13F-HR/A 1 a13f-hra.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2011 ------------------------ Check here if Amendment [ X ]; Amendment Number: ------------ This Amendment (Check only one.): [ X ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager filing this Report: Name: DBD Cayman Holdings, Ltd. --------------------------------------- Address: c/o The Carlyle Group --------------------------------------- 1001 Pennsylvania Avenue, NW --------------------------------------- Suite 220 S. --------------------------------------- Washington, DC 20004-2505 --------------------------------------- Form 13F File Number: 28- 14166 --------------- 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: David M. Rubenstein --------------------------------------- Title: Ordinary Member --------------------------------------- Phone: 202-729-5626 --------------------------------------- Signature, Place, and Date of Signing: /s/ R. Rainey Hoffman as Attorney- Washington, DC September 8, 2011 in-Fact for David M. Rubenstein* ---------------- ------------------- -------------------------------------- Signature City, State Date *Signed pursuant to a Power Of Attorney dated February 11, 2011, included as an exhibit to this Form 13F-HR filed with the Securities and Exchange Commission by DBD Cayman Holdings, Ltd. **DBD Cayman Holdings, Ltd. (the "Reporting Manager") does not serve as adviser to all of the owners of, or have formal investment discretion with respect to, the securities in the indicated row, but may be deemed to be part of a group of affiliated persons exercising investment discretion with respect to such securities. The filing of this report shall not be deemed an admission, for purposes of Section 13(f), 13(d), 13(g) or 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules thereunder, or for any other purpose, that the Reporting Manager or any other manager with respect to the securities listed herein exercises investment discretion or is a member of, or is otherwise affiliated with, such a group with respect to such securities. Reference is made, where relevant, to reports filed under Sections 13(d), 13(g) and 16(a) of the Exchange Act for additional information with respect to such beneficial ownership and/or pecuniary interest of the Reporting Manager, any other manager with which it may share or be deemed to share investment discretion, and related entities. The filing of this report shall not be deemed an admission, for purposes of Section 13(f), 13(d), 13(g) or 16(a) of the Exchange Act, as amended, and the rules thereunder, or for any other purpose, that the Reporting Manager or any other person is the beneficial owner of any securities. [ X ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting 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).) List of Other Managers Reporting for this Manager: NONE Form 13F File Number Name 28- ----------------------- ---------------------------------- FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 ---------------------------- Form 13F Information Table Entry Total: 23 ---------------------------- Form 13F Information Table Value Total: $9,036,226 ---------------------------- (thousands) List of Other Included Managers: 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- 12429 Carlyle Investment Management L.L.C. ----- -------------------- --------------------------------------- 2
FORM 13-F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 --------------- ---------------- ---------- ----------- ---------------------------- -------------- ---------- -------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE --------------- ---------------- ----------- ---------- ------------ ------ -------- -------------- ---------- ------ ------- ----- BankUnited Inc Com 06652K103 $200,859 7,568,158 SH -- Shared- 1 7,568,158 Defined Boston Private Com 101119105 $48,896 7,431,022 SH -- Shared- 1 7,431,022 Finl Hldgs In Defined Booz Allen Cl A 099502106 $15,288 800,000 SH -- Shared- 1 800,000 Hamilton Hldg Defined Cor Central Pac Finl Com 154760409 $132,483 9,463,095 SH -- Shared- 1 9,463,095 Corp Defined Charter Cl A 16117M305 $137,807 2,539,761 SH -- Shared- 1 2,539,761 Communication Defined s Inc D China Agritech Com 16937A200 $8,124 4,642,560 SH -- Shared- 1 4,642,560 Inc Defined China Recycling Com 168913101 $16,426 8,131,746 SH -- Shared- 1 8,131,746 Energy Corp Defined Cobalt Intl Com 19075F106 $612,229 44,917,790 SH -- Shared- 1 44,917,790 Energy Inc Defined Complete Com 20453E109 $51,486 1,543,343 SH -- Shared- 1 1,543,343 Production Defined Services ------------------------------------------------------------------------------------------------------------------------------------ 3
Concord Med Sponsored ADR 206277105 $36,904 8,724,233 SH -- Shared- 1 8,724,233 Svcs Hldgs Ltd Defined Freescale Semiconductor SHS Old G3727Q101 $3,606,957 196,136,895 SH -- Shared- 1 196,136,895 Hldg Other** Hampton Roads Com 409321106 $77,920 7,870,693 SH -- Shared- 1 7,870,693 Bankshares Inc Defined Hertz Global Com 42805T105 $93,688 5,899,719 SH -- Shared- 1 5,899,719 Holdings Inc Defined Kinder Morgan Inc Del Com 49456B101 $1,710,801 59,547,572 SH -- Shared- 1 59,547,572 Defined Lear Corp Com 521865204 $53 1,000 SH -- Shared- 1 1,000 Defined Lyondellbasell SHS - A - N53745100 $93,801 2,435,125 SH -- Shared- 1 2,435,125 Industries N Defined Nielsen Com N63218106 $1,716,771 55,095,354 SH -- Shared- 1 55,095,354 Holdings N V Defined Niska Gas Storage Partners Unit Ltd Liabi 654678101 $280,116 16,304,745 SH -- Shared- 1 16,304,745 L Defined RTI Intl Metals Com 74973W107 $70,368 1,833,925 SH -- Shared- 1 1,833,925 Inc Defined Solutia Inc Com 834376501 $54,726 2,395,000 SH -- Shared- 1 2,395,000 Defined Superior Energy Com 868157108 $33,981 914,934 SH -- Shared- 1 914,934 Svcs Inc Defined ------------------------------------------------------------------------------------------------------------------------------------ 4
