-----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, WylWXi1BDeQYhKpKvdnlvoKyxaj9EaV/O2Wkia9AUj2RL3NUXEicbKy3X43e/4/c raXvakqopY2O8q/bw0hdQA== 0000899140-03-000694.txt : 20030903 0000899140-03-000694.hdr.sgml : 20030903 20030903151518 ACCESSION NUMBER: 0000899140-03-000694 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20030903 GROUP MEMBERS: EV3 LLC GROUP MEMBERS: VERTICAL FUND I, L.P. GROUP MEMBERS: VERTICAL FUND II, L.P. GROUP MEMBERS: WARBURG PINCUS &CO. GROUP MEMBERS: WARBURG PINCUS LLC GROUP MEMBERS: WARBURG, PINCUS EQUITY PARTNERS, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MICRO THERAPEUTICS INC CENTRAL INDEX KEY: 0000311407 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 330569235 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-51975 FILM NUMBER: 03878994 BUSINESS ADDRESS: STREET 1: 2 GOODYEAR CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 9498373700 MAIL ADDRESS: STREET 1: 2 GOODYEAR CITY: IRVINE STATE: CA ZIP: 92618 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MICRO INVESTMENT LLC CENTRAL INDEX KEY: 0001141701 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O WARBURG PINCUS EQUITY PARTNERS LP STREET 2: 466 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2128780600 MAIL ADDRESS: STREET 1: C/O WARBURG PINCUS EQUITY PARTNERS LP STREET 2: 466 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 SC 13D/A 1 mic1253998b.txt AMENDMENT NO. 6 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 6) Under the Securities Exchange Act of 1934* MICRO THERAPEUTICS, INC. ----------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.001 Par Value ----------------------------------------------------------------------------- (Title of Class of Securities) 59500W100 ----------------------------------------------------------------------------- (CUSIP Number) Scott A. Arenare, Esq. Managing Director and General Counsel Warburg Pincus LLC 466 Lexington Avenue New York, New York 10017 (212) 878-0600 ----------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Copies to: Steven J. Gartner, Esq. Willkie Farr & Gallagher LLP 787 Seventh Avenue New York, New York 10019-6099 (212) 728-8000 August 29, 2003 ----------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box: NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 240.13d-7 for other parties to whom copies are to be sent. * The remainder of this cover page shall 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 shall be subject to all other provisions of the Act (however, see the Notes). SCHEDULE 13D/A - ------------------------ ------------------------ CUSIP No. 59500W100 Page 2 of 17 pages - ------------------------ ------------------------ - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Micro Investment, LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) N/A - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER -0- ---------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 24,336,759 OWNED BY EACH ---------------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ---------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 24,336,759 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 24,336,759 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 69.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) OO - -------------------------------------------------------------------------------- SCHEDULE 13D/A - ------------------------ ------------------------ CUSIP No. 59500W100 Page 3 of 17 pages - ------------------------ ------------------------ - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Warburg, Pincus Equity Partners, L.P. I.R.S. #13-3986317 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) N/A - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER -0- ---------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 24,336,759 OWNED BY EACH ---------------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ---------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 24,336,759 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 24,336,759 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 69.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) PN - -------------------------------------------------------------------------------- SCHEDULE 13D/A - ------------------------ ------------------------ CUSIP No. 59500W100 Page 4 of 17 pages - ------------------------ ------------------------ - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Warburg Pincus & Co. I.R.S. #13-6358475 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) N/A - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER -0- ---------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 24,336,759 OWNED BY EACH ---------------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ---------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 24,336,759 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 24,336,759 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 69.