-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DocYTi5+gIwLoJI5jhH0K1KA7TlZE+xAXtyK8zjMygdcaG5GOx+Fzfy4yzJxdTwi VgIGQMcbP+1xC7ZSwSqBHA== 0000895345-05-000869.txt : 20050819 0000895345-05-000869.hdr.sgml : 20050819 20050819172434 ACCESSION NUMBER: 0000895345-05-000869 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20050819 DATE AS OF CHANGE: 20050819 GROUP MEMBERS: GOLDMAN SACHS DIRECT INVESTMENT FUND 2000, L.P. GROUP MEMBERS: GOLDMAN, SACHS & CO. GROUP MEMBERS: GOLDMAN, SACHS & CO.OHG GROUP MEMBERS: GOLDMAN, SACHS MANAGEMENT GP GMBH GROUP MEMBERS: GS ADVISORS 2000, L.L.C. GROUP MEMBERS: GS CAPITAL PARTNERS 2000 EMPLOYEE FUND, L.P. GROUP MEMBERS: GS CAPITAL PARTNERS 2000 GMBH & CO. BETEILIGUNGSKG GROUP MEMBERS: GS CAPITAL PARTNERS 2000 OFFSHORE, L.P. GROUP MEMBERS: GS CAPITAL PARTNERS 2000, L.P. GROUP MEMBERS: GS EMPLOYEE FUNDS 2000 GP, L.L.C. GROUP MEMBERS: NH ACQUISITION LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Nalco Holding CO CENTRAL INDEX KEY: 0001298341 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS CHEMICAL PRODUCTS [2890] IRS NUMBER: 161701300 FISCAL YEAR END: 1204 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-80171 FILM NUMBER: 051039423 BUSINESS ADDRESS: STREET 1: 1601 WEST DIEHL ROAD CITY: NAPERVILLE STATE: IL ZIP: 60563 BUSINESS PHONE: (630) 305-1000 MAIL ADDRESS: STREET 1: 1601 WEST DIEHL ROAD CITY: NAPERVILLE STATE: IL ZIP: 60563 FORMER COMPANY: FORMER CONFORMED NAME: Nalco CORP DATE OF NAME CHANGE: 20040723 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC/ CENTRAL INDEX KEY: 0000886982 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 134019460 STATE OF INCORPORATION: DE FISCAL YEAR END: 1128 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 SC 13D/A 1 rs13danalco.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Nalco Holding Company - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock (Par Value $0.01 Per Share) - ------------------------------------------------------------------------------- (Title of Class of Securities) 62985Q 10 1 - ------------------------------------------------------------------------------- (CUSIP Number) Robert C. Schwenkel, Esq. Ben I. Adler, Esq. Fried, Frank, Harris, Shriver & Goldman, Sachs & Co. Jacobson LLP One New York Plaza One New York Plaza New York, NY 10004 New York, NY 10004 (212) 902-1000 (212) 859-8000 - ------------------------------------------------------------------------------- (Name, Address and Telephone Number of Persons Authorized to Receive Notices and Communications) August 17, 2005 - ------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box |_|. *The remainder of this cover page will be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but will be subject to all other provisions of the Act (however, see the Notes). SCHEDULE 13D - --------------------------------- -------------------------------- CUSIP No. 62985Q 10 1 Page 2 of 35 - --------------------------------- -------------------------------- - ---------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON THE GOLDMAN SACHS GROUP, INC. - ---------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - ---------- -------------------------------------------------------------------- 3 SEC USE ONLY - ---------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS AF - ---------- -------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - ---------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------- -------- -------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES -------- -------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 14,702,701 -------- -------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 0 REPORTING -------- -------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 14,702,701 - ---------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 14,702,701 - ---------- -------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |X| - ---------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10.4% - ---------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON HC-CO - ---------- -------------------------------------------------------------------- SCHEDULE 13D - --------------------------------- -------------------------------- CUSIP No. 62985Q 10 1 Page 3 of 35 - --------------------------------- -------------------------------- - ---------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GOLDMAN, SACHS & CO. - ---------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - ---------- -------------------------------------------------------------------- 3 SEC USE ONLY - ---------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS AF - ---------- -------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - ---------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION NEW YORK - ------------------------- -------- -------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES -------- -------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 14,702,701 -------- -------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 0 REPORTING -------- -------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 14,702,701 - ---------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 14,702,701 - ---------- -------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |X| - ---------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10.4% - ---------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON BD-PN-IA - ---------- -------------------------------------------------------------------- SCHEDULE 13D - --------------------------------- -------------------------------- CUSIP No. 62985Q 10 1 Page 4 of 35 - --------------------------------- -------------------------------- - ---------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GS ADVISORS 2000, L.L.C. - ---------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - ---------- -------------------------------------------------------------------- 3 SEC USE ONLY - ---------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS AF - ---------- -------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - ---------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------- -------- -------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES -------- -------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 11,181,660 -------- -------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 0 REPORTING -------- -------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 11,181,660 - ---------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,181,660 - ---------- -------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |X| - ---------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.9% - ---------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO - ---------- -------------------------------------------------------------------- SCHEDULE 13D - --------------------------------- -------------------------------- CUSIP No. 62985Q 10 1 Page 5 of 35 - --------------------------------- -------------------------------- - ---------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GOLDMAN, SACHS & CO. OHG - ---------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - ---------- -------------------------------------------------------------------- 3 SEC USE ONLY - ---------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS AF - ---------- -------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - ---------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION GERMANY - ------------------------- -------- -------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES -------- -------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 342,674 -------- -------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 0 REPORTING -------- -------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 342,674 - ---------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 342,674 - ---------- -------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |X| - ---------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.2% - ---------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - ---------- -------------------------------------------------------------------- SCHEDULE 13D - --------------------------------- -------------------------------- CUSIP No. 62985Q 10 1 Page 6 of 35 - --------------------------------- -------------------------------- - ---------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GOLDMAN, SACHS MANAGEMENT GP GMBH - ---------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - ---------- -------------------------------------------------------------------- 3 SEC USE ONLY - ---------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS AF - ---------- -------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - ---------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION GERMANY - ------------------------- -------- -------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES -------- -------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 342,674 -------- -------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 