-----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, NAQPJE5i4Tr/Bo2aGgKOO7OhzaMoqvksmEYzwhB4sMc0oy96FP4J5e4QIT/3jZBL 6ZCkIDfSVP7Pi8k5twM0Wg== 0000950130-97-003072.txt : 19970703 0000950130-97-003072.hdr.sgml : 19970703 ACCESSION NUMBER: 0000950130-97-003072 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970702 SROS: NASD GROUP MEMBERS: GOLDMAN SACHS GROUP LP GROUP MEMBERS: GOLDMAN, SACHS & CO. GROUP MEMBERS: GOLDMAN, SACHS & CO. OHG GROUP MEMBERS: GS ADVISORS II (CAYMAN), L.P. GROUP MEMBERS: GS ADVISORS, L.P. GROUP MEMBERS: GS CAPITAL PARTNERS II (GERMANY) CIVIL LAW PARTNERSHIP GROUP MEMBERS: GS CAPITAL PARTNERS II OFFSHORE L.P. GROUP MEMBERS: GS CAPITAL PARTNERS II, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED ANALYTICAL INDUSTRIES INC CENTRAL INDEX KEY: 0001013243 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 042687849 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-47015 FILM NUMBER: 97635161 BUSINESS ADDRESS: STREET 1: 5051 NEW CENTRE DR CITY: WILMINGTON STATE: NC ZIP: 28403 BUSINESS PHONE: 9103931606 MAIL ADDRESS: STREET 1: 5051 NEW CENTRE DR CITY: WILMINGTON STATE: NC ZIP: 28403 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP LP CENTRAL INDEX KEY: 0000904571 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133501777 STATE OF INCORPORATION: NY FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 SC 13D/A 1 AMENDMENT NO.1 TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 1 Applied Analytical Industries, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.001 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 037939105 ----------------------------------- (CUSIP Number) DAVID J. GREENWALD, ESQ. GOLDMAN, SACHS & CO. 85 BROAD STREET NEW YORK, NEW YORK 10004 (212) 902-1000 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) June 5, 1997 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-(1) (3) or (4), check the following box: ------ Page 1 of 21 Pages - --------------------------- CUSIP NO. 037939105 - --------------------------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person The Goldman Sachs Group, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) ------ (b) ------ - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ------ - -------------------------------------------------------------------------------- 6. Citizenship or place of Organization Delaware - -------------------------------------------------------------------------------- Number of 7. Sole Voting Power Shares Beneficially 0 Owned By ----------------------------------------------------- Each 8. Shared Voting Power Reporting Person With 2,579,976 ----------------------------------------------------- 9. Sole Dispositive Power 0 ----------------------------------------------------- 10. Shared Dispositive Power 2,579,976 ----------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 2,579,976 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 15.8% - -------------------------------------------------------------------------------- 14. Type of Reporting Person HC-PN - -------------------------------------------------------------------------------- Page 2 of 21 Pages - --------------------------- CUSIP NO. 037939105 - --------------------------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Goldman, Sachs & Co. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) ------ (b) ------ - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds WC - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) X ------ - -------------------------------------------------------------------------------- 6. Citizenship or place of Organization New York - -------------------------------------------------------------------------------- Number of 7. Sole Voting Power Shares Beneficially 0 Owned By ----------------------------------------------------- Each 8. Shared Voting Power Reporting Person With 2,579,976 ----------------------------------------------------- 9. Sole Dispositive Power 0 ----------------------------------------------------- 10. Shared Dispositive Power 2,579,976 ----------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 2,579,976 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 15.8% - -------------------------------------------------------------------------------- 14. Type of Reporting Person BD-PN-IA - -------------------------------------------------------------------------------- Page 3 of 21 Pages - --------------------------- CUSIP NO. 037939105 - --------------------------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person GS Capital Partners II, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) ----- (b) ----- - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds WC - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) - -------------------------------------------------------------------------------- 6. Citizenship or place of Organization Delaware - -------------------------------------------------------------------------------- Number of 7. Sole Voting Power Shares Beneficially 0 Owned By ----------------------------------------------------- Each 8. Shared Voting Power Reporting Person With 1,428,549 ----------------------------------------------------- 9. Sole Dispositive Power 0 ----------------------------------------------------- 10. Shared Dispositive Power 1,428,549 ----------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 1,428,549 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 8.8% - -------------------------------------------------------------------------------- 14. Type of Reporting Person PN - -------------------------------------------------------------------------------- Page 4 of 21 Pages - --------------------------- CUSIP NO. 037939105 - --------------------------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person GS Capital Partners II Offshore, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) ----- (b) ----- - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds WC - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ------ - -------------------------------------------------------------------------------- 6. Citizenship or place of Organization Cayman Islands - -------------------------------------------------------------------------------- Number of 7. Sole Voting Power Shares Beneficially 0 Owned By ----------------------------------------------------- Each 8. Shared Voting Power Reporting Person With 567,908 ----------------------------------------------------- 9. Sole Dispositive Power 0 ----------------------------------------------------- 10. Shared Dispositive Power 567,908 ----------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 567,908 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 3.5% - -------------------------------------------------------------------------------- 14. Type of Reporting Person PN - -------------------------------------------------------------------------------- Page 5 of 21 Pages - --------------------------- CUSIP NO. 037939105 - --------------------------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person GS Capital Partners II (Germany) Civil Law Partnership (with limitation of liability) - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) ----- (b) ----- - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds WC - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ----- - -------------------------------------------------------------------------------- 6. Citizenship or place of Organization Germany - -------------------------------------------------------------------------------- Number of 7. Sole Voting Power Shares Beneficially 0 Owned By ----------------------------------------------------- Each 8. Shared Voting Power Reporting Person With 52,691 ----------------------------------------------------- 9. Sole Dispositive Power 0 ----------------------------------------------------- 10. Shared Dispositive Power 52,691 ----------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 52,691 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) .3% - -------------------------------------------------------------------------------- 14. Type of Reporting Person PN - -------------------------------------------------------------------------------- Page 6 of 21 Pages - --------------------------- CUSIP NO. 037939105 - --------------------------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person GS Advisors, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) ----- (b) ----- - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ----- - -------------------------------------------------------------------------------- 6. Citizenship or place of Organization Delaware - -------------------------------------------------------------------------------- Number of 7. Sole Voting Power Shares Beneficially 0 Owned By ----------------------------------------------------- Each 8. Shared Voting Power Reporting Person With 1,428,549 ----------------------------------------------------- 9. Sole Dispositive Power 0 ----------------------------------------------------- 10. Shared Dispositive Power 1,428,549 ----------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 1,428,549 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 8.8% - -------------------------------------------------------------------------------- 14. Type of Reporting Person PN - -------------------------------------------------------------------------------- Page 7 of 21 Pages - --------------------------- CUSIP NO. 037939105 - --------------------------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person GS Advisors II (Cayman), L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) ----- (b) ----- - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ----- - -------------------------------------------------------------------------------- 6. Citizenship or place