0000909661-05-000052.txt : 20120615
0000909661-05-000052.hdr.sgml : 20120615
20050328185043
ACCESSION NUMBER: 0000909661-05-000052
CONFORMED SUBMISSION TYPE: SC 13D
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20050329
DATE AS OF CHANGE: 20050328
GROUP MEMBERS: CHARLES E. ELLWEIN
GROUP MEMBERS: CHUN R. DING
GROUP MEMBERS: DAVID I. COHEN
GROUP MEMBERS: DEREK C. SCHRIER
GROUP MEMBERS: FARALLON CAPITAL INSTITUTIONAL PARTNERS II, L.P.
GROUP MEMBERS: FARALLON CAPITAL INSTITUTIONAL PARTNERS III, L.P.
GROUP MEMBERS: FARALLON CAPITAL INSTITUTIONAL PARTNERS, L.P.
GROUP MEMBERS: FARALLON CAPITAL PARTNERS, L.P.
GROUP MEMBERS: FARALLON PARTNERS, L.L.C.
GROUP MEMBERS: JOSEPH F. DOWNES
GROUP MEMBERS: MARK C. WEHRLY
GROUP MEMBERS: MONICA R. LANDRY
GROUP MEMBERS: NOONDAY ASSET MANAGEMENT, L.P.
GROUP MEMBERS: NOONDAY CAPITAL PARTNERS, L.L.C.
GROUP MEMBERS: NOONDAY CAPITAL, L.L.C.
GROUP MEMBERS: NOONDAY G.P. (U.S.), L.L.C.
GROUP MEMBERS: RAJIV A. PATEL
GROUP MEMBERS: RICHARD B. FRIED
GROUP MEMBERS: STEPHEN L. MILLHAM
GROUP MEMBERS: THOMAS F. STEYER
GROUP MEMBERS: TINICUM PARTNERS, L.P.
GROUP MEMBERS: WILLIAM F. DUHAMEL
GROUP MEMBERS: WILLIAM F. MELLIN
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: RETEK INC
CENTRAL INDEX KEY: 0001094360
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 510392671
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-59843
FILM NUMBER: 05707674
BUSINESS ADDRESS:
STREET 1: 950 NICOLLET MALL
STREET 2: RETEK ON THE MALL
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55403
BUSINESS PHONE: 612-587-5000
MAIL ADDRESS:
STREET 1: 950 NICOLLET MALL
STREET 2: RETEK ON THE MALL
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55403
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: FARALLON CAPITAL MANAGEMENT LLC
CENTRAL INDEX KEY: 0000909661
IRS NUMBER: 943240279
FILING VALUES:
FORM TYPE: SC 13D
BUSINESS ADDRESS:
STREET 1: ONE MARITIME PLAZA STE 11325
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 4154212132
MAIL ADDRESS:
STREET 1: ONE MARITIME PLAZA
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
FORMER COMPANY:
FORMER CONFORMED NAME: FARALLON CAPITAL MANAGEMENT INC ET AL
DATE OF NAME CHANGE: 19970210
SC 13D
1
retekinc-13d.txt
--------------------------
OMB APPROVAL
--------------------------
OMB Number: 3235-0145
Expires: December 31, 2005
Estimated average burden
hours per response......11
--------------------------
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. _________)*
Retek Inc.
--------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, par value $0.01 per share
--------------------------------------------------------------------------------
(Title of Class of Securities)
76128Q109
--------------------------------------------------------------------------------
(CUSIP Number)
Mark C. Wehrly
Farallon Capital Management, L.L.C.
One Maritime Plaza, Suite 1325
San Francisco, California 94111
(415) 421-2132
--------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
March 17, 2005
--------------------------------------------------------------------------------
(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 Sections 240.13d-1(e), 13d-1(f) or 240.13d-1(g), check the
following box [ ].
Note: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See Section 240.13d-7 for other
parties to whom copies are to be sent.
* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
(Continued on following pages)
Page 1 of 49 Pages
Exhibit Index Found on Page 47
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Farallon Capital Partners, L.P.
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
WC, OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
California
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 1,302,200
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
1,302,200
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
1,302,200
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
2.3%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
PN
------------====================================================================
Page 2 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Farallon Capital Institutional Partners, L.P.
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
WC
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
California
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 888,300
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
888,300
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
888,300
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
1.6%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
PN
------------====================================================================
Page 3 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Farallon Capital Institutional Partners II, L.P.