0 REPORTING -------- -------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 342,674 - ---------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 342,674 - ---------- -------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |X| - ---------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.2% - ---------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO - ---------- -------------------------------------------------------------------- SCHEDULE 13D - --------------------------------- -------------------------------- CUSIP No. 62985Q 10 1 Page 7 of 35 - --------------------------------- -------------------------------- - ---------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GS EMPLOYEE FUNDS 2000 GP, L.L.C. - ---------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - ---------- -------------------------------------------------------------------- 3 SEC USE ONLY - ---------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS AF - ---------- -------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - ---------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------- -------- -------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES -------- -------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 3,178,367 -------- -------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 0 REPORTING -------- -------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 3,178,367 - ---------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,178,367 - ---------- -------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |X| - ---------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.2% - ---------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO - ---------- -------------------------------------------------------------------- SCHEDULE 13D - --------------------------------- -------------------------------- CUSIP No. 62985Q 10 1 Page 8 of 35 - --------------------------------- -------------------------------- - ---------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GS CAPITAL PARTNERS 2000, L.P. - ---------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - ---------- -------------------------------------------------------------------- 3 SEC USE ONLY - ---------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - ---------- -------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - ---------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------- -------- -------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES -------- -------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 8,198,381 -------- -------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 0 REPORTING -------- -------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 8,198,381 - ---------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,198,381 - ---------- -------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |X| - ---------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.8% - ---------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - ---------- -------------------------------------------------------------------- SCHEDULE 13D - --------------------------------- -------------------------------- CUSIP No. 62985Q 10 1 Page 9 of 35 - --------------------------------- -------------------------------- - ---------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GS CAPITAL PARTNERS 2000 OFFSHORE, L.P. - ---------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - ---------- -------------------------------------------------------------------- 3 SEC USE ONLY - ---------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - ---------- -------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - ---------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION CAYMAN ISLANDS - ------------------------- -------- -------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES -------- -------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,978,976 -------- -------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 0 REPORTING -------- -------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 2,978,976 - ---------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,978,976 - ---------- -------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |X| - ---------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.1% - ---------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - ---------- -------------------------------------------------------------------- SCHEDULE 13D - --------------------------------- -------------------------------- CUSIP No. 62985Q 10 1 Page 10 of 35 - --------------------------------- -------------------------------- - ---------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GS CAPITAL PARTNERS 2000 GMBH & CO. BETEILIGUNGS KG - ---------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - ---------- -------------------------------------------------------------------- 3 SEC USE ONLY - ---------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - ---------- -------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - ---------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION GERMANY - ------------------------- -------- -------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES -------- -------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 342,674 -------- -------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 0 REPORTING -------- -------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 342,674 - ---------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 342,674 - ---------- -------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |X| - ---------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.2% - ---------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - ---------- -------------------------------------------------------------------- SCHEDULE 13D - --------------------------------- -------------------------------- CUSIP No. 62985Q 10 1 Page 11 of 35 - --------------------------------- -------------------------------- - ---------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GS CAPITAL PARTNERS 2000 EMPLOYEE FUND, L.P. - ---------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - ---------- -------------------------------------------------------------------- 3 SEC USE ONLY - ---------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - ---------- -------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - ---------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------- -------- -------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES -------- -------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 2,604,864 -------- -------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 0 REPORTING -------- -------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 2,604,864 - ---------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,604,864 - ---------- -------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |X| - ---------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.8% - ---------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - ---------- -------------------------------------------------------------------- SCHEDULE 13D - --------------------------------- -------------------------------- CUSIP No. 62985Q 10 1 Page 12 of 35 - --------------------------------- -------------------------------- - ---------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GOLDMAN SACHS DIRECT INVESTMENT FUND 2000, L.P. - ---------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - ---------- -------------------------------------------------------------------- 3 SEC USE ONLY - ---------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - ---------- -------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - ---------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------- -------- -------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES -------- -------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 573,503 -------- -------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 0 REPORTING -------- -------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 573,503 - ---------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 573,503 - ---------- -------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |X| - ---------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.4% - ---------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - ---------- -------------------------------------------------------------------- SCHEDULE 13D - --------------------------------- -------------------------------- CUSIP No. 62985Q 10 1 Page 13 of 35 - --------------------------------- -------------------------------- - ---------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON NH ACQUISITION LLC - ---------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - ---------- -------------------------------------------------------------------- 3 SEC USE ONLY - ---------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - ---------- -------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - ---------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------- -------- -------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES -------- -------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 4,303 -------- -------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 0 REPORTING -------- -------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 4,303 - ---------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,303 - ---------- -------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |X| - ---------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) LESS THAN 0.1% - ---------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO - ---------- -------------------------------------------------------------------- This Amendment No. 1, filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Advisors 2000, L.L.C. ("GS Advisors"), Goldman, Sachs & Co. oHG ("GS oHG"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Employee Funds 2000 GP, L.L.C. ("GS Employee 2000"), GS Capital Partners 2000, L.P. ("GS Capital"), GS Capital Partners 2000 Offshore, L.P. ("GS Offshore"), GS Capital Partners 2000 GmbH & Co. Beteiligungs KG ("GS Germany"), GS Capital Partners 2000 Employee Fund, L.P. ("GS Employee"), Goldman Sachs Direct Investment Fund 2000, L.P. ("GS Direct") and NH Acquisition LLC ("NH" and, together with GS Capital, GS Offshore, GS Germany, GS Employee and GS Direct, the "Purchasers"), (GS Group, Goldman Sachs, GS Advisors, GS oHG, GS GmbH, GS Employee 2000, and the Purchasers, collectively, the "Filing Persons"), amends and supplements the Schedule 13D filed by the Filing Persons with the Securities and Exchange Commission (the "SEC") on November 24, 2004.(1) - -------- (1) Neither the present filing nor anything contained herein will be construed as an admission that any Filing Person constitutes a "person" for any purpose other than for compliance with Section 13(d) of the Securities Exchange Act of 1934. ITEM 4. PURPOSE OF TRANSACTION. ---------------------- Item 4 is hereby amended by adding the following immediately before the final two paragraphs thereof: Pursuant to an underwriting agreement, dated August 11, 2005 (the "August 2005 Underwriting Agreement"), by and among the Issuer, Nalco LLC and the representatives of the several underwriters listed in Schedule I thereto (collectively, the "August 2005 Underwriters"), the August 2005 Underwriters agreed to purchase from Nalco LLC and Nalco LLC agreed to sell to the August 2005 Underwriters an aggregate of 29,000,000 shares of Common Stock (the "August 2005 Sale"), which aggregate amount includes 7,418,604 shares which may be deemed to be beneficially owned by the Purchasers. In addition, pursuant to the August 2005 Underwriting Agreement, Nalco LLC granted the August 2005 Underwriters an option, exercisable within 30 days after the date of the August 2005 Underwriting Agreement, to purchase an additional 4,350,000 shares of Common Stock from Nalco LLC at the same purchase price per share for the purpose of covering over-allotments (the "Over-Allotment Option"). Pursuant to the final prospectus (the "Offering Prospectus") filed by the Issuer on August 12, 2005 pursuant to Rule 424(b) of the Securities Act, the public offering price in the public offering of Common Stock by the Company was $18.41 per share and the underwriting discount was $0.6444 per share. Accordingly, Nalco LLC sold an aggregate of 29,000,000 shares of Common Stock to the August 2005 Underwriters at a price per share of $17.7656 (which is net of underwriting discounts and commissions) which aggregate amount includes 7,418,604 shares which may have been deemed to be beneficially owned by the Purchasers. The August 2005 Underwriting Agreement contains standard terms and conditions for a public offering including customary representations and warranties and indemnity provisions. The foregoing description of the August 2005 Underwriting Agreement is not intended to be complete and is qualified in its entirety by the complete text of the August 2005 Underwriting Agreement, the form of which is incorporated herein by reference to Exhibit 1.1 to the Company's Registration Statement on Amendment No. 2 to Form S-1 (No. 333-126642) filed on August 4, 2005. The August 2005 Sale was consummated on August 17, 2005. On August 18, 2005, the August 2005 Underwriters, exercised their Over-Allotment Option to purchase an additional 4,350,000 shares of Common Stock from Nalco LLC. The closing of such sale of the Over-Allotment shares is expected to occur on August 22, 2005. ITEM 5. INTERESTS IN SECURITIES OF THE ISSUER. ------------------------------------- Item 5 is hereby amended and restated in its entirety as follows: (a) The shares of Common Stock shown as beneficially owned by the Filing Persons reflect the Filing Persons' percentage interest in the 61,552,258 shares of Common Stock held of record by Nalco LLC, based on the Filing Person's percentage interest in Nalco LLC, and excludes the balance of such shares which represent the other Sponsors' and management members' percentage interest in Nalco LLC. As described in Item 4, because voting and dispositive decisions of Nalco LLC with respect to the Common Stock of the Issuer require the approval of at least two of the Sponsors, the Filing Persons each disclaim beneficial ownership of the shares of the Issuer's Common Stock reported as beneficially owned by Nalco LLC or any of the other Sponsors, and the filing of this Schedule 13D shall not be construed as an admission that any such person is the beneficial owner of any such securities. The percentage of the class beneficially owned by each Filing Person is based on 141,663,369 issued and outstanding shares of Common Stock reported by the Issuer on August 15, 2005 in its quarterly report on Form 10-Q filed with the SEC. As of August 17, 2005, GS Group may be deemed to beneficially own an aggregate of 14,702,701 shares of Common Stock which may be deemed to be beneficially owned by the Purchasers representing in the aggregate approximately 10.4% of the outstanding Common Stock, based on calculations made in accordance with Rule 13d-3(d) of the Act. As of August 17, 2005, Goldman Sachs may be deemed to beneficially own an aggregate of 14,702,701 shares of Common Stock which may be deemed to be beneficially owned by the Purchasers representing in the aggregate approximately 10.4% of the outstanding shares of Common Stock based on calculations made in accordance with Rule 13d-3(d) of the Act. GS Group and Goldman Sachs disclaim beneficial ownership of the shares of Common Stock beneficially owned by the Purchasers to the extent that partnership interests in the Purchasers are held by persons other than Goldman Sachs or its affiliates. In accordance with Securities and Exchange Commission Release No. 34-39538 (January 12, 1998), this filing reflects the securities beneficially owned by the investment banking division ("IBD") of GS Group and its subsidiaries and affiliates (collectively, "Goldman Sachs Group"). This filing does not reflect securities, if any, beneficially owned by any other operating unit of Goldman Sachs Group. IBD disclaims beneficial ownership of the securities beneficially owned by (i) any client accounts with respect to which IBD or its employees have voting or investment discretion, or both and (ii) certain investment entities, of which IBD is the general partner, managing general partner or other manager, to the extent interests in such entities are held by persons other than IBD. As of August 17, 2005, GS Advisors may be deemed to beneficially own the aggregate of 11,181,660 shares of Common Stock that may be deemed to be beneficially owned by GS Capital, GS Offshore and NH representing in the aggregate, approximately 7.9% of the outstanding shares of Common Stock based on calculations made in accordance with Rule 13d-3(d) of the Act. As of August 17, 2005, each of GS oHG and GS GmbH may be deemed to beneficially own the aggregate of 342,674 shares of Common Stock that may be deemed to be beneficially owned by GS Germany representing in the aggregate, approximately 0.2% of the outstanding shares of Common Stock based on calculations made in accordance with Rule 13d-3(d) of the Act. As of August 17, 2005, GS Employee 2000 may be deemed to beneficially own the aggregate of 3,178,367 shares of Common Stock that may be deemed to be beneficially owned by GS Employee and GS Direct representing in the aggregate, approximately 2.2% of the outstanding shares of Common Stock based on calculations made in accordance with Rule 13d-3(d) of the Act. As of August 17, 2005, GS Capital may be deemed to beneficially own 8,198,381 shares of Common Stock representing in the aggregate, approximately 5.8% of the outstanding shares of Common Stock based on calculations made in accordance with Rule 13d-3(d) of the Act. As of August 17, 2005, GS Offshore may be deemed to beneficially own 2,978,976 shares of Common Stock representing in the aggregate, approximately 