of Organization Cayman Islands - -------------------------------------------------------------------------------- Number of 7. Sole Voting Power Shares Beneficially 0 Owned By ----------------------------------------------------- Each 8. Shared Voting Power Reporting Person With 567,908 ----------------------------------------------------- 9. Sole Dispositive Power 0 ----------------------------------------------------- 10. Shared Dispositive Power 567,908 ----------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 567,908 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 3.5% - -------------------------------------------------------------------------------- 14. Type of Reporting Person PN - -------------------------------------------------------------------------------- Page 8 of 21 Pages - --------------------------- CUSIP NO. 037939105 - --------------------------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Goldman, Sachs & Co. oHG - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) ----- (b) ----- - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ----- - -------------------------------------------------------------------------------- 6. Citizenship or place of Organization Germany - -------------------------------------------------------------------------------- Number of 7. Sole Voting Power Shares Beneficially 0 Owned By ----------------------------------------------------- Each 8. Shared Voting Power Reporting Person With 52,691 ----------------------------------------------------- 9. Sole Dispositive Power 0 ----------------------------------------------------- 10. Shared Dispositive Power 52,691 ----------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 52,691 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) .3% - -------------------------------------------------------------------------------- 14. Type of Reporting Person PN - -------------------------------------------------------------------------------- Page 9 of 21 Pages AMENDMENT NO. 1 TO ------------------ SCHEDULE 13D RELATING TO THE COMMON STOCK OF APPLIED ANALYTICAL INDUSTRIES, INC. GS Capital Partners II, L.P. ("GSCP"), GS Capital Partners II Offshore, L.P. ("GSCP II Offshore"), GS Capital Partners II (Germany) C.L.P. ("GSCP II Germany" and, together with GSCP and GSCP II Offshore, "GSCP II"), GS Advisors, L.P. ("GS Advisors"), GS Advisors II (Cayman), L.P. ("GS Advisors Cayman"), Goldman, Sachs & Co. oHG ("GS oHG"), Goldman, Sachs & Co. ("Goldman Sachs") and The Goldman Sachs Group, L.P. ("GS Group" and, together with GSCPII, GS Advisors, GS Advisors Cayman, GS oHG and Goldman Sachs, the "Reporting Persons")/1/* hereby amend and supplement the statement on Schedule 13D filed with respect to the common stock, par value $.001 per share (the "Common Stock"), of Applied Analytical Industries, Inc., a Delaware corporation (the "Company"), dated September 30, 1996 (the "Schedule 13D"). Unless otherwise indicated, all capitalized terms not otherwise defined herein shall have the same meanings as those set forth in the Schedule 13D. This Amendment No. 1 is being filed to report an increase in the percentage of the outstanding shares of Common Stock beneficially owned by the Filing Persons, which change resulted from an increase in the number of Shares held in client accounts managed by Goldman Sachs ("Managed Accounts"). Item 2. Identity and Background. ----------------------- Item 2 is hereby amended and restated as follows: Each of GSCP, a Delaware limited partnership, GSCP II Offshore, a Cayman Islands exempted limited partnership, and GSCP II Germany, a German civil law partnership, was formed for the purpose of investing in equity and equity- related securities primarily acquired or issued in leveraged acquisitions, reorganizations and other private equity transactions. GS Advisors, a Delaware limited partnership, is the sole general partner of GSCP. GS Advisors Cayman, a Cayman Islands exempted limited partnership, is the sole general partner of GSCP II Offshore. GS oHG is the sole managing partner of GSCP II Germany. Goldman Sachs, a New York limited partnership, is an investment banking firm and a member of the New York Stock Exchange, Inc. and other national exchanges. GS Group, one of the general partners of Goldman Sachs, owns a 99% interest in Goldman Sachs. GS Group is a Delaware limited partnership and a holding partnership that (directly or indirectly through subsidiaries or affiliated companies or both) is a leading investment banking organization. The other general partner of Goldman Sachs is The Goldman, Sachs & Co. L.L.C., a Delaware limited liability company ("GS L.L.C."), which is a wholly owned subsidiary of GS Group and The Goldman Sachs Corporation, a Delaware corporation ("GS Corp."). GS Corp. is the sole general partner of GS Group. The principal business address of each of Goldman Sachs, GS Group, GS Corp., GS L.L.C., GSCP and GS Advisors