-----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, UEfqAQVyBqt+iQ7HdiGEkZMTThr7crinw5rlwkeCe9brmcfEddshC04HuyEkRtc5 uO0UxWzzk5aKxWcB9OthuA== 0000912057-01-000592.txt : 20010122 0000912057-01-000592.hdr.sgml : 20010122 ACCESSION NUMBER: 0000912057-01-000592 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20010108 GROUP MEMBERS: PEARSON AG GROUP MEMBERS: PEARSON DBC HOLDINGS INC. GROUP MEMBERS: PEARSON INC. GROUP MEMBERS: PEARSON LONGMAN,INC. GROUP MEMBERS: PEARSON NETHERLANDS B.V. GROUP MEMBERS: PEARSON OVERSEAS HOLDINGS LTD. GROUP MEMBERS: PEARSON PLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DATA BROADCASTING CORPORATION CENTRAL INDEX KEY: 0000888165 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 133668779 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-42462 FILM NUMBER: 1503521 BUSINESS ADDRESS: STREET 1: 22 CROSBY DRIVE CITY: BEDFORD STATE: MA ZIP: 01730 BUSINESS PHONE: 7816878800 MAIL ADDRESS: STREET 1: 22 CROSBY DRIVE CITY: BEDFORD STATE: MA ZIP: 01730 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PEARSON PLC CENTRAL INDEX KEY: 0000938323 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 3 BURLINGTON GARDENS STREET 2: BANK OF NEW YORK CITY: LONDON UK W1X 1LE STATE: X0 ZIP: 00000 BUSINESS PHONE: 4420744120 MAIL ADDRESS: STREET 1: 3 BURLINGTON GARDENS CITY: LONDON UK W1X 1LE STATE: X0 ZIP: 00000 SC 13D/A 1 a2034612zsc13da.txt SCHEDULE 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ----------------- SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 2)(1) DATA BROADCASTING CORPORATION - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $ .01 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 237596101 - -------------------------------------------------------------------------------- (CUSIP Number) Philip Hoffman c/o Pearson Inc. 1330 Avenue of the Americas, 7th Floor New York, New York 10019 (212) 641-2421 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) With Copies To: Howard A. Kenny, Esq. Morgan, Lewis & Bockius LLP 101 Park Avenue New York, New York 10178 (212) 309-6000 December 27, 2000 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of This Statement) If the filing person has previously filed a statement on Schedule 13D to report the acquisition that 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 |_|. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. SEE Rule 13d-7(b) for other parties to whom copies are to be sent. (Continued on following pages) (Page 1 of 19 Pages) - ---------- (1) 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 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).
------------------------------------------------ ----------------- ------------------------------------------------ CUSIP No. 237596101 13D Page 2 of 19 Pages ------------ -- --- ------------------------------------------------ ----------------- ------------------------------------------------ ------------ ------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) PEARSON PLC EIN: ------------ ------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ ------------ ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY ------------ ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* NOT APPLICABLE ------------ ------------------------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) / / ------------ ------------------------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION ENGLAND & WALES ---------------------- ------- ------------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SEE ITEM 5 OF ATTACHED SCHEDULE SHARES ------- ------------------------------------------------------------------------------------ BENEFICIALLY OWNED BY 8 SHARED VOTING POWER* EACH REPORTING 0 PERSON WITH ------- ------------------------------------------------------------------------------------ 9 SOLE DISPOSITIVE POWER SEE ITEM 5 OF ATTACHED SCHEDULE ------- ------------------------------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 0 ---------------------- ------- ------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON SEE ITEM 5 OF ATTACHED SCHEDULE ------------ ------------------------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / ------------ ------------------------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) SEE ITEM 5 OF ATTACHED SCHEDULE ------------ ------------------------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* CO ------------ ------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! -2-