2.1% of the outstanding shares of Common Stock based on calculations made in accordance with Rule 13d-3(d) of the Act. As of August 17, 2005, GS Germany may be deemed to beneficially own 342,674 shares of Common Stock representing in the aggregate, approximately 0.2% of the outstanding shares of Common Stock based on calculations made in accordance with Rule 13d-3(d) of the Act. As of August 17, 2005, GS Employee may be deemed to beneficially own 2,604,864 shares of Common Stock representing in the aggregate, approximately 1.8% of the outstanding shares of Common Stock based on calculations made in accordance with Rule 13d-3(d) of the Act. As of August 17, 2005, GS Direct may be deemed to beneficially own 573,503 shares of Common Stock representing in the aggregate, approximately 0.4% of the outstanding shares of Common Stock based on calculations made in accordance with Rule 13d-3(d) of the Act. As of August 17, 2005, NH may be deemed to beneficially own 4,303 shares of Common Stock representing in the aggregate, less than 0.1% of the outstanding shares of Common Stock based on calculations made in accordance with Rule 13d-3(d) of the Act. None of the Filing Persons or, to the knowledge of the Filing Persons, the persons listed on Schedules I, II-A-i, II-A-ii, II-B-i, II-B-ii or II-C hereto beneficially owns any shares of Common Stock other than as set forth herein. (b) Each Filing Person shares the power to vote or direct the vote and to dispose or to direct the disposition of securities that such Filing Person may be deemed to beneficially own as indicated above. (c) Except as described above, no other transactions in the shares of Common Stock were effected by the Filing Persons, or, to their knowledge, any of the persons listed on Schedules I, II-A-i, II-A-ii, II-B-i, II-B-ii or II-C hereto, during the last 60 days. (d) In accordance with the terms of the LLC Agreement (as defined below) and, if approved by the board of directors of Nalco LLC, the members of Nalco LLC have the right to receive dividends from and the proceeds from any sale of Common Stock in accordance with their membership interests in Nalco LLC. Except for clients of Goldman Sachs who may have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, any shares of Common Stock held in managed accounts, no other person is known by any Filing Person to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, any shares of Common Stock beneficially owned by any Filing Person. (e) Not applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. ---------------------------------------- Item 6 is hereby amended by adding the following immediately before the ultimate paragraph thereof: Lock-Up Agreements On August 11, 2005, each of the Purchasers entered into a lock-up agreement (the "Lock-Up Agreements") with the underwriters whereby such person agreed, subject to certain exceptions, not to dispose of or hedge any of their Common Stock or securities convertible into or exchangeable for shares of Common Stock during the period that is 90 days from August 11, 2005, subject to an extension of up to 18 additional days under certain circumstances, except with the prior written consent of Goldman, Sachs & Co., with certain exceptions. References to, and descriptions of, the Lock-Up Agreements as set forth in this Item 6 are qualified in their entirety by reference to the Form of Lock-Up Agreement, a copy of which is filed as Exhibit 20 hereto. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. -------------------------------- Exhibit 1 Joint Filing Agreement, dated as of November 24, 2004. * Exhibit 2 Nalco LLC Limited Liability Company Operating Agreement, dated May 17, 2004 (incorporated herein by reference to Exhibit 10.25 to the Nalco Holding Company Registration Statement on Form S-1 filed with the Securities and Exchange Commission on August 26, 2004 (file number 333-118583)). * Exhibit 3 Stockholders Agreement, dated November 16, 2004, among Nalco Holding Company and Nalco LLC and the other parties named therein (incorporated herein by reference to Exhibit 10.3 to the Nalco Holding Company Report on Form 8-K filed with the Securities and Exchange Commission on November 18, 2004 (file number 001-32342)). * Exhibit 4 Registration Rights Agreement, dated November 16, 2004, among Nalco Holding Company, Nalco LLC and the other parties named therein (incorporated herein by reference to Exhibit 10.1 to the Nalco Holding Company Report on Form 8-K filed with the Securities and Exchange Commission on November 18, 2004 (file number 001-32342)). * Exhibit 5 Form of Lock-Up Agreement among Nalco Holding Company, Nalco LLC and the other parties named therein (incorporated herein by reference to Annex III(a) of Exhibit 1.1 to the Nalco Holding Company Registration Statement on Form S-1 filed with the Securities and Exchange Commission on October 25, 2004 (file number 333-118583)). * Exhibit 6 Underwriting Agreement (incorporated herein by reference to Exhibit 1.1 to the Nalco Holding Company Registration Statement on Form S-1 filed with the Securities and Exchange Commission on October 25, 2004 (file number 333-118583)). * Exhibit 7 Power of Attorney, dated as of December 12, 2003, relating to The Goldman Sachs Group, Inc. * Exhibit 8 Power of Attorney, dated as of November 19, 2003, relating to Goldman, Sachs & Co. * Exhibit 9 Power of Attorney, dated as of August 19, 2004, relating to GS Advisors 2000, L.L.C. * Exhibit 10 Power of Attorney, dated as of August 5, 2004, relating to Goldman, Sachs & Co. oHG. * Exhibit 11 Power of Attorney, dated as of August 19, 2004, relating to Goldman, Sachs Management GP GmbH. * Exhibit 12 Power of Attorney, dated as of August 19, 2004, relating to GS Employee Funds 2000 GP, L.L.C. * Exhibit 13 Power of Attorney, dated as of August 19, 2004, relating to GS Capital Partners 2000, L.P. * Exhibit 14 Power of Attorney, dated as of August 19, 2004, relating to GS Capital Partners 2000 Offshore, L.P. * Exhibit 15 Power of Attorney, dated as of August 19, 2004, relating to GS Capital Partners 2000 GmbH & Co. Beteiligungs KG. * Exhibit 16 Power of Attorney, dated as of August 19, 2004, relating to GS Capital Partners 2000 Employee Fund, L.P. * Exhibit 17 Power of Attorney, dated as of October 21, 2004, relating to Goldman Sachs Direct Investment Fund 2000, L.P. * Exhibit 18 Power of Attorney, dated as of June 24, 2004, relating to NH Acquisition LLC. * Exhibit 19 Form of Lock-up Agreement, dated as of August 11, 2005, among Nalco Holding Company, Nalco LLC and the other parties named therein. Exhibit 20 Underwriting Agreement, dated as of August 11, 2005, among Nalco Holding Company, Nalco LLC and the underwriters named therein (incorporated herein by reference to Exhibit 99.1 to the Nalco Holding Company Current Report on Form 8-K filed with the SEC on August 12, 2005 (file number 001-32342)). * Previously filed. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. August 19, 2005 THE GOLDMAN SACHS GROUP, INC. By: /s/ Ted Chang ------------------------------------- Name: Ted Chang Title: Attorney-in-fact GOLDMAN, SACHS & CO. By: /s/ Ted Chang ------------------------------------- Name: Ted Chang Title: Attorney-in-fact GS ADVISORS 2000, L.L.C. By: /s/ Ted Chang ------------------------------------- Name: Ted Chang Title: Attorney-in-fact GOLDMAN, SACHS & CO. OHG By: /s/ Ted Chang ------------------------------------- Name: Ted Chang Title: Attorney-in-fact GOLDMAN, SACHS MANAGEMENT GP GMBH By: /s/ Ted Chang ------------------------------------- Name: Ted Chang Title: Attorney-in-fact GS EMPLOYEE FUNDS 2000 GP, L.L.C. By: /s/ Ted Chang ------------------------------------- Name: Ted Chang Title: Attorney-in-fact GS CAPITAL PARTNERS 2000, L.P. By: /s/ Ted Chang ------------------------------------- Name: Ted Chang Title: Attorney-in-fact GS CAPITAL PARTNERS 2000 OFFSHORE, L.P. By: /s/ Ted Chang ------------------------------------- Name: Ted Chang Title: Attorney-in-fact GS CAPITAL PARTNERS 2000 GMBH & CO. BETEILIGUNGS KG By: /s/ Ted Chang ------------------------------------- Name: Ted Chang Title: Attorney-in-fact GS CAPITAL PARTNERS 2000 EMPLOYEE FUND, L.P. By: /s/ Ted Chang ------------------------------------- Name: Ted Chang Title: Attorney-in-fact GOLDMAN SACHS DIRECT INVESTMENT FUND 2000, L.P. By: /s/ Ted Chang ------------------------------------- Name: Ted Chang Title: Attorney-in-fact NH ACQUISITION LLC By: /s/ Ted Chang ------------------------------------- Name: Ted Chang Title: Attorney-in-fact SCHEDULE I Schedule I is hereby amended and restated in its entirety as follows: The name of each director of The Goldman Sachs Group, Inc. is set forth below. The business address of each person listed below is c/o Goldman, Sachs & Co., 85 Broad Street, New York, NY 10004. Each director listed below is a United States citizen, except as follows: Lord Browne of Madingley is a citizen of the United Kingdom and Claes Dahlback is a citizen of Sweden. The present principal occupation or employment of each of the directors listed below is set forth below.