is 85 Broad Street, New York, NY 10004. The principal business address of each of GSCP II Offshore and GS Advisors Cayman is c/o Maples and Calder, P.O. Box 309, Grand Cayman, Cayman Islands. The principal business address of each of GSCP II Germany and GS oHG is Messeturm Friedrich-Ebert- Anlage 49, 60308 Frankfurt am Main, Germany. The name, business address, present principal occupation or employment and citizenship of each director of GS Corp. and GS L.L.C. and of each member of the executive committees of GS Corp., GS L.L.C., GS Group and Goldman Sachs are set forth in Schedule I hereto and are incorporated herein by reference. - ------------------ * Neither the present filing nor anything contained herein shall be construed as an admission that any Reporting Person constitutes a "person" for any purpose other than Section 13(d) of the Securities Exchange Act of 1934. pages 10 of 21 pages The name, business address, present principal occupation or employment and citizenship of each director and executive officer of GS Advisors, Inc. and GS Advisors II, Inc., each a Delaware corporation and the sole general partner of GS Advisors and GS Advisors Cayman, respectively, are set forth in Schedules II- A-i and II-A-ii hereto, respectively, and are incorporated herein by reference. The name, business address, present principal occupation or employment and citizenship of each managing director of Goldman, Sachs & Co. Finanz GmbH which is the general partner of oHG are set forth in Schedule II-B hereto and are incorporated herein by reference. During the last five years, none of the Filing Persons, or to the knowledge of each of such Filing Persons, any of the persons listed on Schedule I, II-A-i, II-A-ii or II-B hereto, (i) has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (ii) except as set forth in Schedule III hereto, has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws, or finding any violation with respect to such laws. Item 5. Interest in Securities of the Issuer. ------------------------------------ Item 5 is hereby amended and restated as follows: (a) As of June 24, 1997, GSCP beneficially owned, and GS Advisors may be deemed to beneficially own, an aggregate of 1,428,549 shares of Common Stock, representing in the aggregate approximately 8.8% of the shares of Common Stock reported to be outstanding as of May 15, 1997 (as reported in the Company's Quarterly Report on Form 10-Q for the period ended March 31, 1997). As of June 24, 1997, GSCP II Offshore beneficially owned, and GS Advisors Cayman may be deemed to beneficially own, an aggregate of 567,908 shares of Common Stock representing approximately 3.5% of the shares of Common Stock reported to be outstanding as of May 15, 1997 (as reported in the Company's Quarterly Report on Form 10-Q for the period ended March 31, 1997). As of June 24, 1997, GSCP II Germany beneficially owned, and GS oHG may be deemed to beneficially own, an aggregate of 52,691 shares of Common Stock, representing in the aggregate approximately 0.3% of the shares of Common Stock reported to be outstanding as of May 15, 1997 (as reported in the Company's Quarterly Report on Form 10-Q for the period ended March 31, 1997). As of June 24, 1997, each of Goldman Sachs and GS Group may be deemed to beneficially own an aggregate of 2,579,976 shares of Common Stock including (i) the shares of Common Stock beneficially owned by GSCP II described above, (ii) 227,684 shares of Common Stock held by certain other limited partnerships of which affiliates of Goldman Sachs and GS Group are the general partner or managing general partner (together with GSCP II, the "Limited Partnerships"), (iii) 266 shares of Common Stock acquired in ordinary course trading activities, and (iv) 302,878 shares of Common Stock held in Managed Accounts, representing in the aggregate approximately 15.8% of the Common Stock reported to be outstanding as of May 15, 1997 (as reported in the Company's Quarterly Report on Form 10-Q for the period ended March 31, 1997). Goldman Sachs and GS Group each disclaim beneficial ownership of shares of Common Stock held in Managed Accounts or through the Limited Partnerships to the extent interests therein are held by persons other than Goldman Sachs, the GS Group, or their affiliates. None of the Filing Persons, and, to the knowledge of each of the Filing Persons, none of the Limited Partnerships that is not a Filing Person, beneficially owns any shares of Common Stock other than as set forth herein. (b) Each Filing Person shares the power to vote or direct the vote and to dispose or direct the disposition of shares of Common Stock beneficially owned by such Filing Person as indicated in the second through ninth pages of this filing. (c) Schedule IV set forth transactions in the Common Stock which have been effected during the 60 day period from April 6, 1997 through June 24, 1997, all of which were effected in the