------------------------------------------------ ----------------- ------------------------------------------------ CUSIP No. 237596101 13D Page 3 of 19 Pages ---------- -- --- ------------------------------------------------ ----------------- ------------------------------------------------ ------------ ------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) PEARSON OVERSEAS HOLDINGS LTD. EIN: ------------ ------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ ------------ ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY ------------ ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* NOT APPLICABLE ------------ ------------------------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) / / ------------ ------------------------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION ENGLAND & WALES ---------------------- ------- ------------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SEE ITEM 5 OF ATTACHED SCHEDULE SHARES ------- ------------------------------------------------------------------------------------ BENEFICIALLY OWNED BY 8 SHARED VOTING POWER EACH REPORTING 0 PERSON WITH ------- ------------------------------------------------------------------------------------ 9 SOLE DISPOSITIVE POWER SEE ITEM 5 OF ATTACHED SCHEDULE ------- ------------------------------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 0 ---------------------- ------- ------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON SEE ITEM 5 OF ATTACHED SCHEDULE ------------ ------------------------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / ------------ ------------------------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) SEE ITEM 5 OF ATTACHED SCHEDULE ------------ ------------------------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* CO ------------ ------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! -3-
-------------------------------------------- ---------------- ----------------------------------------------------- CUSIP No. 237596101 13D Page 4 of 19 Pages ---------- -- --- -------------------------------------------- ---------------- ----------------------------------------------------- ------------ ------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) PEARSON NETHERLANDS B.V. EIN: ------------ ------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ ------------ ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY ------------ ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* NOT APPLICABLE ------------ ------------------------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) / / ------------ ------------------------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION NETHERLANDS ---------------------- ------- ------------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SEE ITEM 5 OF ATTACHED SCHEDULE SHARES ------- ------------------------------------------------------------------------------------ BENEFICIALLY OWNED BY 8 SHARED VOTING POWER EACH REPORTING 0 PERSON WITH ------- ------------------------------------------------------------------------------------ 9 SOLE DISPOSITIVE POWER SEE ITEM 5 OF ATTACHED SCHEDULE ------- ------------------------------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 0 ---------------------- ------- ------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON SEE ITEM 5 OF ATTACHED SCHEDULE ------------ ------------------------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / ------------ ------------------------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) SEE ITEM 5 OF ATTACHED SCHEDULE ------------ ------------------------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* CO ------------ ------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! -4-
-------------------------------------------- ---------------- ----------------------------------------------------- CUSIP No. 237596101 13D Page 5 of 19 Pages ---------- -- --- -------------------------------------------- ---------------- ----------------------------------------------------- ------------ ------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) PEARSON AG EIN: ------------ ------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ ------------ ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY ------------ ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* NOT APPLICABLE ------------ ------------------------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) / / ------------ ------------------------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION SWITZERLAND ---------------------- ------- ------------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SEE ITEM 5 OF ATTACHED SCHEDULE SHARES ------- ------------------------------------------------------------------------------------ BENEFICIALLY OWNED BY 8 SHARED VOTING POWER EACH REPORTING 0 PERSON WITH ------- ------------------------------------------------------------------------------------ 9 SOLE DISPOSITIVE POWER SEE ITEM 5 OF ATTACHED SCHEDULE ------- ------------------------------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 0 ---------------------- ------- ------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON SEE ITEM 5 OF ATTACHED SCHEDULE ------------ ------------------------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / ------------ ------------------------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) SEE ITEM 5 OF ATTACHED SCHEDULE ------------ ------------------------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* CO ------------ ------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! -5-
-------------------------------------------- ---------------- ----------------------------------------------------- CUSIP No. 237596101 13D Page 6 of 19 Pages ----------- -- --- -------------------------------------------- ---------------- ----------------------------------------------------- ------------ ------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) PEARSON INC. EIN: 51-0261654 ------------ ------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ ------------ ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY ------------ ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* NOT APPLICABLE ------------ ------------------------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) / / ------------ ------------------------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE ---------------------- ------- ------------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SEE ITEM 5 OF ATTACHED SCHEDULE SHARES ------- ------------------------------------------------------------------------------------ BENEFICIALLY OWNED BY 8 SHARED VOTING POWER EACH REPORTING 0 PERSON WITH ------- ------------------------------------------------------------------------------------ 9 SOLE DISPOSITIVE POWER SEE ITEM 5 OF ATTACHED SCHEDULE ------- ------------------------------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 0 ---------------------- ------- ------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON SEE ITEM 5 OF ATTACHED SCHEDULE ------------ ------------------------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / ------------ ------------------------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) SEE ITEM 5 OF ATTACHED SCHEDULE ------------ ------------------------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* CO ------------ ------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! -6-
-------------------------------------------- ---------------- ----------------------------------------------------- CUSIP No. 237596101 13D Page 7 of 19 Pages ------------ -- --- -------------------------------------------- ---------------- ----------------------------------------------------- ------------ ------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) PEARSON LONGMAN, INC. EIN: 13-2971110 ------------ ------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ ------------ ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY ------------ ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* NOT APPLICABLE ------------ ------------------------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) / / ------------ ------------------------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE ---------------------- ------- ------------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SEE ITEM 5 OF ATTACHED SCHEDULE SHARES ------- ------------------------------------------------------------------------------------ BENEFICIALLY OWNED BY 8 SHARED VOTING POWER EACH REPORTING 0 PERSON WITH ------- ------------------------------------------------------------------------------------ 9 SOLE DISPOSITIVE POWER SEE ITEM 5 OF ATTACHED SCHEDULE ------- ------------------------------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 0 ---------------------- ------- ------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON SEE ITEM 5 OF ATTACHED SCHEDULE. ------------ ------------------------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / ------------ ------------------------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) SEE ITEM 5 OF ATTACHED SCHEDULE ------------ ------------------------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* CO ------------ ------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! -7-