- --------------------------------------- ------------------------------------------------------------------------------ Name Present Principal Occupation - --------------------------------------- ------------------------------------------------------------------------------ Henry M. Paulson, Jr. Chairman of the Board and Chief Executive Officer of The Goldman Sachs Group, Inc. - --------------------------------------- ------------------------------------------------------------------------------ Lloyd C. Blankfein President and Chief Operating Officer of The Goldman Sachs Group, Inc. - --------------------------------------- ------------------------------------------------------------------------------ Lord Browne of Madingley Group Chief Executive of BP plc - --------------------------------------- ------------------------------------------------------------------------------ John H. Bryan Retired Chairman and Chief Executive Officer of Sara Lee Corporation - --------------------------------------- ------------------------------------------------------------------------------ Claes Dahlback Senior Advisor to Investor AB - --------------------------------------- ------------------------------------------------------------------------------ Stephen Friedman Former Assistant to the President for Economic Policy and Director of the National Economic Council - --------------------------------------- ------------------------------------------------------------------------------ William W. George Retired Chairman and Chief Executive Officer of Medtronic, Inc. - --------------------------------------- ------------------------------------------------------------------------------ James A. Johnson Vice Chairman of Perseus, L.L.C. - --------------------------------------- ------------------------------------------------------------------------------ Lois D. Juliber Retired Vice Chairman of Colgate-Palmolive Company - --------------------------------------- ------------------------------------------------------------------------------ Edward M. Liddy Chairman of the Board, President and Chief Executive Officer of The Allstate Corporation - --------------------------------------- ------------------------------------------------------------------------------ Ruth J. Simmons President of Brown University - --------------------------------------- ------------------------------------------------------------------------------
SCHEDULE II-A-i Schedule II-A-i is hereby amended and restated in its entirety as follows: The name, position and present principal occupation of each executive officer of GS Advisors 2000, L.L.C., the sole general partner of each of GS Capital Partners 2000, L.P. and GS Capital Partners 2000 Offshore, L.P., and the sole manager of NH Acquisition LLC are set forth below. The business address for all the executive officers listed below is c/o Goldman, Sachs & Co., 85 Broad Street, New York, New York 10004, except as follows: The business address of Richard S. Sharp, Hughes B. Lepic, Robert R. Gheewalla, Sanjay H. Patel, Steffen J. Kastner, Bjorn P. Killmer, Benoit Valentin and Ulrika Werdelin is Peterborough Court, 133 Fleet Street, London EC4A 2BB, England. The business address of Mary Nee and Hsueh J. Sung is Cheung Kong Center, 68th Floor, 2 Queens Road, Central, Hong Kong. The business address of Joseph P. DiSabato is 555 California Street, San Francisco, CA 94104. The business address of Muneer A. Satter is 4900 Sears Tower, Chicago, IL 60606. All executive officers listed below are United States citizens, except as follows: Richard S. Sharp and Sarah E. Smith are citizens of the United Kingdom; Hughes B. Lepic and Benoit Valentin are citizens of France; Adrian M. Jones is a citizen of Ireland; Bjorn P. Killmer and Steffen J. Kastner are citizens of Germany; Hsueh Sung is a citizen of Taiwan and Ulrika Werdelin is a citizen of Sweden.
- ------------------------------- ---------------------------- --------------------------------------------------------- Name Position Present Principal Occupation - ------------------------------- ---------------------------- --------------------------------------------------------- Richard A. Friedman President Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Joseph H. Gleberman Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Henry Cornell Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Richard S. Sharp Vice President Managing Director of Goldman Sachs International - ------------------------------- ---------------------------- --------------------------------------------------------- Esta E. Stecher Assistant Secretary Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Sanjeev K. Mehra Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Muneer A. Satter Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Sanjay H. Patel Vice President Managing Director of Goldman Sachs International - ------------------------------- ---------------------------- --------------------------------------------------------- Hsueh J. Sung Vice President Managing Director of Goldman Sachs (Asia) L.L.C. - ------------------------------- ---------------------------- --------------------------------------------------------- Steven M. Bunson Assistant Secretary Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Elizabeth C. Fascitelli Treasurer Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- David J. Greenwald Assistant Secretary Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Hughes B. Lepic Vice President Managing Director of Goldman Sachs International - ------------------------------- ---------------------------- --------------------------------------------------------- Russell E. Makowsky Assistant Secretary Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Sarah E. Smith Assistant Treasurer Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Gerald J. Cardinale Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Stephen S. Trevor Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Joseph P. DiSabato Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Robert R. Gheewalla Vice President Managing Director of Goldman Sachs International - ------------------------------- ---------------------------- --------------------------------------------------------- Ben I. Adler Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Melina E. Higgins Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Adrian M. Jones Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- John E. Bowman Vice President Vice President of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Katherine B. Enquist Vice President/Secretary Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Beverly L. O'Toole Assistant Secretary Vice President and Associate General Counsel of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Matthew E. Tropp Assistant Secretary Vice President and Associate General Counsel of Goldman, Sachs &Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Mitchell S. Weiss Vice President Vice President of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Mary Nee Vice President Executive Director of Goldman Sachs (Asia) L.L.C. - ------------------------------- ---------------------------- --------------------------------------------------------- Ulrika Werdelin Vice President Executive Director of Goldman Sachs International - ------------------------------- ---------------------------- --------------------------------------------------------- Kenneth A. Pontarelli Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Steffen J. Kastner Vice President Managing Director of Goldman Sachs International - ------------------------------- ---------------------------- --------------------------------------------------------- Stuart A. Katz Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ---------------------------- --------------------------------------------------------- Bjorn P. Killmer Vice President Managing Director of Goldman Sachs International - ------------------------------- ---------------------------- --------------------------------------------------------- Benoit Valentin Vice President Managing Director of Goldman Sachs International - ------------------------------- ---------------------------- --------------------------------------------------------- Julie Abraham Assistant Secretary Vice President and Assistant General Counsel of Goldman, Sachs & Co. - ------------------------------- ---------------------------- ---------------------------------------------------------
SCHEDULE II-A-ii Schedule II-A-ii is hereby amended and restated in its entirety as follows: The name and principal occupation of each member of the Principal Investment Area Investment Committee of Goldman, Sachs & Co., which exercises the authority of Goldman, Sachs & Co. in managing GS Advisors 2000, L.L.C., GS Capital Partners 2000, L.P., GS Capital Partners 2000 Offshore, L.P., GS Capital Partners 2000 GmbH & Co. Beteiligungs KG, GS Capital Partners 2000 Employee Fund, L.P., and Goldman Sachs Direct Investment Fund 2000, L.P., are set forth below. The business address for each member listed below is c/o Goldman, Sachs & Co., 85 Broad Street, New York, New York 10004, except as follows: The business address of Richard S. Sharp, Robert R. Gheewalla, Hughes B. Lepic and Sanjay H. Patel is Peterborough Court, 133 Fleet Street, London EC4A 2BB, England. The business address of Muneer A. Satter is 4900 Sears Tower, Chicago, IL 60606. The business address of Hsueh J. Sung is 68/F Cheung Kong Centre, Hong Kong. All members listed below are United States citizens, except as follows: Richard S. Sharp and Sarah E. Smith are citizens of the United Kingdom; Hughes B. Lepic is a citizen of France; Adrian M. Jones is a citizen of Ireland and Hsueh Sung is a citizen of Taiwan.