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) PN - -------------------------------------------------------------------------------- SCHEDULE 13D/A - ------------------------ ------------------------ CUSIP No. 59500W100 Page 5 of 17 pages - ------------------------ ------------------------ - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Warburg Pincus LLC I.R.S. #13-3536050 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) N/A - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER -0- ---------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 24,336,759 OWNED BY EACH ---------------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ---------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 24,336,759 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 24,336,759 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 69.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) OO - -------------------------------------------------------------------------------- SCHEDULE 13D/A - ------------------------ ------------------------ CUSIP No. 59500W100 Page 6 of 17 pages - ------------------------ ------------------------ - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Vertical Fund I, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) N/A - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER -0- ---------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY -0- OWNED BY EACH ---------------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ---------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) -0- - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) PN - -------------------------------------------------------------------------------- SCHEDULE 13D/A - ------------------------ ------------------------ CUSIP No. 59500W100 Page 7 of 17 pages - ------------------------ ------------------------ - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Vertical Fund II, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) N/A - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER -0- ---------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY -0- OWNED BY EACH ---------------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ---------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) -0- - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) PN - -------------------------------------------------------------------------------- SCHEDULE 13D/A - ------------------------ ------------------------ CUSIP No. 59500W100 Page 8 of 17 pages - ------------------------ ------------------------ - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) ev3 LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) N/A - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER -0- ---------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 24,336,759 OWNED BY EACH ---------------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ---------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 24,336,759 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 24,336,759 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 69.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) OO - -------------------------------------------------------------------------------- This Amendment No. 6 amends the Schedule 13D originally filed on June 5, 2001, as amended by Amendment No. 1, filed on June 21, 2001, as further amended by Amendment No. 2, filed on July 27, 2001, as further amended by Amendment No. 3, filed on September 6, 2002, as further amended by Amendment No. 4, filed on October 2, 2002, and as further amended by Amendment No. 5, filed on February 21, 2003 (as so amended, the "Original 13D"), on behalf of Micro Investment, LLC, a Delaware limited liability company ("Micro LLC"), Warburg, Pincus Equity Partners, L.P., a Delaware limited partnership (together with three affiliated entities, "WPEP"), Warburg Pincus LLC, a New York limited liability company ("WP LLC"), Warburg Pincus & Co., a New York general partnership ("WP", and together with WPEP and WP LLC, the "Warburg Pincus Reporting Persons"), Vertical Fund I, L.P., a Delaware limited partnership ("VFI"), and Vertical Fund II, L.P., a Delaware limited partnership ("VFII"). This Amendment No. 6 to the Original 