-----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, EWHBBg5wPQJt9sUZxy+zvr5mr2fG4yZoUZ4Hy/M+BxS60qimM0ZSEbeshWtEE10i /oK19VlH8wbTWdo4trX7iQ== 0000950135-06-003799.txt : 20060606 0000950135-06-003799.hdr.sgml : 20060606 20060606140109 ACCESSION NUMBER: 0000950135-06-003799 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060606 DATE AS OF CHANGE: 20060606 GROUP MEMBERS: ADVENT ENERGY II LIMITED PARTNERSHIP GROUP MEMBERS: ADVENT INTERNATIONAL LIMITED PARTNERSHIP GROUP MEMBERS: ADVENT PARTNERS (NA) GPE-IV LIMITED PARTNERSHIP GROUP MEMBERS: ADVENT PARTNERS DMC III LIMITED PARTNERSHIP GROUP MEMBERS: ADVENT PARTNERS GPE-III LIMITED PARTNERSHIP GROUP MEMBERS: ADVENT PARTNERS GPE-IV LIMITED PARTNERSHIP GROUP MEMBERS: ADVENT PARTNERS II LIMITED PARTNERSHIP GROUP MEMBERS: ADVENT PGGM GLOBAL LIMITED PARTNERSHIP GROUP MEMBERS: DIGITAL MEDIA & COMMUNICATIONS III LIMITED PARTNERSHIP GROUP MEMBERS: DIGITAL MEDIA & COMMUNICATIONS III-A LIMITED PARTNERSHIP GROUP MEMBERS: DIGITAL MEDIA & COMMUNICATIONS III-B LIMITED PARTNERSHIP GROUP MEMBERS: DIGITAL MEDIA & COMMUNICATIONS III-C LIMITED PARTNERSHIP GROUP MEMBERS: DIGITAL MEDIA & COMMUNICATIONS III-D C.V. GROUP MEMBERS: DIGITAL MEDIA & COMMUNICATIONS III-E C.V. GROUP MEMBERS: GLOBAL PRIVATE EQUITY III LIMITED PARTNERSHIP GROUP MEMBERS: GLOBAL PRIVATE EQUITY IV LIMITED PARTNERSHIP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASPEN TECHNOLOGY INC /DE/ CENTRAL INDEX KEY: 0000929940 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] IRS NUMBER: 042739697 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44607 FILM NUMBER: 06888762 BUSINESS ADDRESS: STREET 1: TEN CANAL PARK CITY: CAMBRIDGE STATE: MA ZIP: 02141 BUSINESS PHONE: 6179491000 MAIL ADDRESS: STREET 1: TEN CANAL PARK CITY: CAMBRIDGE STATE: MA ZIP: 02141 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ADVENT INTERNATIONAL CORP/MA CENTRAL INDEX KEY: 0001034196 IRS NUMBER: 042840139 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 75 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6179519400 MAIL ADDRESS: STREET 1: 75 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 SC 13D/A 1 b61200atsc13dza.txt ASPEN TECHNOLOGY, INC. CUSIP NO. 045327103 Schedule 13D Page 1 of 23 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 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. 1)(1) Aspen Technology, Inc. - -------------------------------------------------------------------------------- (Name of issuer) Common Stock, par value $0.10 - -------------------------------------------------------------------------------- (Title of class of securities) 045327103 - -------------------------------------------------------------------------------- (CUSIP number) Jarlyth H. Gibson, Assistant Compliance Officer 617-951-9493 C/o Advent International Corporation, 75 State Street, 29th Floor Boston, MA 02109 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) May 18, 2006 - -------------------------------------------------------------------------------- (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 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 23 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. 045327103 Schedule 13D Page 2 of 23
- --------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Advent International Corporation - --------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------------------- 4 Source of Funds WC - --------------------------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e) - --------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 33,136,006 -------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER None -------------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON 33,136,006 -------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER None - --------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 33,136,006 - --------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 42.3% - --------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO, IA - ---------------------------------------------------------------------------------------------------
CUSIP NO. 045327103 Schedule 13D Page 3 of 23
- --------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Advent International Limited Partnership - --------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------------------- 4 Source of Funds WC - --------------------------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e) - --------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 32,521,947 -------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER None -------------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON 32,521,947 -------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER None - --------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 32,521,947 - --------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 41.8% - --------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ---------------------------------------------------------------------------------------------------
CUSIP NO. 045327103 Schedule 13D Page 4 of 23
- --------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Global Private Equity IV Limited Partnership - --------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------------------- 4 Source of Funds WC - --------------------------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e) - --------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 16,197,804 -------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER None -------------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON 16,197,804 -------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER None - --------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 16,197,804 - --------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 26.4% - --------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ---------------------------------------------------------------------------------------------------
CUSIP NO. 045327103 Schedule 13D Page 5 of 23