- ------------------------------------- -------------------------------------------------------------------------------- Name Present Principal Occupation - ------------------------------------- -------------------------------------------------------------------------------- Peter M. Sacerdote Advisory Director of Goldman, Sachs & Co. - ------------------------------------- -------------------------------------------------------------------------------- Richard A. Friedman Managing Director of Goldman, Sachs & Co. - ------------------------------------- -------------------------------------------------------------------------------- Joseph H. Gleberman Managing Director of Goldman, Sachs & Co. - ------------------------------------- -------------------------------------------------------------------------------- Henry Cornell Managing Director of Goldman, Sachs & Co. - ------------------------------------- -------------------------------------------------------------------------------- Richard S. Sharp Managing Director of Goldman Sachs International - ------------------------------------- -------------------------------------------------------------------------------- Sanjeev K. Mehra Managing Director of Goldman, Sachs & Co. - ------------------------------------- -------------------------------------------------------------------------------- Muneer A. Satter Managing Director of Goldman, Sachs & Co. - ------------------------------------- -------------------------------------------------------------------------------- Joe DiSabato Managing Director of Goldman, Sachs & Co. - ------------------------------------- -------------------------------------------------------------------------------- Adrian M. Jones Managing Director of Goldman, Sachs & Co. - ------------------------------------- -------------------------------------------------------------------------------- Peter G. Sachs Senior Director of The Goldman Sachs Group, Inc. - ------------------------------------- -------------------------------------------------------------------------------- Scott Kapnick Managing Director of Goldman, Sachs & Co. - ------------------------------------- -------------------------------------------------------------------------------- Melina E. Higgins Managing Director of Goldman, Sachs & Co. - ------------------------------------- -------------------------------------------------------------------------------- Hsueh J. Sung Managing Director of Goldman Sachs (Asia) L.L.C. - ------------------------------------- -------------------------------------------------------------------------------- Ben I. Adler Managing Director of Goldman, Sachs & Co. - ------------------------------------- -------------------------------------------------------------------------------- Elizabeth C. Fascitelli Managing Director of Goldman, Sachs & Co. - ------------------------------------- -------------------------------------------------------------------------------- Sarah E. Smith Managing Director of Goldman, Sachs & Co. - ------------------------------------- -------------------------------------------------------------------------------- Stephen S. Trevor Managing Director of Goldman, Sachs & Co. - ------------------------------------- -------------------------------------------------------------------------------- Robert R. Gheewalla Managing Director of Goldman, Sachs International - ------------------------------------- -------------------------------------------------------------------------------- Hughes B. Lepic Managing Director of Goldman, Sachs International - ------------------------------------- -------------------------------------------------------------------------------- Gerald J. Cardinale Managing Director of Goldman, Sachs & Co. - ------------------------------------- -------------------------------------------------------------------------------- Sanjay H. Patel Managing Director of Goldman, Sachs International - ------------------------------------- --------------------------------------------------------------------------------
SCHEDULE II-B-i Schedule II-B-i is hereby amended and restated in its entirety as follows: The name, position and present principal occupation of each executive officer and director of Goldman, Sachs & Co. Finanz GmbH which is the sole managing general partner of Goldman, Sachs & Co. oHG are set forth below. The business address for each of the executive officers and directors listed below is MesseTurm, 60308 Frankfurt am Main, Germany. The executive officers and directors listed below are citizens of Germany.
- ---------------------------------- ---------------------------- ------------------------------------------------------ Name Position Present Principal Occupation - ---------------------------------- ---------------------------- ------------------------------------------------------ Andreas Koernlein Managing Director Managing Director of Goldman, Sachs & Co. oHG - ---------------------------------- ---------------------------- ------------------------------------------------------ Alexander C. Dibelius Managing Director Managing Director of Goldman, Sachs & Co. oHG - ---------------------------------- ---------------------------- ------------------------------------------------------ Peter Hollmann Managing Director Managing Director of Goldman, Sachs & Co. oHG - ---------------------------------- ---------------------------- ------------------------------------------------------
SCHEDULE II-B-ii Schedule II-B-ii is hereby amended and restated in its entirety as follows: The name, position and present principal occupation of each executive officer of GS Management GP GmbH, the sole managing partner of GS Capital Partners 2000 GmbH & Co. Beteiligungs KG, are set forth below. The business address for all the executive officers listed below is c/o Goldman, Sachs & Co., 85 Broad Street, New York, New York 10004, except for Richard S. Sharp, whose business address is Peterborough Court, 133 Fleet Street, London EC4A 2BB, England. All executive officers listed below are United States citizens, except for Richards S. Sharp and Sarah E. Smith, who are citizens of the United Kingdom.
- ----------------------------------- ------------------------------ --------------------------------------------------- Name Position Present Principal Occupation - ----------------------------------- ------------------------------ --------------------------------------------------- Richard A. Friedman Managing Director Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------ --------------------------------------------------- Joseph H. Gleberman Managing Director Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------ --------------------------------------------------- Henry Cornell Managing Director Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------ --------------------------------------------------- Esta E. Stecher Managing Director Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------ --------------------------------------------------- Elizabeth C. Fascitelli Managing Director Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------ --------------------------------------------------- David J. Greenwald Managing Director Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------ --------------------------------------------------- Sarah E. Smith Managing Director Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------ --------------------------------------------------- Katherine B. Enquist Managing Director Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------ --------------------------------------------------- John E. Bowman Managing Director Vice President of Goldman, Sachs & Co. - ----------------------------------- ------------------------------ --------------------------------------------------- Richard S. Sharp Managing Director Managing Director of Goldman Sachs International - ----------------------------------- ------------------------------ ---------------------------------------------------
SCHEDULE II-C Schedule II-C is hereby amended and restated in its entirety as follows: The name, position and present principal occupation of each executive officer of GS Employee Funds 2000 GP, L.L.C., the sole general partner of GS Capital Partners 2000 Employee Fund, L.P. and Goldman Sachs Direct Investment Fund 2000, L.P., are set forth below. The business address for all the executive officers listed below is c/o Goldman, Sachs & Co., 85 Broad Street, New York, New York 10004, except as follows: The business address of Richard S. Sharp, Hughes B. Lepic, Robert R. Gheewalla, Sanjay H. Patel, Steffen J. Kastner, Bjorn P. Killmer, Benoit Valentin and Ulrika Werdelin is 133 Fleet Street, London EC4A 2BB, England. The business address of Mary Nee and Hsueh J. Sung is Cheung Kong Center, 68th Floor, 2 Queens Road, Central, Hong Kong. The business address of Joseph P. DiSabato is 555 California Street, 45th Floor, San Francisco, CA 94104. The business address of Muneer A. Satter is 4900 Sears Tower, Chicago, IL 60606. All executive officers listed below are United States citizens, except as follows: Richard S. Sharp and Sarah E. Smith are citizens of the United Kingdom, Hughes B. Lepic and Benoit Valentin are citizens of France, Adrian M. Jones is a citizen of Ireland, Steffen J. Kastner and Bjorn P. Killmer are citizens of Germany, Ulrika Werdelin is a citizen of Sweden and Hsueh J. Sung is a citizen of Taiwan.
