT 06927
R.R. Pressman President and Chief Executive GE Asset Management U.S.A.
Officer - GE Asset Management 3003 Summer Street
Stamford, CT 06902
-46-
[Enlarge/Download Table]
Present Present
Name Principal Occupation Business Address Citizenship
-------------------- --------------------------------- ------------------------------- --------------------
D. M. Reif President and Chief Executive GE Commercial Finance U.S.A.
Officer, Equipment Services - 120 Long Ridge Road
GE Commercial Finance Stamford, CT 06927
J.G. Rice Vice Chairman, President and GE Infrastructure U.S.A.
Chief Executive Officer - GE 4200 Wildwood Parkway Atlanta,
Infrastructure GA 303399
J.M. Samuels Vice President and Senior Tax General Electric Company U.S.A.
Counsel, Corporate Taxes - 3135 Easton Turnpike
General Electric Company Fairfield, CT 06828
K.S. Sherin Chief Financial Officer - General Electric Company U.S.A.
General Electric Company 3135 Easton Turnpike
Fairfield, CT 06828
L.G. Trotter Vice Chairman, President and General Electric Company U.S.A.
Chief Executive Officer - GE 3135 Easton Turnpike
Industrial Fairfield, CT 06828
R.C. Wright Vice Chairman, President and National Broadcasting Company U.S.A.
Chief Executive Officer - 30 Rockefeller Plaza
National Broadcasting New York , NY 10112
Company, Inc.
-47-
GENERAL ELECTRIC CAPITAL SERVICES, INC. EXECUTIVE OFFICERS
[Enlarge/Download Table]
Present
Name Title Business Address Citizenship
-------------------- --------------------------------- ------------------------------- --------------------
Jeffrey R. Immelt Chief Executive Officer General Electric Company U.S.A.
3135 Easton Turnpike
Fairfield, CT 06828
K.S. Sherin Chief Financial Officer General Electric Company U.S.A.
3135 Easton Turnpike
Fairfield, CT 06828
D.R. Nissen President GE Consumer Finance U.S.A.
1600 Summer Street
Stamford, CT 06927
D.M. Reif Executive Vice President GE Commercial Finance U.S.A.
120 Long Ridge Road
Stamford, CT 06927
-48-
[Enlarge/Download Table]
Present
Name Title Business Address Citizenship
-------------------- --------------------------------- ------------------------------- --------------------
J.S. Bornstein Senior Vice President, Finance GE Commercial Finance U.S.A.
901 Merritt 7
Norwalk, CT 06851
Marc A. Meiches Senior Vice President, Finance GE Commercial Finance U.S.A.
9201 State Line
Kansas City, MO 64114
Glen A. Messina Senior Vice President, Finance GE Commercial Finance U.S.A.
120 Long Ridge Road
Stamford, CT 06927
Maive F. Scully Senior Vice President, Finance GE Consumer Finance U.S.A.
1600 Summer Street
Stamford, CT 06927
K.A. Cassidy Senior Vice President, GE Commercial Finance U.S.A.
Treasury 201 High Ridge Road
Stamford, CT 06927
J.A. Colica Senior Vice President, Risk General Electric Company U.S.A.
260 Long Ridge Road Stamford,
CT 06927
R. D'Avino Senior Vice President, Taxes General Electric Company U.S.A.
120 Long Ridge Road Stamford,
CT 06928
P.D. Ameen Senior Vice President and General Electric Company U.S.A.
Controller 3135 Easton Turnpike
Fairfield, CT 06828
Steven F. Kluger Senior Vice President GE Corporate Finance U.S.A.
1600 Summer Street
Stamford, CT 06927
C.T. Beazer Vice President, General General Electric Company U.S.A.
Counsel and Secretary 3135 Easton Turnpike
Fairfield, CT 06828
-49-
Schedule III 12/15/2006
GENERAL ELECTRIC COMPANY
DIRECTORS
[Enlarge/Download Table]
PRESENT PRESENT
NAME BUSINESS ADDRESS PRINCIPAL OCCUPATION
---- ---------------- --------------------
J.I. Cash, Jr. General Electric Company Former Professor of Business
3135 Easton Turnpike Administration-Graduate
Fairfield, CT 06828 School of Business
Administration, Harvard
University
Sir William Castell Chairman Chairman of The Wellcome Trust
The Wellcome Trust
215 Euston Road
London
NW1 2BE
UK
A.M. Fudge Young & Rubicam Brands. Chairman and Chief
285 Madison Avenue Executive Officer,
New York, NY 10017 Young & Rubicam Brands
C.X. Gonzalez Kimberly-Clark de Mexico, Chairman of the Board
S.A. de C.V. and Chief Executive Officer,
Jose Luis Lagrange 103, Kimberly-Clark de Mexico,
Tercero Piso S.A. de C.V.
Colonia Los Morales
Mexico, D.F. 11510, Mexico
S. Hockfield Massachusetts Institute of Technology President
77 Massachusetts Avenue Massachusetts Institute of
Building 3-208 Technology
Cambridge, MA 02139
J.R. Immelt General Electric Company Chairman of the Board
3135 Easton Turnpike and Chief Executive
Fairfield, CT 06828 Officer, General Electric
Company
A. Jung Avon Products, Inc. Chairman and Chief
1345 Avenue of the Americas Executive Officer,
New York, NY 10105 Avon Products, Inc.