- --------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Global Private Equity III Limited Partnership - --------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------------------- 4 Source of Funds WC - --------------------------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e) - --------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 4,639,041 -------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER None -------------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON 4,639,041 -------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER None - --------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,639,041 - --------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.3% - --------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ---------------------------------------------------------------------------------------------------
CUSIP NO. 045327103 Schedule 13D Page 6 of 23
- --------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Advent Partners GPE-IV Limited Partnership - --------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------------------- 4 Source of Funds WC - --------------------------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e) - --------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Bermuda - --------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 205,017 -------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER None -------------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON 205,017 -------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER None - --------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 205,017 - --------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.5% - --------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ---------------------------------------------------------------------------------------------------
CUSIP NO. 045327103 Schedule 13D Page 7 of 23
- --------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Advent PGGM Global Limited Partnership - --------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------------------- 4 Source of Funds WC - --------------------------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e) - --------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 463,882 -------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER None -------------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON 463,882 -------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER None - --------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 463,882 - --------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.0% - --------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ---------------------------------------------------------------------------------------------------
CUSIP NO. 045327103 Schedule 13D Page 8 of 23
- --------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Advent Partners GPE-III Limited Partnership - --------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------------------- 4 Source of Funds WC - --------------------------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e) - --------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 39,723 -------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER None -------------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON 39,723 -------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER None - --------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 39,723 - --------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.1% - --------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ---------------------------------------------------------------------------------------------------
CUSIP NO. 045327103 Schedule 13D Page 9 of 23
- --------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Advent Partners (NA) GPE-III Limited Partnership - --------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------------------- 4 Source of Funds WC - --------------------------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e) - --------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 11,807 -------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER None -------------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON 11,807 -------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER None - --------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,807 - --------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% - --------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ---------------------------------------------------------------------------------------------------
CUSIP NO. 045327103 Schedule 13D Page 10 of 23
- --------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Digital Media & Communications III Limited Partnership - --------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------------------- 4 Source of Funds WC - --------------------------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e) - --------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 2,141,868 -------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER None -------------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON 2,141,868 -------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER None - --------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,141,868 - --------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.5% - --------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ---------------------------------------------------------------------------------------------------
CUSIP NO. 045327103 Schedule 13D Page 11 of 23
- --------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Digital Media & Communications III-A Limited Partnership - --------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------------------- 4 Source of Funds WC - --------------------------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e) - --------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 1,060,396 -------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER None -------------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON 1,060,396 -------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER None - --------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,060,396 - --------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.3% - --------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ---------------------------------------------------------------------------------------------------