13D relates to the common stock, par value $0.001 per share (the "Common Stock"), of Micro Therapeutics, Inc., a Delaware corporation (the "Company"). Unless otherwise indicated herein, each capitalized term used but not defined herein shall have the meaning ascribed to such term in the Original 13D. On August 29, 2003, ev3 LLC, a Delaware limited liability company ("ev3 LLC"), entered into a Contribution and Exchange Agreement with the members of Micro LLC pursuant to which the members of Micro LLC contributed 100% of their membership interests to ev3 LLC in exchange for the issuance by ev3 LLC of Class A Preferred Membership Units ("Class A Preferred Units"). WPEP, VFI and VFII were former members of Micro LLC. As a result of the contribution of their Micro LLC membership interests to ev3 LLC, each of WPEP, VFI and VFII, is, as of the Page 9 of 17 pages date of this filing, a member of ev3 LLC and holds Class A Preferred Units. As of the date of this filing, ev3 LLC owned 100% of the membership interests of Micro LLC. As of the date of this filing, Micro LLC owned 24,336,759 shares of the Common Stock. By virtue of ev3 LLC's ownership of 100% of the membership interests of Micro LLC, ev3 LLC may be deemed to beneficially own all of the shares of Common Stock owned by Micro LLC. As of the date of this filing, WPEP controlled approximately 75.5% of the voting power of ev3 LLC. The terms of the Class A Preferred Units, a copy of which is attached hereto as Exhibit B, contain a provision providing that on or after August 29, 2004 and at the election of the holders of a majority of the Class A Preferred Units then outstanding, all of the Class A Preferred Units may be exchanged for 100% of the membership interests of MI LLC. The percentage of membership interests of MI LLC acquirable by each holder of Class A Preferred Units upon such exchange would be equal to the percentage obtained by dividing (i) the number of Class A Preferred Units owned by such holder at the time of the exchange, by (ii) the total number of Class A Preferred Units outstanding at the time of the exchange. This Amendment No. 6 to the Original 13D (i) adds ev3 LLC as a "Reporting Person" and (ii) removes each of VFI and VFII as "Reporting Persons" because each of VFI and VFII have ceased to be the beneficial owner of more than five percent of the Common Stock. Micro LLC, ev3 LLC and the Warburg Pincus Reporting Persons are hereinafter referred to as the "Reporting Persons." Item 2. Identity and Background. Items 2(a) through (f) are hereby amended and restated in their entirety to read as follows: Page 10 of 17 pages (a) This statement is filed by the Reporting Persons. The sole member of Micro LLC is ev3 LLC. The sole general partner of WPEP is WP. WP LLC manages WPEP. The general partners of WP and the members of WP LLC, and their respective business addresses and principal occupations are set forth on Schedule I hereto. The members of ev3 LLC and their respective business addresses and principal occupations are set forth on Schedule II hereto. (b) The address of the principal business and principal office of each of Micro LLC and the Warburg Pincus Reporting Persons and those persons listed on Schedule I is c/o Warburg Pincus & Co., 466 Lexington Avenue, New York, New York 10017. The address of the principal business and principal office of ev3 LLC and those persons listed on Schedule II hereto is c/o ev3 Inc., 4600 Nathan Lane North, Plymouth, Minnesota 55442, other than (i) the Warburg Pincus Reporting Persons whose address is a set forth immediately above and (ii) VFI and VFII whose address is c/o The Vertical Group, L.P., 25 DeForest Avenue, Summit, New Jersey 07091. (c) The principal business of ev3 LLC is that of a limited liability company formed for the purpose of holding the capital stock and membership interests of its subsidiaries. The principal business of Micro LLC is that of a limited liability company engaged in making venture capital and related investments. The principal business of WPEP is that of making venture capital and related investments. The principal business of WP is acting as general partner of WPEP, Warburg Pincus International Partners, L.P., a Delaware limited partnership ("WPIP"), Warburg, Pincus Ventures International, L.P., a British Virgin Islands limited partnership ("WPVI"), Warburg, Pincus Ventures, L.P., a Delaware limited partnership ("WPV"), and Warburg, Pincus Investors, L.P., a Delaware limited partnership ("WPI"). The principal business of WP LLC is acting as manager of WPEP, WPIP, WPVI, WPV and WPI. Page 11 of 17 pages (d) None