A.G. Lafley The Procter & Gamble Company Chairman of the Board, President
1 Procter & Gamble Plaza and Chief Executive
Cincinnati, Oh 45202-3315 The Procter & Gamble Company
-50-
GENERAL ELECTRIC COMPANY DIRECTORS (CONTINUED)
[Enlarge/Download Table]
PRESENT PRESENT
NAME BUSINESS ADDRESS PRINCIPAL OCCUPATION
---- ---------------- --------------------
R.W. Lane Deere & Company Chairman and Chief
One John Deere Place Executive Officer
Moline, Illinois 61265 Deere & Company
R.S. Larsen Johnson & Johnson Former Chairman and Chief
100 Albany Street Executive Officer
Suite 200
New Brunswick, NJ 08901
R.B. Lazarus Ogilvy & Mather Worldwide Chairman and Chief
309 West 49th Street Executive Officer
New York, NY 10019-7316
S. Nunn Sam Nunn School of Retired Partner
International Affairs King & Spalding
Georgia Institute of Technology
781 Marietta Street, NW
Atlanta, Georgia 30318
R.S. Penske Penske Corporation Chairman of the Board
2555 Telegraph Road and President, Penske
Bloomfield Hills, MI 48302-0954 Corporation
R.J. Swieringa S.C. Johnson Graduate School Anne and Elmer Lindseth Dean
Cornell University and Professor of Accounting
207 Sage Hall
Ithaca, NY 14853-6201
D.A. Warner III J. P. Morgan Chase & Co., Former Chairman of the Board
The Chase Manhattan Bank and
Morgan Guaranty Trust Co. of New York
270 Park Avenue
New York, NY 10154
R.C. Wright NBC Universal, Inc. Vice Chairman of the Board and
30 Rockefeller Plaza Executive Officer, General
New York, NY 10112 Electric Company; Chairman
and Chief Executive Officer,
NBC Universal, Inc.
Citizenship
Sir William Castell United Kingdom
Claudio X. Gonzalez Mexico
Andrea Jung Canada
All Others U.S.A.
-51-
GENERAL ELECTRIC COMPANY EXECUTIVE OFFICERS (CONTINUED)
[Enlarge/Download Table]
PRESENT PRESENT
NAME BUSINESS ADDRESS PRINCIPAL OCCUPATION
---- ---------------- --------------------
J.R. Immelt General Electric Company Chairman of the Board and
3135 Easton Turnpike Chief Executive Officer
Fairfield, CT 06828
P.D. Ameen General Electric Company Vice President and Comptroller
3135 Easton Turnpike
Fairfield, CT 06828
K.A. Cassidy General Electric Company Vice President and
201 High Ridge Road GE Treasurer
Stamford, CT 06905-3417
W.J. Conaty General Electric Company Senior Vice President -
3135 Easton Turnpike Human Resources
Fairfield, CT 06828
P. Daley General Electric Company Senior Vice President -
3135 Easton Turnpike Corporate Business
Fairfield, CT 06828 Development
B.B. Denniston III General Electric Company Senior Vice President and
3135 Easton Turnpike General Counsel
Fairfield, CT 06828
J.M. Hogan General Electric Company Senior Vice President -
Pollards Wood, Nightingales Lane GE Healthcare
Chalfont St. Giles
HP8 4SP Great Britain
M.A. Neal General Electric Company Vice Chairman of General
260 Long Ridge Road Electric Company; President
Stamford, CT 06927 & CEO, GE Capital Services
D.R. Nissen General Electric Company Senior Vice President -
201 High Ridge Road GE Consumer Finance
Stamford, CT 06905-3417
J.G. Rice General Electric Company Vice Chairman of General
4200 Wildwood Parkway Electric Company; President
Atlanta, GA 30339 & CEO, GE Infrastructure
K.S. Sherin General Electric Company Senior Vice President - Finance
3135 Easton Turnpike and Chief Financial Officer
Fairfield, CT 06828
-52-
GENERAL ELECTRIC COMPANY EXECUTIVE OFFICERS (CONTINUED)
[Download Table]
PRESENT PRESENT
NAME BUSINESS ADDRESS PRINCIPAL OCCUPATION
---- ---------------- --------------------
L.G. Trotter General Electric Company Vice Chairman of General
3135 Easton Turnpike Electric Company; President
Fairfield, CT 06828 & CEO, GE Industrial
R.C. Wright NBC Universal, Inc. Vice Chairman of the Board and
30 Rockefeller Plaza Executive Officer, General
New York, NY 10112 Electric Company; Chairman
and Chief Executive Officer,
NBC Universal, Inc.
-53-
Dates Referenced Herein and Documents Incorporated By Reference
| Referenced-On Page |
|---|
| This SC 13D Filing | | Date | | First | | Last | | | Other Filings |
|---|
| |  |
| | 11/28/00 | | 29 | | 35 | | | 8-K, DEFS14A |
| | 12/8/00 | | 35 | | | | | 3, SC 13D, SC 13D/A |
| | 8/31/06 | | 1 | | 31 | | | 8-K |
| | 11/16/06 | | 31 | | | | | 10-Q, 8-K, NT 10-Q |
| | 11/27/06 | | 30 | | 35 | | | 8-K |
| | 11/28/06 | | 32 | | | | | 8-K, SC 13D/A |
| | 11/29/06 | | 32 | | 35 | | | PRER14A, PRER14C, SC 13E3/A |
| | 12/14/06 | | 29 | | 39 |
| | 12/15/06 | | 32 | | | | | PRER14A, PRER14C, SC 13E3/A |
| Filed On / Filed As Of | | 12/19/06 | | 37 | | 38 | | | SC 13D |
| | 1/16/07 | | 31 |
| | 3/15/07 | | 31 |
| |
| Top | | List All Filings |
Filing Submission - Alternative Formats (Word / Rich Text, HTML, Plain Text, SGML, XML, et al.)
Copyright © 2010 Fran Finnegan & Company. All Rights Reserved.
About – Privacy – Redactions – Help —
Fri, 19 Mar 15:07:23.1 GMT 