CUSIP NO. 045327103 Schedule 13D Page 12 of 23
- --------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Digital Media & Communications III-B Limited Partnership - --------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------------------- 4 Source of Funds WC - --------------------------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e) - --------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 265,044 -------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER None -------------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON 265,044 -------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER None - --------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 265,044 - --------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.6% - --------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ---------------------------------------------------------------------------------------------------
CUSIP NO. 045327103 Schedule 13D Page 13 of 23
- --------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Digital Media & Communications III-C Limited Partnership - --------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------------------- 4 Source of Funds WC - --------------------------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e) - --------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 4,241,474 -------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER None -------------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON 4,241,474 -------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER None - --------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,241,474 - --------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.6% - --------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ---------------------------------------------------------------------------------------------------
CUSIP NO. 045327103 Schedule 13D Page 14 of 23
- --------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Digital Media & Communications III-D C.V. - --------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------------------- 4 Source of Funds WC - --------------------------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e) - --------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Netherlands - --------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 795,242 -------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER None -------------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON 795,242 -------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER None - --------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 795,242 - --------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.7% - --------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ---------------------------------------------------------------------------------------------------
CUSIP NO. 045327103 Schedule 13D Page 15 of 23
- --------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Digital Media & Communications III-E C.V. - --------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------------------- 4 Source of Funds WC - --------------------------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e) - --------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Netherlands - --------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 530,198 -------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER None -------------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON 530,198 -------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER None - --------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 530,198 - --------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.2% - --------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ---------------------------------------------------------------------------------------------------
CUSIP NO. 045327103 Schedule 13D Page 16 of 23
- --------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Advent Partners DMC III Limited Partnership - --------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------------------- 4 Source of Funds WC - --------------------------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e) - --------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 122,922 -------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER None -------------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON 122,922 -------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER None - --------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 122,922 - --------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.3% - --------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ---------------------------------------------------------------------------------------------------
CUSIP NO. 045327103 Schedule 13D Page 17 of 23
- --------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Advent Energy II Limited Partnership - --------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------------------- 4 Source of Funds WC - --------------------------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e) - --------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 2,186,998 -------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER None -------------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON 2,186,998 -------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER None - --------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,186,998 - --------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.6% - --------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ---------------------------------------------------------------------------------------------------
CUSIP NO. 045327103 Schedule 13D Page 18 of 23