-------------------------------------------- ---------------- ----------------------------------------------------- CUSIP No. 237596101 13D Page 8 of 19 Pages ------------ -- --- -------------------------------------------- ---------------- ----------------------------------------------------- ------------ ------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) PEARSON DBC HOLDINGS INC. EIN: 13-4149604 ------------ ------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ ------------ ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY ------------ ------------------------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* NOT APPLICABLE ------------ ------------------------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) / / ------------ ------------------------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE ---------------------- ------- ------------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF 56,424,056 SHARES ------- ------------------------------------------------------------------------------------ BENEFICIALLY OWNED BY 8 SHARED VOTING POWER EACH REPORTING 0 PERSON WITH ------- ------------------------------------------------------------------------------------ 9 SOLE DISPOSITIVE POWER 56,424,056 ------- ------------------------------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 0 ------------ ------------------------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 56,424,056 ------------ ------------------------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / ------------ ------------------------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 61.7% ------------ ------------------------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* CO ------------ ------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! -8- ITEM 1. SECURITY AND ISSUER This Amendment No.2 ("Amendment No.2") to the Statement on Schedule 13D, originally filed on November 24, 1999 (the "Original Statement," as amended by Amendment No.1, filed on March 9, 2000 ("Amendment No.1"), and as so amended, the "Statement"), with respect to the common stock, par value $.01 per share ("Common Stock") of Data Broadcasting Corporation, a Delaware corporation (the "Company"), amends Items 2, 3, 4, 5, 6, and 7 and Schedule B of the Statement. The principal executive office of the Company is 22 Crosby Drive, Bedford, MA 01730. Information given in response to each item shall be deemed incorporated by reference in all other items. Capitalized terms used but not defined in this Amendment No. 2 shall have the respective meanings ascribed to them in the Statement. ITEM 2. IDENTITY AND BACKGROUND Item 2 as set forth in the Statement is amended by the replacement of paragraph (a) with the following: (a) This Statement is being filed by each of the following persons pursuant to Rule 13d-2(a) promulgated by the Securities and Exchange Commission (the "Commission"): (i) Pearson plc, a corporation organized under the laws of England & Wales ("Pearson"); (ii) Pearson Overseas Holdings Ltd., a corporation organized under the laws of England & Wales ("Pearson Overseas"); (iii) Pearson Netherlands B.V., a corporation organized under the laws of the Netherlands ("Pearson Netherlands"); (iv) Pearson AG, a corporation organized under the laws of Switzerland ("Pearson AG"); (v) Pearson Inc., a corporation organized under the laws of Delaware ("Pearson Inc."); (vi) Pearson Longman, Inc., a corporation organized under the laws of Delaware ("Pearson Longman"); and (vii) Pearson DBC Holdings Inc. ("DBC Holdings") and, collectively with Pearson, Pearson Overseas, Pearson Netherlands, Pearson AG, Pearson Inc. and Pearson Longman, the "Reporting Persons"). Pearson Holdings Inc., a corporation organized under the laws of Delaware, a reporting person on the filing of the Original Statement and Amendment No.1, is no longer a controlling person of the Company and, therefore, is no longer a reporting person for purposes of this Statement. Pearson is an international media company which is the majority stockholder of Pearson Overseas. Pearson Overseas is an investment holding company which owns 100% of Pearson Netherlands. Pearson Netherlands is a holding company which owns 100% of Pearson AG. Pearson AG is a holding company which is the majority stockholder of Pearson Inc. Pearson Inc. is a holding company which owns 100% of Pearson Longman. Pearson Longman is a holding company which owns 100% of DBC Holdings. DBC Holdings is a holding company which owns approximately 61% of the Company. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Item 3 as set forth in the Statement is amended and restated to read in its entirety as follows: Not Applicable. -9- ITEM 4. PURPOSES OF TRANSACTIONS Item 4 as set forth in the Statement is amended and restated to read in its entirety as: On November 14, 1999, the Company, Pearson Longman, Detective Merger-Sub, Inc., a wholly-owned subsidiary of the Company (the "Merger-Sub"), and Interactive Data Corporation, a corporation organized under the laws of Delaware ("Interactive"), and on such date a wholly owned subsidiary of Pearson Longman, entered into the Agreement and Plan of Merger (as amended by Amendment No.1 to the Agreement and Plan of Merger, dated as of January 10, 2000, the "Merger Agreement"), a copy of which has been filed as an exhibit to Amendment No. 1. The Merger Agreement provided, among other things, for the merger of Merger-Sub with and into Interactive (the "Merger"), with Interactive to be the surviving corporation and a wholly-owned subsidiary of the Company following the Merger. Upon the effectiveness of the Merger (the "Effective Time"), each issued and outstanding share of capital stock of Merger-Sub was converted into and became one fully paid and non-assessable share of common stock of Interactive. Further, upon the Merger, the issued and outstanding shares of capital stock of Interactive were converted into 56,423,949 shares of the Company which, when added to the 107 additional shares of the Company owned by Pearson Longman, resulted in the ownership by Pearson Longman, the previous owner of 100% of Interactive, of approximately 61% of the Company. Pursuant to the Merger Agreement, the Company agreed (i) to cause the shares of Common Stock to be received by Pearson Longman in the Merger to be approved for listing on the NASDAQ National Market, (ii) if necessary, to promptly make an appropriate filing with the National Association of Securities Dealers, Inc. regarding the change of control of DBC Securities, Inc. and to file any required notices with, and obtain any required approvals from, state securities regulators in connection with such change of control and (iii) to increase the size of the board of directors of the Company to consist of ten directors, including (A) Allan R. Tessler, Alan J. Hirschfield and Carl Spielvogel and (B) seven directors designated by Pearson Longman. Messrs. Robert Berkley, Stuart Clark, John Fallon, Donald Greenberg, Stephen Hill, Philip Hoffman and John Makinson were designated by Pearson Longman to serve as members of the board of directors of the Company. As of October 23, 2000, Messrs. Berkley and Makinson have resigned as directors of the Company. As of such date, Gloria Samuels and Giles Spackman have been elected as directors of the Company and have replaced Messrs. Berkley and Makinson. Prior to December 14, 2000, Mr. Spielvogel resigned as a director of the Company. In connection with the Merger, the Company filed an Amended and Restated Certificate of Incorporation to increase the number of authorized shares of Common Stock from 75,000,000 shares to 200,000,000 shares. In connection with the execution of the Merger Agreement, Interactive entered into a Voting and Standstill Agreement with each of Alan J. Hirschfield Living Trust and AFT/FGT Family Partners and Tessler Family Limited Partnership, stockholders of the Company. These Voting and Standstill Agreements terminated upon the Effective Time. On December 27, 2000, Pearson Longman and DBC Holdings entered into a Contribution Agreement (the "Contribution Agreement"), a copy of which has been filed as an -10- exhibit hereto. The Contribution Agreement provided for the contribution of all of the shares of the Company owned by Pearson Longman to DBC Holdings effective as of December 27, 2000. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER Item 5 as set forth in the Statement is amended and restated to read in its entirety as follows: (a) DBC Holdings owns 56,424,056 shares of Common Stock, representing approximately 61.7% of the issued and outstanding shares of Common Stock. For purposes of Rule 13d-3 promulgated under the Exchange Act, Pearson, Pearson Overseas, Pearson Netherlands, Pearson AG, Pearson Inc. and Pearson Longman, which are affiliates of DBC Holdings, may be deemed to beneficially own the shares indirectly as a result of their control relationship with DBC Holdings. Any such beneficial ownership would represent the same sole voting and dispositive power exercised by DBC Holdings over the shares. Each of the Reporting Persons other than DBC Holdings disclaims beneficial ownership of the shares. (b) The responses of the Reporting Persons to Items (7) through (11) of the portions of pages 2 through 8 hereto which relate to shares of Common Stock beneficially owned are incorporated herein by reference. (c) Except as described in the response to Item 4, there have been no transactions in the shares of Common Stock during the past sixty days by any Reporting Person or any other person listed on Schedule B. (d) No person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares of Common Stock beneficially owned by DBC Holdings. (e) Not applicable. Except as described in this response to Item 5, none of the persons listed on Schedule B beneficially own any shares of Common Stock. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Item 6 as set forth in the Statement is amended by the addition of the following at the end thereof: Subsequent to the consummation of the contribution of the shares of the Company to DBC Holdings pursuant to the Contribution Agreement, DBC Holdings, as successor-in-interest to Pearson Longman, has assumed the rights and obligations of Pearson Longman under the Registration Rights Agreement referred to in Item 6. -11- ITEM 7. MATERIALS TO BE FILED AS EXHIBITS The following additional material is filed as an Exhibit to this Amendment No. 2: Exhibit A: Contribution Agreement, dated as of December 27, 2000, by and between Pearson Longman, Inc. and Pearson DBC Holdings Inc. -12- SIGNATURE After reasonable inquiry and to the best of the knowledge and belief of each of the undersigned, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: January 8, 2001 Pearson plc By: /s/ JULIA M. CASSON ------------------------------ Name: Julia M. Casson Title: Company Secretary Pearson Overseas Holdings Ltd. By: /s/ STEPHEN JONES ------------------------------ Name: Stephen Jones Title: Secretary Pearson Netherlands B.V. By: /s/ GEORGE F. NICOLAI ------------------------------ Name: George F. Nicolai Title: Director Pearson AG By: /s/ JOSEF GRAND ------------------------------ Name: Josef Grand Title: Director Pearson Inc. By: /s/ THOMAS WHARTON ----------------------------- Name: Thomas Wharton Title: Secretary and Vice President of Taxation -13- Pearson Holdings, Inc. By: /s/ THOMAS WHARTON ------------------------------ Name: Thomas Wharton Title: Secretary and Vice President of Taxation Pearson Longman, Inc. By: /s/ WILLIAM LINCOLN ------------------------------ Name: William Lincoln Title: President Pearson DBC Holdings Inc. By: /s/ WILLIAM LINCOLN ------------------------------ Name: William Lincoln Title: President -14- SCHEDULE A NAME OF REPORTING PERSON ADDRESS OF THE PRINCIPAL OFFICE - ------------------------ ------------------------------- Pearson 3 Burlington Gardens, London W1X 1LE, England Pearson Overseas 3 Burlington Gardens, London W1X 1LE, England Pearson Netherlands Media Centre, 4th Floor, Room 405, Sumatralaan 45, 1217 GP Hilversum, The Netherlands Pearson AG Chollerstrasse 37, CH-6301 Zug, Switzerland Pearson Inc. 1330 Avenue of the Americas, 7th Floor, New York, New York 10019 Pearson Longman c/o Headland Digital Media, Inc., 444 Spear Street, San Francisco, California 94105 DBC Holdings c/o Headland Digital Media, Inc., 444 Spear Street, San Francisco, California 94105 -15- SCHEDULE B PEARSON PLC
Name Position Principal Occupation/Business Address - ------------------------ -------------------------------- ------------------------------------------------------------ Lord Stevenson Chairman Director/Little Tufton House, 3 Dean Trench Street, London SW1P 3HB Marjorie M. Scardino Chief Executive Director/Pearson plc, 3 Burlington Gardens, London W1X 1LE David C. M. Bell Executive Director Director/Pearson plc, 3 Burlington Gardens, London W1X 1LE John C. Makinson Finance Director Finance Director/Pearson plc, 3 Burlington Gardens, London W1X 1LE Lord Burns Non-Executive Director Member of House of Lords/13 North Avenue, London W13 8AP Gill M. Lewis Non-Executive Director Managing Partner/Heidrick & Struggles, 100 Picaddilly, London W1V 9FN Reuben Mark Non-Executive Director Chairman and Chief Executive Officer/Colgate-Palmolive Co, 300 Park Avenue, New York, NY 10022-7499 Vernon L. Sankey Non-Executive Director Director/The Cherubs, Parsonnage Lane, Farnham Common, Bucks SL2 3NZ Rana Talwar Non-Executive Director Director/Standard Chartered Bank PLC, 1 Aldermanbury Square, London EC2V 7SB Julia M. Casson Secretary Secretary/Pearson plc, 3 Burlington Gardens, London W1X 1LE
-16- PEARSON OVERSEAS HOLDINGS LTD.