of the Reporting Persons, nor, to the best of their knowledge, any of the directors, executive officers, control persons, general partners or members referred to in paragraph (a) above has, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). (e) None of the Reporting Persons, nor, to the best of their knowledge, any of the directors, executive officers, control persons, general partners or members referred to in paragraphs (a) and (d) above has, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. (f) Except as otherwise indicated on Schedule I hereto, each of the individuals referred to in paragraphs (a) and (d) above is a United States citizen. Item 4. Purpose of Transaction. Item 4 of the Original 13D is hereby amended by adding the following paragraph at the end of the discussion: On August 15, 2003, Micro LLC acquired 131,171 shares of Common Stock, as liquidated damages for the Company's failure to have a registration statement under that certain Securities Purchase Agreement, dated as of September 3, 2002, by and among the Company, Micro LLC and the other investors identified on the signature pages thereto, declared effective by the Securities and Exchange Commission by March 31, 2003. The amount of the damages was $587,382.69, or approximately $4.478 per share of Common Stock. Page 12 of 17 pages Item 5. Interest in Securities of the Issuer. Items 5(a), (b), (c) and (e) are hereby amended and restated in their entirety to read as follows: (a) As of August 29, 2003, ev3 LLC and Micro LLC may be deemed to beneficially own 24,336,759 shares of Common Stock, representing 69.7% of the outstanding Common Stock, based on the 34,896,993 shares of Common Stock outstanding as of such date, as represented by the Company in its Form 10-Q for the quarter ended June 30, 2003. By reason of their respective relationships with ev3 LLC and each other, each of the Warburg Pincus Reporting Persons may be deemed under Rule 13d-3 under the Exchange Act to own beneficially all of the shares of Common Stock that ev3 LLC owns. (b) Each of ev3 LLC and Micro LLC share the power to vote or to direct the vote and to dispose or to direct the disposition of the 24,336,759 shares of Common Stock it may be deemed to beneficially own. Each of the Warburg Pincus Reporting Persons shares with ev3 LLC the power to vote or to direct the vote and to dispose or to direct the disposition of the 24,336,759 shares of Common Stock it may be deemed to beneficially own. The Reporting Persons are making this single, joint filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Exchange Act. Page 13 of 17 pages (c) Other than the acquisition of 131,171 shares of Common Stock by Micro LLC on August 15, 2003 (as summarized in Item 4 above) and the acquisition of beneficial ownership of 24,336,759 shares of Common Stock by ev3 LLC on August 29, 2003, no transactions in the Common Stock were effected during the past sixty days by the Reporting Persons or any of the persons set forth on Schedule I, Schedule II or in Item 2(d) hereto. (e) On August 29, 2003, each of VFI and VFII ceased to be the beneficial owner of more than five percent of the Common Stock. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. Pursuant to Rule 13d-1(k) promulgated under the Exchange Act, the Reporting Persons have entered into an Amended and Restated Joint Filing Agreement attached hereto as Exhibit A, with respect to the joint filing of the Original 13D and any amendment or amendments thereto, including this Amendment No. 6 to the Original 13D. Micro LLC and ev3 LLC have entered into the Terms of Class A Preferred Membership Units Exchange Right, dated August 29, 2003 (the "Class A Exchange Right Terms"). The Class A Exchange Right Terms, a copy of which is attached hereto as Exhibit B, contain a provision providing that on or after August 29, 2004 and at the election of the holders of a majority of the Class A Preferred Units then outstanding, all of the Class A Preferred Units may be exchanged for 100% of the membership interests of MI LLC. The percentage of membership interests of MI LLC acquirable by each holder of Class A Preferred Units upon such exchange would be equal to the percentage obtained by dividing (i) the number of Class A Preferred Units owned by such holder at the time of the exchange, by (ii) the total number of Class A Preferred Units outstanding at the time of the exchange. Page 14 of 17 pages Item 7. Material to Be Filed as Exhibits. Exhibit A. Amended and Restated Joint Filing Agreement, dated August 29, 2003, by and among the Reporting Persons. Exhibit B. Terms of Class A