0000899140-11-000549.txt : 20111114 0000899140-11-000549.hdr.sgml : 20111111 20111114162543 ACCESSION NUMBER: 0000899140-11-000549 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WARBURG PINCUS LLC CENTRAL INDEX KEY: 0001162870 IRS NUMBER: 133536050 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14208 FILM NUMBER: 111202995 BUSINESS ADDRESS: STREET 1: 450 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-878-0600 MAIL ADDRESS: STREET 1: 450 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 w7087794.txt REPORT FOR THE CALENDAR QUARTER ENDED SEPTEMBER 30, 2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2011 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one): [ ] is a restatement [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Warburg Pincus LLC Address: 450 Lexington Avenue New York, NY 10017-3147 Form 13F File Number: 28-14208 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Scott A. Arenare, Esq. Title: Managing Director and General Counsel Phone: (212) 878-0600 Signature, Place, and Date of Signing: /s/ Scott A. Arenare New York, NY November 14, 2011 -------------------- ------------ ----------------- [Signature] [City, State] [Date] Report type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this report manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) - 2 - FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 20 Form 13F Information Table Value Total: $7,375,732 (thousands) Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name 1 28-04826 Warburg Pincus & Co. - 3 - * The positions reported below are held, directly or indirectly, by one or more entities engaged in the private equity business.
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 NAME OF ISSUER TITLE OF CUSIP VALUE SHRS/PRN SH/ PUT/ INVESTMENT OTHER VOTING CLASS (x$1000) AMT PRN CALL DISCRETION MANAGERS AUTHORITY Sole Shared None ALLOS THERAPEUTICS, INC. COM 019777101 47,808 26,124,430 SH SHARED-OTHER 1 26,124,430 BRIDGEPOINT ED. INC. COM 10807M105 603,236 34,589,220 SH SHARED-OTHER 1 34,589,220 BUILDERS FIRSTSOURCE, INC. COM 12008R107 31,048 24,447,425 SH SHARED-OTHER 1 24,447,425 CHINA BIOLOGIC PRODS., INC. COM 16938C106 36,924 5,422,057 SH SHARED-OTHER 1 5,422,057 FIDELITY NATL. INFORMATION SV., INC. COM 31620M106 1,000,139 41,124,148 SH SHARED-OTHER 1 41,124,148 INTERMUNE, INC. COM 45884X103 333 16,481 SH SHARED-OTHER 1 16,481 KOSMOS ENERGY LIMITED COM G5315B107 1,807,780 154,379,137 SH SHARED-OTHER 1 154,379,137 MBIA INC. COM 55262C100 335,578 46,159,252 SH SHARED-OTHER 1 46,159,252 NATIONAL PENN BANCSHARES INC. COM 637138108 181,434 25,882,172 SH SHARED-OTHER 1 25,882,172 NUANCE COMM. INC.[1] COM 67020Y100 1,330,908 65,433,052 SH SHARED-OTHER 1 65,433,052 PRIMERICA, INC. COM 74164M108 353,852 16,412,440 SH SHARED-OTHER 1 16,412,440 RDA MICRO-ELECTRONICS, INC.[2] SPONS ADR 749394102 200,864 23,770,894 SH SHARED-OTHER 1 23,770,894 7 DAYS GROUP HOLDINGS LIMITED[3] ADR 81783J101 101,315 8,002,773 SH SHARED-OTHER 1 8,002,773 STERLING FINL. CORP. WASH. COM NEW 859319303 160,298 12,948,107 SH SHARED-OTHER 1 12,948,107 SYNUTRA INTL. INC. COM 87164C102 21,280 4,000,000 SH SHARED-OTHER 1 4,000,000 TARGA RES. CORP COM 87612G101 291,792 9,808,139 SH SHARED-OTHER 1 9,808,139 TORNIER N.V. SHS N87237108 378,897 18,491,809 SH SHARED-OTHER 1 18,491,809 WEBSTER FINL. CORP. CONN. COM 947890109 216,953 14,179,920 SH SHARED-OTHER 1 14,179,920 WNS HOLDINGS LTD. SPONS ADR 92932M101 255,331 21,366,644 SH SHARED-OTHER 1 21,366,644 ------------------------------------ [1] The Nuance Communications, Inc. information reported includes 3,562,238 shares of Series B convertible preferred stock which converts into an equal number of common shares. [2] The RDA Micro-electronics, Inc. information reported consists of 142,625,365 Ordinary Shares convertible into 23,770,894 ADS's. [3] The 7 Days Group Holdings Limited information reported consists of 24,008,321 Ordinary Shares convertible into 8,002,773 ADR's. XUEDA ED. GROUP[4] SPONS ADR 98418W109 19,962 7,312,000 SH SHARED-OTHER 1 7,312,000 ------------------------------------ [4] The Xueda Ed. Group information reported includes 12,624,000 Ordinary Shares convertible into 6,312,000 ADS's.