Name Position Principal Occupation/Business Address - ------------------------ -------------------------------- ------------------------------------------------------------ David H. Colville Director Chartered Accountant/Pearson plc, 3 Burlington Gardens, London W1X 1LE John C. Makinson Director Finance Director/Pearson plc, 3 Burlington Gardens, London W1X 1LE Peter R. Gill Director Director, Financial Operations/Pearson plc, 3 Burlington Gardens, London W1X 1LE Marjorie M. Scardino Director Director/Pearson plc, 3 Burlington Gardens, London W1X 1LE Alan C. Miller Director Director/Pearson plc, 3 Burlington Gardens, London W1X 1LE Stephen Jones Secretary Assistant Secretary/Pearson plc, 3 Burlington Gardens, London W1X 1LE PEARSON NETHERLANDS B.V. Name Position Principal Occupation/Business Address - ------------------------ -------------------------------- ------------------------------------------------------------ George F. Nicolai Director Director/MeesPierson Trust, Aert van Nesstraat 45, P.O. Box 548, 3000 AM Rotterdam Jan Francis van der Drift Director Businessman/Leeteinde 20-22, 1151 AK Broek in Waterland, Holland Matthieu van Sint Truiden Director Attorney/Nauta Dutilh, Postbus 7113, 1007 JC Amsterdam David H. Colville Director Group Tax Director/Pearson plc, 3 Burlington Gardens, London W1X 1LE
-17- PEARSON AG
Name Position Principal Occupation/Business Address - ------------------------ -------------------------------- ------------------------------------------------------------ Peter R. Gill Chairman Director, Financial Operations/Pearson plc, 3 Burlington Gardens, London W1X 1KE Josef Grand Director Certified Public Accountant/Bundtacherstrasse 35, 8127 Forch, Switzerland Martin Frey Member Attorney/Baker & McKenzie, Zollikerstrasse 225, Postfach 57, 8034 Zurich Philip J. Hoffman Member Chief Executive Officer/The Learning Network Inc., 1330 Avenue of the Americas, 7th Floor, NY 10019 PEARSON INC. Name Position Principal Occupation/Business Address - ------------------------ -------------------------------- ------------------------------------------------------------ Philip J. Hoffman Director, President Chief Executive Officer/The Learning Network Inc., 1330 Avenue of the Americas, 7th Floor, NY 10019 Randall Keller Director, Executive Head of Human Resource Dept./Pearson Inc., 1330 Avenue Vice President - Human Resources of the Americas, 7th Floor, New York, NY 10019 John C. Makinson Director Finance Director/Pearson plc, 3 Burlington Gardens, London W1X 1LE Thomas Wharton Director, Vice President of Vice President of Taxation/Pearson Inc., 1330 Avenue Taxation, Secretary of the Americas, 7th Floor, New York, NY 10019 Mike Fortini Vice President Vice President of Finance/Pearson Inc., 1330 Avenue of the Americas, 7th Floor, New York, NY 10019 Shaheda Sayed Assistant Secretary Director of Taxation/Pearson Inc., 1330 Avenue of the Americas, 7th Floor, New York, NY 10019 Kenneth J. Lockhart Vice President of Real Estate Vice President of Real Estate/Pearson plc, 3 Burlington Gardens, London W1X 1LE
-18-
Name Position Principal Occupation/Business Address - ------------------------ -------------------------------- ------------------------------------------------------------ Richard Koplitz Vice President of Global Vice President of Global Purchasing/Pearson Inc., 1330 Purchasing Avenue of the Americas, 7th Floor, New York, NY 10019 Susan Costomiris Controller Controller/Pearson Inc., 1330 Avenue of the Americas, 7th Floor, New York, NY 10019 PEARSON LONGMAN, INC. Name Position Principal Occupation/Business Address - ------------------------ -------------------------------- ------------------------------------------------------------ William Lincoln President Vice President of Operations/Pearson Television North America, 2700 Colorado Ave., Suite 450, Santa Monica, CA 90404 Mark Nieker Treasurer President/Headland Digital Media, Inc., 444 Spear Street, San Francisco, CA 94105 William Cowan Assistant Secretary Attorney/Rosenthal and Schanfield, 55 East Monroe Street, Chicago, Illinois 60603 PEARSON DBC HOLDINGS INC. Name Position Principal Occupation/Business Address - ------------------ -------------------------------- --------------------------------------------------------------- William Lincoln President Vice President of Operations/Pearson Television North America, 2700 Colorado Ave., Suite 450, Santa Monica, CA 90404 Evan Garber Secretary General Counsel and Vice President/The Learning Network, Inc. and Headland Digital Media, Inc., 575 Market Street, San Francisco, CA 94105 Mark Nieker Treasurer President/Headland Digital Media, Inc.,444 Spear Street, San Francisco, CA 94105 William Cowan Assistant Secretary Attorney/Rosenthal and Schanfield, 55 East Monroe Street, Chicago, Illinois 60603