Preferred Membership Units Exchange Right, dated August 29, 2003, between ev3 LLC and Micro Investment, LLC. Schedule II. Information relating to the members of ev3 LLC. Page 15 of 17 pages SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated: September 2, 2003 EV3 LLC By: /s/ Paul Buckman -------------------------------------- Name: Paul Buckman Title: President and Chief Executive Officer Dated: September 2, 2003 MICRO INVESTMENT, LLC By: ev3 LLC, Managing Member By: /s/ Paul Buckman -------------------------------------- Name: Paul Buckman Title: President and Chief Executive Officer Dated: August 29, 2003 WARBURG, PINCUS EQUITY PARTNERS, L.P. By: Warburg Pincus & Co., General Partner By: /s/ Elizabeth H. Weatherman -------------------------------------- Name: Elizabeth H. Weatherman Title: Partner Dated: August 29, 2003 WARBURG PINCUS & CO. By: /s/ Elizabeth H. Weatherman -------------------------------------- Name: Elizabeth H. Weatherman Title: Partner Dated: August 29, 2003 WARBURG PINCUS LLC By: /s/ Elizabeth H. Weatherman -------------------------------------- Name: Elizabeth H. Weatherman Title: Member Dated: August 29, 2003 VERTICAL FUND I, L.P. By: The Vertical Group, L.P., General Partner By: /s/ Richard B. Emmitt -------------------------------------- Name: Richard B. Emmitt Title: General Partner Dated: August 29, 2003 VERTICAL FUND II, L.P. By: The Vertical Group, L.P., General Partner By: /s/ Richard B. Emmitt -------------------------------------- Name: Richard B. Emmitt Title: General Partner SCHEDULE II Set forth below is the name, citizenship or place of organization, address, position and present principal occupation of each of the members of ev3 LLC, a Delaware corporation.
Citizenship or Place of Position with Present Name Organization ev3 LLC Occupation ---- ------------ ------- ---------- Warburg, Pincus Delaware N/A N/A Equity Partners, L.P. Warburg, Pincus Netherlands N/A N/A Netherlands Equity Partners I, C.V. Warburg, Pincus Netherlands N/A N/A Netherlands Equity Partners II, C.V. Warburg, Pincus Netherlands N/A N/A Netherlands Equity Partners III, C.V. Vertical Fund I, L.P. Delaware N/A N/A Vertical Fund II, L.P. Delaware N/A N/A Paul Buckman U.S. President and Chief President and Chief Executive Officer Executive Officer of ev3 Inc. Jim Corbett U.S. Executive Vice Executive Vice President President and President of International of ev3 Inc. Cecily Hines U.S. Vice President, Vice President, General Chief Legal Officer Counsel and Corporate and Secretary Secretary of ev3 Inc. Paul Kapsner U.S. None Regional Sales Manager of Central Region of ev3 Inc. Stacy Enxing Seng U.S. None Vice President, Marketing Dale Spencer U.S. None Chairman of the Board of Directors of ev3 Inc. and a Consultant Dale A. Spencer Minnesota None N/A Revocable Trust U/A dated 10/7/97
EX-99.A 4 mic1254526.txt AMENDED AND RESTATED JOINT FILING AGREEMENT EXHIBIT A Amended and Restated Joint Filing Agreement This Amended and Restated jOINT FILING Agreement is entered into as of August 29, 2003, by and among the parties signatories hereto. This Amended and Restated Joint Filing Agreement amends and restates the Joint Filing Agreement, dated June 4, 2001, filed as Exhibit 1 to the initial Schedule 13D filed on June 5, 2001 (the "Statement on Schedule 13D"). The undersigned hereby agree that the Statement on Schedule 13D with respect to the shares of common stock, par value $0.001 per share, of Micro Therapeutics, Inc., a Delaware corporation, is, and any amendment thereafter signed by each of the undersigned shall be, filed on behalf of each undersigned pursuant to and in accordance with the provisions of 13d-1(k) under the Securities Exchange Act of 1934, as amended. Dated: August 29, 2003 EV3 LLC By: /s/ Paul Buckman -------------------------------- Name: Paul Buckman Title: President and Chief Executive Officer Dated: August 29, 2003 MICRO INVESTMENT, LLC By: ev3 LLC, Managing Member By: /s/ Paul Buckman --------------------------------- Name: Paul Buckman Title: President and Chief Executive Officer Dated: August 29, 2003 WARBURG, PINCUS EQUITY PARTNERS, L.P. By: Warburg Pincus & Co., General Partner By: /s/ Elizabeth H. Weatherman --------------------------------- Name: Elizabeth H. Weatherman Title: Partner Dated: August 29, 2003 WARBURG PINCUS & CO. By: /s/ Elizabeth H. Weatherman --------------------------------- Name: Elizabeth H. Weatherman Title: Partner Dated: August 29, 2003 WARBURG PINCUS LLC By: /s/ Elizabeth H. Weatherman --------------------------------- Name: Elizabeth H. Weatherman Title: Member Dated: August 29, 2003 VERTICAL FUND