Weatherford Reg Shs H27013103 $18,750 1,000,000 SH -- Shared- 1 1,000,000 International Lt Defined Willbros Group Com 969203108 $17,792 2,083,377 SH -- Shared- 1 2,083,377 Inc Defined ------------------------------------------------------------------------------------------------------------------------------------ 5
LIST OF EXHIBITS EXHIBIT NO. DESCRIPTION ----------- ----------- 99 Power of Attorney 6 EXHIBIT 99 POWER OF ATTORNEY ----------------- The undersigned understands that, from time to time, the Carlyle Companies (defined below) are required to prepare, execute and file certain federal and state securities laws filings. Know all by these presents, that the undersigned hereby constitutes and appoints each of Curt Buser, Jeff Ferguson, David Pearson, Catherine Ziobro, R. Rainey Hoffman, Joanne Cosiol, Monica Harris, Jeremy Anderson, Bruno De Gusmao, Ann Siebecker, Andrea Pekala, Tom Mayrhofer, David Willich, Glen Goold, Orit Mizrachi, John Beczak, Rick Kappler, Matt LoRusso, Rob Konigsberg, Katey Bogue, James Sloan, or any of them signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) prepare, execute in the name of each Carlyle Company and on behalf of each Carlyle Company, and submit to the U.S. Securities and Exchange Commission (the "SEC") a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of Forms D ("Form D") required to be filed in accordance with Rule 503 ("Rule 503") promulgated with respect to Sections 4(2), 4(6) and 3(b) of the Securities Act of 1933 (the "1933 Act") and reports required by Sections 13(d) and 16(a) of the Securities Exchange Act of 1934 (the "1934 Act") or any rule or regulation of the SEC; (2) prepare and execute for and on behalf of each Carlyle Company, in the undersigned's capacity as a Managing Director, authorized person, officer and/or director of each Carlyle Company, federal and state securities laws filings including without limitation Forms D pursuant to Rule 503 and Schedules 13D and 13G and Forms 3, 4, and 5 in accordance with Sections 13(d) and 16(a) of the 1934 Act and the rules thereunder; (3) do and perform any and all acts for and on behalf of each Carlyle Company which may be necessary or desirable to complete and execute any such federal and state securities laws filings including without limitation Forms D, Schedules 13D and 13G and Forms 3, 4, and 5, complete and execute any amendment or amendments thereto, and timely file such form with the SEC and the securities administrators of any state, the District of Columbia, the Commonwealth of Puerto Rico, Guam and the United States Virgin Islands or their designees and any stock exchange or similar authority; and (4) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in- fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted, whether the same needs to be executed, taken or done by him in his capacity as a current or former member, partner, shareholder, director or officer of any company, partnership, corporation, organization, firm, branch or other entity connected with, related to or affiliated with any of the entities constituting the Carlyle Companies or entities that directly or indirectly hold interests in the Carlyle Companies. 7 The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming any of the undersigned's responsibilities to comply with federal and state securities laws, including without limitation Rule 503 of the 1933 Act or Section 13 and Section 16 of the 1934 Act. This Power of Attorney and all authority conferred hereby shall not be terminated by operation of law, whether by the death or incapacity of the undersigned or by occurrence of any other event. Actions taken by an attorney- in-fact pursuant to this Power of Attorney shall be as valid as if any event described in the preceding sentence had not occurred, whether or not the attorney-in-fact shall have received notice of such event. Notwithstanding the foregoing, (i) in the event that an attorney-in-fact is no longer employed by The Carlyle Group Employee Co., L.L.C. or its affiliates, this Power of Attorney and all authority conferred hereby shall be immediately terminated with respect to such Attorney, and (ii) the undersigned may terminate or revoke this Power of Attorney at any time. For purposes hereof, the "Carlyle Companies" shall consist of: (i) TWC Virginia, Inc., a Delaware corporation, TC Group, L.L.C., a Delaware limited liability company, TC Group Cayman, L.P., a Cayman Islands exempted limited partnership, TC Group Investment Holdings, L.P., a Delaware limited partnership and TC Group Cayman Investment Holdings, L.P., a Cayman Islands exempted limited partnership; (ii) their respective owners, including without limitation TCG Holdings, L.L.C., a Delaware limited liability company, TCG Holdings Cayman, L.P., a Cayman Islands exempted limited partnership, TCG Holdings II, L.P., a Delaware limited partnership, TCG Holdings Cayman II, L.P., a Cayman Islands exempted limited partnership, TCG Employee Co., L.L.C., a Delaware limited liability company, Carlyle Offshore Partners II, Ltd., a Cayman Islands exempted company with limited liability, Carlyle Offshore Partners II Holdings, Ltd., a Cayman Islands exempted company with limited liability, DBD Investors V, L.L.C., a Delaware limited liability company, DBD Investors V Holdings, L.L.C., a Delaware limited liability company, DBD Cayman, Ltd., a Cayman Islands exempted company with limited liability and DBD Cayman Holdings, Ltd., a Cayman Islands exempted company with limited liability; and (iii) the subsidiaries and affiliates of the foregoing in clauses (i) and (ii), including without limitation investment funds sponsored directly or indirectly by one or more of the Carlyle Companies. [Signature Page Follows] 8 IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 11th day of February, 2011. /s/ David M. Rubenstein ------------------------- Name: David M. Rubenstein 9