ordinary course of business of Goldman Sachs. Except for the privately negotiated acquisition of 277,778 shares of Common Stock for Managed Accounts effected on June 5, 1997, the transactions in the Common Stock, described in Schedule IV, were effected in the NASDAQ National Market. The total consideration (exclusive of commissions) for the shares of Common Stock purchased during this period was approximately $6,768,021.75. Except as set forth on Schedule IV, no transactions in the Common Stock were effected by Filing Persons, or to the knowledge of any of the Filing Persons, any of the persons listed on Schedules I, II-A-i, II-A-ii or II-B hereto, during the period from April 6, 1997 through June 24, 1997. (d) No other person is known by any Filing Person to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, any shares of Common Stock beneficially owned by any Filing Person. (e) Not applicable. page 11 of 21 pages 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. July 2, 1997 GOLDMAN, SACHS & CO. By: /s/Richard A. Friedman ------------------------------- Name: Richard A. Friedman Title: Managing Director THE GOLDMAN SACHS GROUP, L.P. By: The Goldman Sachs Corporation, its general partner By: /s/Richard A. Friedman ------------------------------- Name: Richard A. Friedman Title: Executive Vice President GS CAPITAL PARTNERS II, L.P. By: GS Advisors, L.P., its general partner By: GS Advisors, Inc., its general partner By: /s/Richard A. Friedman ------------------------------- Name: Richard A. Friedman Title: President GS CAPITAL PARTNERS II OFFSHORE, L.P. By: GS Advisors II (Cayman), L.P., its general partner By: GS Advisors II, Inc., its general partner By: /s/Richard A. Friedman ------------------------------- Name: Richard A. Friedman Title: President GS CAPITAL PARTNERS II (GERMANY) CIVIL LAW PARTNERSHIP (with limitation of liability) By: Goldman, Sachs & Co. oHG, its managing partner By: /s/Richard A. Friedman ------------------------------- Name: Richard A. Friedman Title: Attorney-in-Fact GS ADVISORS, L.P. By: GS Advisors, Inc., its general partner By: /s/Richard A. Friedman ------------------------------- Name: Richard A. Friedman Title: President GS ADVISORS II (CAYMAN), L.P. By: GS Advisors II, Inc., its general partner By: /s/Richard A. Friedman ------------------------------- Name: Richard A. Friedman Title: President GOLDMAN, SACHS & CO. oHG By: Goldman, Sachs & Co. Finanz GmbH, its managing partner By: /s/Richard A. Friedman ------------------------------- Name: Richard A. Friedman Title: Attorney-in-Fact SCHEDULE I ---------- The name of each director of The Goldman Sachs Corporation and The Goldman, Sachs & Co. L.L.C. and of each member of the executive committees of The Goldman Sachs Corporation, The Goldman Sachs & Co. L.L.C., The Goldman Sachs Group, L.P. and Goldman, Sachs & Co. is set forth below. The business address of each person listed below except John A. Thain and John L. Thornton is 85 Broad Street, New York, NY 10004. The business address of John A. Thain and John L. Thornton is 133 Fleet Street, London EC4A 2BB, England. Each person is a citizen of the United States of America. The present principal occupation or employment of each of the listed persons is as a managing director of Goldman, Sachs & Co. or another Goldman Sachs operating entity and as a member of the executive committee. Jon Z. Corzine Henry M. Paulson, Jr. Roy J. Zuckerberg Robert J. Hurst John A. Thain John L. Thornton SCHEDULE II-A-i --------------- The name, position and present principal occupation of each director and executive officer of GS Advisors, Inc., the sole general partner of GS Advisors, L.P., which is the sole general partner of GS Capital Partners II, L.P., are set forth below. The business address for all the executive officers and directors listed below except Henry Cornell is 85 Broad Street, New York, New York 10004. The business address of Henry Cornell is 3 Garden Road, Hong Kong. All executive officers and directors listed below are United States citizens.
Name Position Present Principal Occupation - ---- -------- ---------------------------- Richard A. Friedman Director/President Managing Director of Goldman, Sachs & Co. Terence M. O'Toole Director/Vice President Managing Director of Goldman, Sachs & Co. Carla H. Skodinski Vice President/Secretary Vice President of Goldman, Sachs & Co. Elizabeth S. Cogan Treasurer Vice President of Goldman, Sachs & Co. Joseph H. Gleberman Director/ Vice President Managing Director of Goldman, Sachs & Co. Henry Cornell Vice President Managing Director of Goldman Sachs (Asia) L.L.C. Barry S. Volpert Director/Vice President Managing Director of Goldman, Sachs & Co. Eve M. Gerriets Vice Vice President of President/Assistant Goldman, Sachs & Co. Secretary David J. Greenwald Assistant Secretary Vice President of Goldman, Sachs & Co. C. Douglas Fuge Assistant Treasurer Vice President of Goldman, Sachs & Co.