- --------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Advent Partners II Limited Partnership - --------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------------------- 4 Source of Funds WC - --------------------------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e) - --------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 234,590 -------------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER None -------------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON 234,590 -------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER None - --------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 234,590 - --------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.5% - --------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ---------------------------------------------------------------------------------------------------
CUSIP NO. 045327103 Schedule 13D Page 19 of 23 Item 1. Security and Issuer This statement on Amendment No. 1 to Schedule 13D ("Amendment No. 1") relates to the Reporting Persons' (as defined in Item 2 below) beneficial ownership interest in the Common Stock, par value $0.10 per share, of Aspen Technology, Inc., a Delaware corporation (the "Corporation"). The address of the principal executive office of the Corporation is Ten Canal Park, Cambridge, MA 02141. This Amendment No. 1 amends the initial statement on Schedule 13D filed on August 22, 2003 (the "Initial Statement"), filed by the Reporting Persons (as defined herein). This Amendment No. 1 is being filed by the Reporting Persons to amend Item 2, Item 5 and Schedule A to the Initial Statement. Capitalized terms used but not defined herein shall have the meanings ascribed to them in the Initial Statement. The Initial Statement is amended as follows: Item 2. Identity and Background (a) (b) (c) (f) This statement is being filed by the following entities: (1) Advent International Corporation, a Delaware corporation; (2) Advent International Limited Partnership, a Delaware limited partnership; (3) Global Private Equity IV Limited Partnership, a Delaware limited partnership; (4) Advent Partners GPE-IV Limited Partnership, a Delaware limited partnership; (5) Advent PGGM Global Limited Partnership, a Delaware limited partnership; (6) Advent Partners GPE-III Limited Partnership, a Delaware limited partnership; (7) Advent Partners (NA) GPE-III Limited Partnership, a Delaware limited partnership; (8) Digital Media & Communications III Limited Partnership, a Delaware limited partnership; (9) Digital Media & Communications III-A Limited Partnership, a Delaware limited partnership; (10) Digital Media & Communications III-B Limited Partnership, a Delaware limited partnership; (11) Digital Media & Communications III-C Limited Partnership, a Delaware limited partnership; (12) Digital Media & Communications III-D C.V., a Netherlands limited partnership; (13) Digital Media & Communications III-E C.V., a Netherlands limited partnership; (14) Advent Partners DMC-III Limited Partnership, a Delaware limited partnership; CUSIP NO. 045327103 Schedule 13D Page 20 of 23 (15) Advent Energy II Limited Partnership, a Delaware limited partnership; (16) Advent Partners II Limited Partnership, a Delaware limited partnership; (17) Global Private Equity III Limited Partnership, a Delaware limited partnership. Advent International Corporation is a Delaware corporation with its principal and business address at 75 State Street, Boston, Massachusetts 02109. Advent International Corporation is an investment advisory firm. Advent International Corporation is the General Partner of Advent Partners II Limited Partnership, Advent Partners DMC III Limited Partnership, Advent Partners GPE-IV Limited Partnership, Advent Partners GPE-III Limited Partnership, Advent Partners (NA) GPE-III Limited Partnership and Advent International Limited Partnership, which is in turn the general partner of Global Private Equity III Limited Partnership, Global Private Equity IV Limited Partnership, Advent PGGM Global Limited Partnership, Digital Media & Communications III Limited Partnership, Digital Media & Communications III-A Limited Partnership, Digital Media & Communications III-B Limited Partnership, Digital Media & Communications III-C Limited Partnership, Digital Media & Communications III-D C.V., Digital Media & Communications III-E C.V., and Advent Energy II Limited Partnership. The principal business of Advent International Corporation is private equity investments. The principal business of Advent Partners II Limited Partnership, Advent Partners DMC III Limited Partnership, Advent Partners GPE-IV Limited Partnership, Advent Partners GPE-III Limited Partnership, Advent Partners (NA) GPE-III Limited Partnership, Global Private Equity III Limited Partnership, Global Private Equity IV Limited Partnership, Advent PGGM Global Limited Partnership, Digital Media & Communications III Limited Partnership, Digital Media & Communications III-A Limited Partnership, Digital Media & Communications III-B Limited Partnership, Digital Media & Communications III-C Limited Partnership, Digital Media & Communications III-D C.V., Digital Media & Communications III-E C.V., and Advent Energy II Limited Partnership is to provide risk capital for, and make investments in the securities of, privately held and other businesses. The persons serving as directors and executive officers of Advent International Corporation are set forth on Schedule A hereto. The entities listed in subparagraph (1) through (17) above are herein collectively referred to as the "Reporting Persons" and individually as a "Reporting Person." The principal business address of all of the Reporting Persons is c/o Advent International Corporation, 75 State, Boston, MA 02109. (d) (e) During the last five years, none of the Reporting Persons nor any person listed on Schedule A has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). During the last five years, none of the Reporting Persons nor any person listed on Schedule A has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction as a result of which any such person was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities CUSIP NO. 045327103 Schedule 13D Page 21 of 23 subject to, Federal or State securities laws or finding any violations with respect to such laws. Item 5. Interest in Securities of the Issuer. (a) The following table sets forth the aggregate number and percentage of the Common Stock beneficially owned by each Reporting Person named in Item 2 of this statement (based upon 45,221,496 shares of Common Stock outstanding as May 5, 2006). The aggregate number and percentage of the Common Stock beneficially owned by each Reporting Person is calculated in accordance with Rule 13d-3.