-19- EXHIBIT INDEX The following additional material is filed as an Exhibit to this Amendment No. 2: Exhibit A: Contribution Agreement, dated as of December 27, 2000, by and between Pearson Longman, Inc. And Pearson DBC Holdings Inc. -20- EX-99.1 2 a2034612zex-99_1.txt EXHIBIT 99.1 Exhibit A CONTRIBUTION AGREEMENT This CONTRIBUTION AGREEMENT (this "AGREEMENT") is dated as of December 27, 2000 by and between Pearson Longman, Inc, a Delaware corporation ("PARENT") and Pearson DBC Holdings Inc., a Delaware corporation ("SUBSIDIARY"). W I T N E S S E T H: WHEREAS, Parent owns all of the issued and outstanding capital stock of Subsidiary; WHEREAS, Parent also owns 56,423,949 shares of common stock (the "DBC STOCK") of Data Broadcasting Corporation, a Delaware corporation ("DBC"); WHEREAS, Parent wishes to contribute to Subsidiary, and Subsidiary wishes to accept the contribution from Parent of, the DBC Stock; and WHEREAS, for U.S. federal income tax purposes, it is intended that the contribution pursuant to this Agreement shall qualify as a tax-free reorganization under Section 351 of the U.S. Internal Revenue Code of 1986, as amended. NOW, THEREFORE, in consideration of the mutual covenants and agreements set forth in this Agreement, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto agree as follows: 1. CONTRIBUTION OF SHARES. Pursuant to Section 2 hereof, Parent hereby contributes and delivers to Subsidiary, and Subsidiary hereby accepts the contribution and delivery from Parent of, the DBC Stock. 2. DELIVERIES. Parent is delivering herewith to Subsidiary, and Subsidiary hereby acknowledges receipt of: (a) a certificate or certificates evidencing the DBC Stock, duly endorsed in blank or accompanied by stock powers or other transfer documents, in each case sufficient to convey to the Subsidiary good and marketable title to, and legal and beneficial ownership of, the DBC Stock free and clear of any liens; and (b) to the extent that they are in Parent's possession, the minute books, corporate seals and other corporate or financial books, records and documents of or pertaining to DBC and its respective subsidiaries, if any. 3. FURTHER ASSURANCES. (a) Each of the parties hereto shall promptly do, make, execute or deliver, or cause to be done, made, executed or delivered, all such further acts, documents and things as the other party hereto may reasonably require from time to time for the purpose of giving effect to this Agreement and shall use its best efforts and take all such steps as may be reasonably within its power to implement to their full extent the provisions of this Agreement. The parties hereto shall cooperate in causing DBC to issue, and register in its respective stock book, a stock certificate in the name of Subsidiary reflecting Subsidiary's ownership of the DBC Stock. (b) If any contract between DBC Contributed Subsidiary (or a subsidiary thereof) and a third party requires consent in connection with the exchange of such capital stock and such consent has not been obtained as of the date of this Agreement, Parent and Subsidiary shall cooperate to the extent reasonably practicable to obtain such consent. 4. EFFECTIVE TIME. This Agreement and each provision contained herein shall be effective as of 1:00 P.M. Eastern Standard Time on the date hereof. 5. INVESTMENT REPRESENTATION. Subsidiary is acquiring the DBC Stock for investment and not with a view to distribution (within the meaning of the Securities Act of 1933 (the "SECURITIES ACT")), without prejudice, however, to its right at all times to sell or otherwise dispose of all or part of the DBC Stock pursuant to an effective registration statement under the Securities Act and applicable state securities laws, or under an exemption from such registration available under the Securities Act (including Rule 144 and Rule 144A) and applicable state securities laws. 6. THIRD PARTY BENEFICIARIES. This Agreement is for the sole benefit of the parties hereto and their successors and assigns, and nothing herein, express or implied, is intended to or shall confer upon any other person or entity any legal or equitable right, benefit or remedy of any nature whatsoever under or by reason of this Agreement. 7. COUNTERPARTS. This Agreement may be executed in any number of counterparts, each of which will be deemed an original, but all of which together will constitute one and the same instrument. 8. GOVERNING LAW. This Agreement shall be governed by and construed in accordance with the laws of the State of New York, without giving effect to any choice of law or conflict of law provision or rule (whether of the State of New York or any other jurisdiction) that would cause the application of the laws of any other jurisdiction other than the State of New York. [SIGNATURE PAGE FOLLOWS.] IN WITNESS WHEREOF, this Agreement has been duly executed and delivered by a duly authorized officer of each party hereto as of the date first above written. PEARSON LONGMAN, INC. By: /s/ Mark Nieker -------------------------------- Name: Mark Nieker Title: PEARSON DBC HOLDINGS INC. By: /s/ Mark Nieker -------------------------------- Name: Mark Nieker Title: -----END PRIVACY-ENHANCED MESSAGE-----