I, L.P. By: The Vertical Group, L.P., General Partner By: /s/ Richard B. Emmitt --------------------------------- Name: Richard B. Emmitt Title: General Partner Dated: August 29, 2003 VERTICAL FUND II, L.P. By: The Vertical Group, L.P., General Partner By: /s/ Richard B. Emmitt --------------------------------- Name: Richard B. Emmitt Title: General Partner -2- EX-99.B 5 mic1257609.txt TERMS OF CLASS A EXCHANGE RIGHT EXHIBIT B TERMS OF CLASS A PREFERRED MEMBERSHIP UNITS EXCHANGE RIGHT (a) On or after the date that is 12 months from the issuance date of the Class A Preferred Membership Units (the "Class A Preferred Membership Units") of ev3 LLC, a Delaware limited liability company (the "Company"), at the election of the holders of a majority of the Class A Preferred Membership Units then outstanding, all of the Class A Preferred Membership Units shall be exchanged for one hundred percent (100%) of the membership interests of Micro Investment, LLC, a Delaware limited liability company and wholly owned subsidiary of the Company ("MI LLC"). The percentage of membership interests of MI LLC acquirable by each holder of Class A Preferred Membership Units upon such exchange (each such holder an "Exchanging Member" and collectively, the "Exchanging Members") shall be equal to the percentage (expressed as a decimal) obtained by dividing (i) the number of Class A Preferred Membership Units owned by such holder, by (ii) the total number of Class A Preferred Membership Units then outstanding at the time of the exchange (such percentage, the "Exchanging Members Membership Percentage"). For the avoidance of any doubt, effective upon consummation of the exchange, one hundred percent (100%) of the membership interests of MI LLC shall be collectively owned by the holders of the Class A Preferred Membership Units immediately prior to consummation of the exchange. (b) In order to exercise the exchange, each Exchanging Member shall surrender his or its certificate or certificates, if any, to the principal office of the transfer agent for the Class A Preferred Membership Units (or if no transfer agent be at the time appointed, then the Company at its principal office), and shall give written notice to the Company at such office that the Exchanging Member elects to exchange the Class A Preferred Membership Units represented by such certificates, or any number thereof; provided, however, if the Exchanging Member does not hold certificates representing the Class A Preferred Membership Units, such Exchanging Member shall only be obligated to give written notice to the Company at the principal office of the transfer agent for the Class A Preferred Membership Units (or if no transfer agent be at the time appointed, then the Company at its principal office). If so required by the Company, certificates surrendered for exchange shall be endorsed or accompanied by written instrument or instruments of transfer, in form satisfactory to the Company, duly authorized in writing. The date of receipt by the transfer agent (or by the Company if the Company serves as its own transfer agent) of the certificates and notice shall be the exchange date. As soon as practicable after receipt of such notice and the surrender of the certificate or certificates for the Class A Preferred Membership Units as aforesaid, the Company shall cause to be transferred and delivered to each Exchanging Member, or on his or its written order, the membership interests of MI LLC representing the Exchanging Members Membership Percentage. [continued on next page] (c) All Class A Preferred Membership Units which shall have been surrendered for exchange as herein provided shall no longer be deemed to be outstanding and all rights with respect to such units, including the rights, if any, to receive notices and to vote, shall forthwith cease and terminate except only the right of the Exchanging Member thereof to receive the Exchanging Members Membership Percent. Any Class A Preferred Membership Units so exchanged shall be retired and canceled and shall not be reissued, and the Company may from time to time take such appropriate action as may be necessary to reduce the authorized Class A Preferred Membership Units accordingly. Acknowledged and Accepted as of the 29th day of August, 2003 EV3 LLC By: /s/ Paul Buckman --------------------------------------- Name: Paul Buckman Title: President and CEO MICRO INVESTMENT, LLC By: ev3 LLC, its Managing Member By: /s/ L. Cecily Hines --------------------------------------- Name: L. Cecily Hines Title: VP and Chief Financial Officer -2- -----END PRIVACY-ENHANCED MESSAGE-----