SCHEDULE II-A-ii ---------------- The name, position and present principal occupation of each director and executive officer of GS Advisors II, Inc., the sole general partner of GS Advisors II (Cayman), L.P., which is the sole general partner of GS Capital Partners II Offshore, L.P., are set forth below. The business address for all the executive officers and directors listed below except Henry Cornell is 85 Broad Street, New York, New York 10004. The business address of Henry Cornell is 3 Garden Road, Hong Kong. All executive officers and directors listed below are United States citizens.
Name Position Present Principal Occupation - ---- -------- ---------------------------- Richard A. Friedman Director/President Managing Director of Goldman, Sachs & Co. Terence M. O'Toole Director/Vice President Managing Director of Goldman, Sachs & Co. Carla H. Skodinski Vice President/Secretary Vice President of Goldman, Sachs & Co. Elizabeth S. Cogan Treasurer Vice President of Goldman, Sachs & Co. Joseph H. Gleberman Director/ Vice President Managing Director of Goldman, Sachs & Co. Henry Cornell Vice President Managing Director of Goldman Sachs (Asia) L.L.C. Barry S. Volpert Director/Vice President Managing Director of Goldman, Sachs & Co. Eve M. Gerriets Vice Vice President of President/Assistant Goldman, Sachs & Co. Secretary David J. Greenwald Assistant Secretary Vice President of Goldman, Sachs & Co. C. Douglas Fuge Assistant Treasurer Vice President of Goldman, Sachs & Co.
SCHEDULE II-B ------------- The name, position and present occupation of each executive officer and director of Goldman, Sachs & Co. Finanz GmbH which is the general partner of Goldman, Sachs & Co. oHG are set forth below. The business address for Paul M. Achleitner and Ernst Tschoeke is MesseTurm, 60308 Frankfurt am Main, Germany. The business address for Philip D. Murphy is 3 Garden Road, Hong Kong. Of the directors and executive officers listed below, Philip D. Murphy is a United States citizen, Paul M. Achleitner is a citizen of Austria, and Ernst Tschoeke is a citizen of Germany.
Name Position Present Principal Occupation - ---- -------- ---------------------------- Paul M. Achleitner Managing Director Managing Director of Goldman, Sachs & Co. oHG Philip D. Murphy Managing Director Managing Director of Goldman, Sachs & Co. oHG Ernst Tschoeke Managing Director Director of Goldman, Sachs & Co. oHG
SCHEDULE III ------------ In settlement of Securities and Exchange Commission Administrative Proceeding File No. 3-7646 In the Matter of the Distribution of Securities Issued by Certain Government Sponsored Enterprises, Goldman, Sachs & Co. (the "Firm"), along with numerous other securities firms, without admitting or denying any of the findings of the Securities and Exchange Commission (the "SEC") consented to the entry of an Order, dated January 16, 1992. The SEC found that the Firm, in connection with its participation in the primary distributions of certain unsecured debt securities issued by Government Sponsored Enterprises ("GSEs"), made and kept certain records that did not accurately reflect the Firm's customers' orders for