- --------------------------------- ---------------------------- ------------------------------------------------------ Name Position Present Principal Occupation - --------------------------------- ---------------------------- ------------------------------------------------------ Richard A. Friedman President Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Joseph H. Gleberman Vice President Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Henry Cornell Vice President Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Richard S. Sharp Vice President Managing Director of Goldman Sachs International - --------------------------------- ---------------------------- ------------------------------------------------------ Esta E. Stecher Vice President/Assistant Managing Director of Goldman, Sachs & Co. Secretary - --------------------------------- ---------------------------- ------------------------------------------------------ Sanjeev K. Mehra Vice President/Treasurer Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Muneer A. Satter Vice President Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Hsueh J. Sung Vice President Managing Director of Goldman Sachs (Asia) L.L.C. - --------------------------------- ---------------------------- ------------------------------------------------------ Steven M. Bunson Assistant Secretary Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Elizabeth C. Fascitelli Vice President Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ David J. Greenwald Vice President/Assistant Managing Director of Goldman, Sachs & Co. Secretary - --------------------------------- ---------------------------- ------------------------------------------------------ Hughes B. Lepic Vice President Managing Director of Goldman Sachs International - --------------------------------- ---------------------------- ------------------------------------------------------ Russell E. Makowsky Assistant Secretary Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Sarah E. Smith Assistant Treasurer Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Gerald J. Cardinale Vice President Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Stephen S. Trevor Vice President Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Joseph P. DiSabato Vice President Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Robert R. Gheewalla Vice President Managing Director of Goldman Sachs International - --------------------------------- ---------------------------- ------------------------------------------------------ Sanjay H. Patel Vice President Managing Director of Goldman Sachs International - --------------------------------- ---------------------------- ------------------------------------------------------ Ben I. Adler Vice President Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Melina E. Higgins Vice President Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Adrian M. Jones Vice President Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ John E. Bowman Vice President Vice President of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Katherine B. Enquist Vice President/Secretary Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Beverly L. O'Toole Assistant Secretary Vice President and Associate General Counsel of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Raymond G. Matera Vice President Vice President of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Mitchell S. Weiss Vice President Vice President of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Mary Nee Vice President Executive Director of Goldman Sachs (Asia) L.L.C. - --------------------------------- ---------------------------- ------------------------------------------------------ Matthew E. Tropp Assistant Secretary Vice President and Associate General Counsel of Goldman, Sachs &Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Richard J. Stingi Vice President Vice President of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Ulrika Werdelin Vice President Executive Director of Goldman Sachs International - --------------------------------- ---------------------------- ------------------------------------------------------ Kenneth A. Pontarelli Vice President Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Steffen J. Kastner Vice President Managing Director of Goldman Sachs International - --------------------------------- ---------------------------- ------------------------------------------------------ Stuart A. Katz Vice President Managing Director of Goldman, Sachs & Co. - --------------------------------- ---------------------------- ------------------------------------------------------ Bjorn P. Killmer Vice President Managing Director of Goldman Sachs International - --------------------------------- ---------------------------- ------------------------------------------------------ Benoit Valentin Vice President Managing Director of Goldman Sachs International - --------------------------------- ---------------------------- ------------------------------------------------------ Julie Abraham Assistant Secretary Vice President and Assistant General Counsel of Goldman, Sachs &Co. - --------------------------------- ---------------------------- ------------------------------------------------------
SCHEDULE III Schedule III is hereby amended and restated in its entirety as follows: In November 2002, the SEC, the National Association of Securities Dealers ("NASD") and the New York Stock Exchange, Inc. ("NYSE") alleged that five broker dealers, including Goldman Sachs, violated Section 17(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and Rule 17a-4 thereunder, NYSE Rules 440 and 342 and NASD Rules 3010 and 3110 by allegedly failing to preserve electronic mail communications for three years and/or to preserve electronic mail communications for the first two years in an accessible place, and by allegedly having inadequate supervisory systems and procedures in relation to the retention of electronic mail communications. Without admitting or denying the allegations, the five broker dealers, including Goldman Sachs, consented to censure by the SEC, NASD and NYSE and to the imposition of a cease-and-desist order by the SEC and Goldman Sachs paid a total fine of $1,650,000 ($550,000 each to the SEC, NASD and NYSE). Goldman Sachs also undertook to review its procedures regarding the preservation of electronic mail communications for compliance with the federal securities laws and regulations and the rules of the NASD and NYSE, and to confirm within a specified period of time that it has established systems and procedures reasonably designed to achieve compliance with those laws, regulations and rules. On April 28, 2003, without admitting or denying liability, ten investment banking firms including Goldman Sachs, entered into global settlements with the SEC, the NYSE, the NASD and certain states to resolve the investigations relating to equity research analyst conflicts of interest. Goldman Sachs was charged with violating NYSE Rules 342, 401, 472 and 475, and NASD Conduct Rules 2110, 2210 and 3010. Goldman Sachs also agreed to a censure by the NYSE and the NASD and to pay a total of $110,000,000 and to adopt a set of industry-wide reforms of its research and investment banking businesses and to adopt certain restrictions on the allocations of "hot" IPO shares. The terms of the global settlement were entered in an order by a federal court in the Southern District of New York on October 31, 2003 (Civil Action Number 03CV2944). On September 4, 2003, Goldman Sachs and the SEC settled administrative proceedings relating to certain trading in U.S. Treasury securities by Goldman Sachs on the morning of October 31, 2001. The Staff of the SEC alleged that Goldman Sachs violated (i) Section 15(c)(1) and Rule 15c1-2 of the Exchange Act as a result of certain trading in U.S. Treasury bonds over an eight minute period on October 31, 2001; and (ii) Section 15(f) of the Exchange Act by failing to maintain policies and procedures specifically addressed to the possible misuse of non-public information obtained from outside consultants. Under the Offer of Settlement submitted by Goldman Sachs and accepted by the SEC, without admitting or denying the SEC's allegations, Goldman Sachs consented to the entry of an Order that, among other things, (i) censured Goldman Sachs; (ii) directed Goldman Sachs to cease and desist from committing or causing any violations of Section 15(c)(1)(A) & (C) and 15(f) and Rule 15c1-2 of the Exchange Act; (iii) ordered Goldman Sachs to pay disgorgement and prejudgment interest in the amount of $1,742,642, and a civil monetary penalty of $5 million; and (iv) directed Goldman Sachs to conduct a review its policies and procedures and to adopt, implement and maintain policies and procedures consistent with the Order and that review. Goldman Sachs also undertook to pay $2,562,740 in disgorgement and interest relating to certain trading in U.S. Treasury bond futures during the same eight minute period. On July 1, 2004, Goldman Sachs and the SEC settled administrative proceedings relating to communications from Goldman Sachs sales traders on its Asian Shares Sales Desk to certain institutional customers and news media concerning four international public securities offerings during the period between October 1999 and March 2000. The SEC alleged (i) that certain of these communications by Goldman Sachs employees were made after the registration statements pertaining to those offerings were filed, but not yet declared effective by the SEC, in violation of Section 5(b) of the Securities Act and (ii) that certain comments to the news media by Goldman Sachs with respect to one of the offerings constituted an offer to sell securities in violation of