Number of Shares ------------------------------------------------- Percentage Under of Shares Reporting Person Common Warrants Total Outstanding - ------------------------------------------------------------ ----------------------------------------------------------------- Global Private Equity IV Limited Partnership (1) 13,261,900 2,935,904 16,197,804 26.4% Advent PGGM Global Limited Partnership (1) 379,802 84,080 463,882 1.0% Global Private Equity III Limited Partnership (1) 3,798,200 840,841 4,639,041 9.3% Digital Media & Communications III Limited Partnership (1) 1,753,648 388,220 2,141,868 4.5% Digital Media & Communications III-A Limited Partnership (1) 868,196 192,200 1,060,396 2.3% Digital Media & Communications III-B Limited Partnership (1) 217,004 48,040 265,044 0.6% Digital Media & Communications III-C Limited Partnership (1) 3,472,694 768,780 4,241,474 8.6% Digital Media & Communications III-D C.V. (1) 651,102 144,140 795,242 1.7% Digital Media & Communications III-E C.V. (1) 434,098 96,100 530,198 1.2% Advent Energy II Limited Partnership (1) 1,790,598 396,400 2,186,998 4.6% Advent Partners GPE-IV Limited Partnership (2) 167,857 37,160 205,017 0.5% Advent Partners GPE-III Limited Partnership (2) 32,523 7,200 39,723 0.1% Advent Partners (NA) GPE-III Limited Partnership (2) 9,667 2,140 11,807 0.0% Advent Partners DMC III Limited Partnership (2) 100,642 22,280 122,922 0.3% Advent Partners II Limited Partnership (2) 192,069 42,521 234,590 0.5% Advent International Limited Partnership (1) 26,627,242 5,894,705 32,521,947 41.8% Advent International Corporation (1), (2) 27,130,000 6,006,006 33,136,006 42.3% Total Group 27,130,000 6,006,006 33,136,006 42.3%
(1) Advent International Corporation ("AIC") is the General Partner of Advent International Limited Partnership ("AILP") which in turn is the General Partner of the indicated Reporting Persons. As such, AIC has the sole power to vote and dispose of the securities owned by the indicated Reporting Persons. The beneficial ownership of AIC and AILP derive from such power. (2) AIC is the General Partner of the indicated Reporting Person. As such, AIC has the sole power to vote and dispose of the securities owned by the indicated reporting persons. The beneficial ownership of AIC derives from such power. (b) Each of the Reporting Persons listed in the table set forth above has sole voting and dispositive power over the Common Stock beneficially owned by it as indicated above. (c) On May 17, 2006, the Reporting Persons converted an aggregate of 30,300 shares of Series D-1 Convertible Preferred Stock ("Series D-1") into 3,000,000 shares of Common Stock at a conversion rate equal to the Series D-1 per share stated value of $333.00 divided by the Series D-1 per share conversion price of $3.33. On May 18, 2006, the Reporting Persons sold an aggregate of 2,900,000 shares of common stock at $11.30 per share in broker transactions pursuant to Rule 144 under the Securities Act of 1933, as amended. CUSIP NO. 045327103 Schedule 13D Page 22 of 23 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. June 6, 2006 Global Private Equity IV Limited Partnership Global Private Equity III Limited Partnership Advent PGGM Global Limited Partnership Digital Media & Communications III Limited Partnership Digital Media & Communications III-A Limited Partnership Digital Media & Communications III-B Limited Partnership Digital Media & Communications III-C Limited Partnership Digital Media & Communications III-D C.V. Digital Media & Communications III-E C.V. Advent Energy II Limited Partnership By: Advent International Limited Partnership, General Partner By: Advent International Corporation, General Partner By: Jarlyth H. Gibson, Assistant Compliance Officer* Advent International Limited Partnership Advent Partners II Limited Partnership Advent Partners GPE-IV Limited Partnership Advent Partners GPE-III Limited Partnership Advent Partners (NA) GPE-III Limited Partnership Advent Partners DMC-III Limited Partnership By: Advent International Corporation, General Partner By: Jarlyth H. Gibson, Assistant Compliance Officer * ADVENT INTERNATIONAL CORPORATION By: Jarlyth H. Gibson, Assistant Compliance Officer * *For all of the above: /s/ Jarlyth H. Gibson - ----------------------------------------------- Jarlyth H. Gibson, Assistant Compliance Officer - --------------------------- CUSIP NO. 045327103 Schedule 13D Page 23 of 23 SCHEDULE A The name and present principal occupation of each executive officer and director of Advent International Corporation is set forth below. The business address of each executive officer and director of Advent International Corporation is c/o Advent International Corporation, 75 State Street, Boston, Massachusetts 02109. All of the persons listed below are United States citizens. I. Advent International Corporation Position with Principal Advent International Occupation Name Corporation (if different) ---- -------------------- -------------- Peter A. Brooke Chairman Thomas H. Lauer Senior Vice President Managing Director Chief Financial Officer Assistant Secretary Executive Officers' Committee Member Ernest G. Bachrach Executive Officers' Committee Member David M. Mussafer Director Executive Officers' Committee Member William C. Schmidt Executive Officers' Committee Member John B. Singer Executive Officers' Committee Member Steven M. Tadler Director Executive Officers' Committee Member Janet L. Hennessy Senior Vice President of Finance Partner Chief Compliance Officer Assistant Secretary John F. Brooke Director General Partner of Brooke Private Equity Mark Hoffman Director Chairman of Cambridge Research Group David W. Watson Secretary Attorney -----END PRIVACY-ENHANCED MESSAGE-----