GSEs' securities and/or offers, purchases or sales by the Firm of the GSEs' securities effected by the Firm in violation of Section 17(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and 17 C.F.R. Sections 240.17a-3 and 240.17a-4. The Firm was ordered to cease and desist from committing or causing future violations of the aforementioned sections of the Exchange Act in connection with any primary distributions of unsecured debt securities issued by the GSEs, pay a civil money penalty to the United States Treasury in the amount of $100,000 and maintain policies and procedures reasonably designed to ensure the Firm's future compliance with the aforementioned sections of the Exchange Act in connection with any primary distributions of unsecured debt securities issued by the GSEs. In Securities and Exchange Commission Administrative Proceeding File No. 3- 8282 In the Matter of Goldman, Sachs & Co., the Firm, without admitting or denying any of the SEC's allegations, settled administrative proceedings involving alleged books and records and supervisory violations relating to eleven trades of U.S. Treasury securities in the secondary markets in 1985 and 1986. The SEC alleged that the Firm had failed to maintain certain records required pursuant to Section 17(a) of the Exchange Act and had also failed to supervise activities relating to the aforementioned trades in violation of Section 15(b)(4)(E) of the Exchange Act. The Firm was ordered to cease and desist from committing or causing any violation of the aforementioned sections of the Exchange Act, pay a civil money penalty to the SEC in the amount of $250,000 and establish policies and procedures reasonably designed to assure compliance with Section 17(a) of the Exchange Act and Rules 17a-3 and 17a-4 thereunder. SCHEDULE IV Applied Analytical Industries, Inc. Cusip No. 037939105
Settlement ---------- Purchases Sales Price Trade Date Date --------- ----- ----- ---------- ---- 38,520 13.875 29-Apr-97 2-May-97 1,000 13.100 29-Apr-97 2-May-97 38,520 13.875 29-Apr-97 2-May-97 1,000 13.875 29-Apr-97 2-May-97 1,000 13.250 29-Apr-97 2-May-97 1,000 12.500 29-Apr-97 2-May-97 1,000 12.250 29-Apr-97 2-May-97 200 12.375 29-Apr-97 2-May-97 150 12.750 29-Apr-97 2-May-97 5,000 13.000 29-Apr-97 2-May-97 300 11.750 29-Apr-97 2-May-97 500 11.750 29-Apr-97 2-May-97 200 13.250 30-Apr-97 5-May-97 177 13.250 30-Apr-97 5-May-97 3,000 13.250 30-Apr-97 5-May-97 10 13.375 1-May-97 6-May-97 150 13.375 2-May-97 7-May-97 3,000 13.375 2-May-97 7-May-97 2,500 13.500 2-May-97 7-May-97 1,000 13.500 2-May-97 7-May-97 2,500 13.500 2-May-97 7-May-97 7,500 13.875 2-May-97 7-May-97 30 14.375 2-May-97 7-May-97 100 14.375 2-May-97 7-May-97 20 14.375 2-May-97 7-May-97 400 14.375 2-May-97 7-May-97 250 14.375 2-May-97 7-May-97 15,000 14.000 2-May-97 7-May-97 1,000 14.750 5-May-97 8-May-97 1,000 14.750 5-May-97 8-May-97 5,000 15.250 5-May-97 8-May-97 200 16.250 5-May-97 8-May-97 5,000 15.000 5-May-97 8-May-97 2,000 14.813 5-May-97 8-May-97 5,000 15.250 5-May-97 8-May-97 300 16.500 6-May-97 9-May-97 300 16.500 6-May-97 9-May-97 500 16.500 6-May-97 9-May-97 150 16.500 6-May-97 9-May-97 1,000 16.500 6-May-97 9-May-97 500 17.000 6-May-97 9-May-97 500 17.750 6-May-97 9-May-97 500 18.125 6-May-97 9-May-97 1,000 18.125 6-May-97 9-May-97 500 19.250 6-May-97 9-May-97 700 19.250 6-May-97 9-May-97 500 18.750 6-May-97 9-May-97 1,000 18.750 6-May-97 9-May-97 500 18.750 6-May-97 9-May-97