Section 5(c) of the Securities Act. The SEC also alleged that Goldman Sachs failed to adequately supervise the Asian Shares Sales Desk traders, as required by Section 15(b)(4)(E) of the Exchange Act. Under the Offer of Settlement submitted by Goldman Sachs and accepted by the SEC, without admitting or denying the SEC's allegations, Goldman Sachs consented to the entry of an Order that, among other things, directed Goldman Sachs to cease and desist from committing or causing any violations of Sections 5(b) and 5(c) of the Securities Act, and ordered Goldman Sachs to pay a civil monetary penalty of $2 million. On January 24, 2005, the SEC filed an action in the U.S. District Court for the Southern District of New York alleging that Goldman Sachs violated Rule 101 of Regulation M under the Exchange Act by attempting to induce, or inducing certain investors to make, aftermarket purchases of certain initial public offerings underwritten by Goldman Sachs during 2000. On February 4, 2005, without admitting or denying the allegations of the complaint, a final judgment was entered against Goldman Sachs, with the consent of Goldman Sachs, under which Goldman Sachs was permanently restrained and enjoined from violating Rule 101 of Regulation M and required to pay a $40 million civil penalty, which was paid on March 31, 2005. EX-19 2 exhibit19.txt EXHIBIT 19 ---------- NALCO HOLDING COMPANY LOCK-UP AGREEMENT ________, 2005 Goldman, Sachs & Co., Citigroup Global Markets Inc., UBS Securities LLC, c/o Goldman, Sachs & Co. 85 Broad Street New York, New York 10004 Re: Nalco Holding Company - Lock-Up Agreement Ladies and Gentlemen: The undersigned understands that Goldman, Sachs & Co., Citigroup Global Markets Inc. and UBS Securities LLC, as representatives (the "Representatives"), propose to enter into an Underwriting Agreement (the "Underwriting Agreement") on behalf of the several Underwriters named in Schedule I to such agreement (collectively, the "Underwriters"), with Nalco LLC, a Delaware limited liability company (the "Selling Stockholder"), and Nalco Holding Company, a Delaware corporation (the "Company"), providing for a public offering of Common Stock, par value $0.01 per share, of the Company (the "Shares") pursuant to the Company's Registration Statement on Form S-1 (Reg. No. 333-126642) (the "Registration Statement") filed with the Securities and Exchange Commission (the "SEC"). In consideration of the agreement by the Underwriters to offer and sell the Shares, and of other good and valuable consideration the receipt and sufficiency of which is hereby acknowledged, the undersigned agrees that, during the period specified in the following paragraph (the "Lock-up Period"), the undersigned will not offer, sell, contract to sell, pledge, grant any option to purchase, make any short sale or otherwise dispose of any shares of Common Stock of the Company, or any options or warrants to purchase any shares of Common Stock of the Company, or any securities convertible into, exchangeable for or that represent the right to receive shares of Common Stock of the Company or units or other membership interests in the Selling Stockholder, whether now owned or hereinafter acquired, owned directly by the undersigned (including holding as a custodian) or with respect to which the undersigned has beneficial ownership within the rules and regulations of the SEC (collectively the "Undersigned's Shares"). The foregoing restriction is expressly agreed to preclude the undersigned from engaging in any hedging or other transaction which is designed to or which reasonably could be expected to lead to or result in a sale or disposition of the Undersigned's Shares even if such Shares would be disposed of by someone other than the undersigned. Such prohibited hedging or other transactions would include without limitation any short sale or any purchase, sale or grant of any right (including without limitation any put or call option) with respect to any of the Undersigned's Shares or with respect to any security that includes, relates to, or derives any significant part of its value from such Shares. The initial Lock-up Period will commence on the date of this Lock-Up Agreement and continue for 90 days after the public offering date set forth on the final prospectus used to sell the Shares (the "Public Offering Date") pursuant to the Underwriting Agreement; provided, however, that if (1) during the last 17 days of the initial Lock-up Period the Company releases earnings results or announces material news or a material event or (2) prior to the expiration of the initial Lock-up Period the Company announces that it will release earnings results during the 16-day period beginning on the last day of the initial Lock-up Period, then in each case the Lock-up Period will be automatically extended until the expiration of the 18-day period beginning on the date of release of the earnings results or the announcement of the material news or material event, as applicable, unless Goldman, Sachs & Co. waives, in writing, such extension. The undersigned hereby acknowledges and agrees that the Company has agreed in the Underwriting Agreement to provide written notice of any event that would result in an extension of the Lock-up Period pursuant to the previous paragraph to the undersigned and that any such notice properly delivered will be deemed to have given to, and received by, the undersigned. The undersigned hereby further agrees that, prior to engaging in any transaction or taking any other action that is subject to the terms of this Lock-Up Agreement during the period from the date of this Lock-Up Agreement to and including the 34th day following the expiration of the initial Lock-up Period, it will give notice thereof to the Company and will not consummate such transaction or take any such action during such period unless it has received written confirmation from the Company that the Lock-up Period (as may have been extended pursuant to the previous paragraph) has expired. Notwithstanding the foregoing, the undersigned may transfer the Undersigned's Shares (i) as a bona fide gift or gifts, provided that the donee or donees thereof agree to be bound in writing by the restrictions set forth herein, (ii) by will or intestate, (iii) to any trust, partnership or limited liability company for the direct or indirect benefit of the undersigned or the immediate family of the undersigned, provided that the trustee of the trust, partnership or the limited liability company, as the case may be, agrees to be bound in writing by the restrictions set forth herein, and provided further that any such transfer shall not involve a disposition for value, (iv) to the extent applicable, as distributions of the Undersigned's Shares to a wholly-owned subsidiary of the undersigned or to the direct or indirect members or partners of the undersigned, provided, however, that (A) it shall be a condition to such transfer that the transferee (if not already subject to this Lock-up Agreement) execute an agreement stating that such transferee is receiving and holding such capital stock subject to the provisions of this Lock-Up Agreement and there shall be no further transfer of such capital stock except in accordance with this Lock-up Agreement, and (B) such transfer shall not involve a disposition for value, (v) to a nominee or custodian of a person or entity to whom a disposition or transfer would be permissible under clauses (i) through (iv), or (vi) with the prior written consent of Goldman, Sachs & Co. on behalf of the Underwriters. For purposes of this Lock-Up Agreement, "immediate family" shall mean any relationship by blood, marriage or adoption, not more remote than first cousin. The undersigned now has, and, except as contemplated by clause (i) through (vi) above, for the duration of this Lock-Up Agreement will have, good and marketable title to the Undersigned's Shares, free and clear of all liens, encumbrances, and claims whatsoever. The undersigned also agrees and consents to the entry of stop transfer instructions with the Company's transfer agent and registrar against the transfer of the Undersigned's Shares during the Lock-up Period except in compliance with the foregoing restrictions. The undersigned understands that the Selling Stockholder, the Company and the Underwriters are relying upon this Lock-Up Agreement in proceeding toward consummation of the offering. The undersigned further understands that this Lock-Up Agreement is irrevocable and shall be binding upon the undersigned's heirs, legal representatives, successors, and assigns. This Lock-Up Agreement shall automatically terminate and be of no further effect if (i) the Registration Statement is not declared effective by the SEC by August 11, 2005 or (ii) the Underwriting Agreement is terminated pursuant to its terms. Very truly yours, --------------------------------------- Exact Name --------------------------------------- Authorized Signature --------------------------------------- Title Lock-Up Agreement List Executive Officers and Directors William H. Joyce William J. Roe Bradley J. Bell Leon D. Black Chinh E. Chu Richard A. Friedman Joshua J. Harris Sanjeev K. Mehra Paul H. O'Neill Selling Stockholder Nalco LLC Beneficial Owners of the Selling Stockholder Blackstone Capital Partners IV L.P. Blackstone Family Investment Partnership IV-A L.P. Blackstone Capital Partners IV-A L.P. Blackstone Management Associates IV L.L.C. Apollo Investment Fund V, L.P. Apollo/Nalco Acquisition LLC AP Nalco LP GS Capital Partners 2000, L.P. GS Capital Partners 2000 Offshore, L.P. GS Capital Partners 2000 GmbH & Co. Beteiligungs KG GS Capital Partners 2000 Employee Fund, L.P. NH Acquisition LLC Goldman Sachs Direct Investment Fund 2000, L.P. -----END PRIVACY-ENHANCED MESSAGE-----