SCHEDULE IV Applied Analytical Industries, Inc. Cusip No. 037939105
Settlement ---------- Purchases Sales Price Trade Date Date - --------- ----- ----- ---------- ---- 500 18.000 6-May-97 9-May-97 500 18.500 6-May-97 9-May-97 200 18.500 6-May-97 9-May-97 500 18.575 7-May-97 12-May-97 1,000 18.375 7-May-97 12-May-97 1,000 18.500 7-May-97 12-May-97 3,500 18.750 7-May-97 12-May-97 1,500 18.500 7-May-97 12-May-97 1,000 18.625 7-May-97 12-May-97 2,500 18.875 7-May-97 12-May-97 200 18.125 8-May-97 13-May-97 700 18.125 8-May-97 13-May-97 2,500 18.250 8-May-97 13-May-97 300 18.125 9-May-97 14-May-97 67 18.125 9-May-97 14-May-97 500 18.125 13-May-97 16-May-97 1,000 18.125 13-May-97 16-May-97 250 17.375 14-May-97 19-May-97 200 17.375 15-May-97 20-May-97 1,500 17.500 15-May-97 20-May-97 2,500 17.500 15-May-97 20-May-97 4,500 18.000 15-May-97 20-May-97 3,000 18.000 15-May-97 20-May-97 1,000 17.650 21-May-97 27-May-97 1,000 17.675 22-May-97 28-May-97 1,000 17.525 22-May-97 28-May-97 1,000 17.275 22-May-97 28-May-97 1,200 17.750 22-May-97 28-May-97 1,000 17.750 22-May-97 28-May-97 1,200 17.500 23-May-97 29-May-97 500 18.125 28-May-97 2-Jun-97 250 18.000 28-May-97 2-Jun-97 500 17.875 28-May-97 2-Jun-97 2,000 17.625 28-May-97 2-Jun-97 400 17.750 29-May-97 3-Jun-97 1,000 18.250 29-May-97 3-Jun-97 350 17.750 29-May-97 3-Jun-97 2,500 18.000 29-May-97 3-Jun-97 300 18.250 30-May-97 4-Jun-97 300 18.375 3-Jun-97 6-Jun-97 300 18.250 3-Jun-97 6-Jun-97 300 18.250 3-Jun-97 6-Jun-97 300 18.250 3-Jun-97 6-Jun-97 5,000 18.125 3-Jun-97 6-Jun-97 300 18.250 4-Jun-97 9-Jun-97 100 18.250 4-Jun-97 9-Jun-97 300 18.250 4-Jun-97 9-Jun-97 277,778 18.000 5-Jun-97 5-Jun-97 400 18.250 5-Jun-97 10-Jun-97 600 18.250 5-Jun-97 10-Jun-97
SCHEDULE IV Applied Analytical Industries, Inc. Cusip No. 037939105 Settlement ---------- Purchases Sales Price Trade Date Date - --------- ----- ----- ---------- ---- 400 18.250 5-Jun-97 10-Jun-97 1,600 18.250 5-Jun-97 10-Jun-97 3,000 18.125 18-Jun-97 23-Jun-97 2,000 18.375 18-Jun-97 23-Jun-97 500 18.250 6-Jun-97 11-Jun-97 500 18.250 6-Jun-97 11-Jun-97 300 18.250 6-Jun-97 11-Jun-97 300 18.250 6-Jun-97 11-Jun-97 5,000 18.000 6-Jun-97 11-Jun-97 300 18.000 9-Jun-97 12-Jun-97 2,200 18.000 9-Jun-97 12-Jun-97 500 18.000 9-Jun-97 12-Jun-97 100 18.000 9-Jun-97 12-Jun-97 1,000 18.000 9-Jun-97 12-Jun-97 2,500 17.875 9-Jun-97 12-Jun-97 1,000 17.250 11-Jun-97 16-Jun-97 270 16.625 13-Jun-97 18-Jun-97 200 16.625 13-Jun-97 18-Jun-97 500 16.625 13-Jun-97 18-Jun-97 8,700 17.625 17-Jun-97 20-Jun-97 1,000 17.625 17-Jun-97 20-Jun-97 400 17.625 17-Jun-97 20-Jun-97 1,000 17.625 17-Jun-97 20-Jun-97 196 17.375 17-Jun-97 20-Jun-97 100 17.375 17-Jun-97 20-Jun-97 5,500 17.875 18-Jun-97 23-Jun-97 2,000 17.375 18-Jun-97 23-Jun-97 3,000 18.125 18-Jun-97 23-Jun-97 2,000 18.375 18-Jun-97 23-Jun-97 3,500 17.875 20-Jun-97 25-Jun-97 -----END PRIVACY-ENHANCED MESSAGE-----