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
WC
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
California
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 70,300
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
70,300
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
70,300
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
0.1%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
PN
------------====================================================================
Page 4 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Farallon Capital Institutional Partners III, L.P.
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
WC
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
Delaware
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 82,700
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
82,700
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
82,700
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
0.1%
------------====================================================================
14 TYPE OF REPORTING PERSON (See Instructions)
PN
------------====================================================================
Page 5 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Tinicum Partners, L.P.
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
WC, OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
New York
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 23,100
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
23,100
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
23,100
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
0.0%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
PN
------------====================================================================
Page 6 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Noonday Capital Partners, L.L.C.
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
WC, OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
Delaware
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 72,100
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
72,100
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
72,100
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
0.1%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
OO
------------====================================================================
Page 7 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Farallon Partners, L.L.C.
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
AF
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
Delaware
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 2,438,700
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
2,438,700
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
2,438,700
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
4.3%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
OO
------------====================================================================
Page 8 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Farallon Capital Management, L.L.C.
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
Delaware
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 2,493,198
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
2,493,198
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
2,493,198
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
4.4%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
IA, OO
------------====================================================================
Page 9 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Noonday G.P. (U.S.), L.L.C.
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
Delaware
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 1,601,898
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
1,601,898
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
1,601,898
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
2.9%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
OO
------------====================================================================
Page 10 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Noonday Asset Management, L.P.
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
Delaware
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 1,601,898
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
1,601,898
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
1,601,898
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
2.9%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
PN
------------====================================================================
Page 11 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Noonday Capital, L.L.C.
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
Delaware
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 1,601,898
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
1,601,898
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
1,601,898
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
2.9%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
OO
------------====================================================================
Page 12 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Chun R. Ding
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
AF, OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 4,931,898
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
4,931,898
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
4,931,898
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
8.8%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
IN
------------====================================================================
Page 13 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Joseph F. Downes
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
AF, OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 4,931,898
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
4,931,898
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
4,931,898
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
8.8%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
IN
------------====================================================================
Page 14 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
William F. Duhamel
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
AF, OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 4,931,898
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
4,931,898
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
4,931,898
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
8.8%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
IN
------------====================================================================
Page 15 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Charles E. Ellwein
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
AF, OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 4,931,898
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
4,931,898
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
4,931,898
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
8.8%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
IN
------------====================================================================
Page 16 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Richard B. Fried
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
AF, OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 4,931,898
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
4,931,898
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
4,931,898
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
8.8%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
IN
------------====================================================================
Page 17 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Monica R. Landry
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
AF, OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 4,931,898
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
4,931,898
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
4,931,898
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
8.8%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
IN
------------====================================================================
Page 18 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
William F. Mellin
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
AF, OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 4,931,898
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
4,931,898
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
4,931,898
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
8.8%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
IN
------------====================================================================
Page 19 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Stephen L. Millham
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
AF, OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 4,931,898
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
4,931,898
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
4,931,898
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
8.8%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
IN
------------====================================================================
Page 20 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Rajiv A. Patel
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
AF, OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 4,931,898
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
4,931,898
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
4,931,898
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
8.8%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
IN
------------====================================================================
Page 21 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Derek C. Schrier
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
AF, OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 4,931,898
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
4,931,898
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
4,931,898
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
8.8%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
IN
------------====================================================================
Page 22 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Thomas F. Steyer
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
AF, OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 4,931,898
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
4,931,898
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
4,931,898
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
8.8%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
IN
------------====================================================================
Page 23 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Mark C. Wehrly
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
AF, OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 4,931,898
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
4,931,898
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
4,931,898
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
8.8%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
IN
------------====================================================================
Page 24 of 49 Pages
13D
===================
CUSIP No. 76128Q109
===================
------------====================================================================
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
David I. Cohen
------------====================================================================
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
2
** The reporting persons making this filing hold an
aggregate of 4,931,898 Shares, which is 8.8% of the
class of securities. The reporting person on this
cover page, however, is a beneficial owner only of
the securities reported by it on this cover page.
------------====================================================================
3 SEC USE ONLY
------------====================================================================
SOURCE OF FUNDS (See Instructions)
4
OO
------------====================================================================
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEMS 2(d) OR 2(e)
[ ]
------------====================================================================
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------====================================================================
SOLE VOTING POWER
7
NUMBER OF -0-
------------===========================================
SHARES SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 1,601,898
------------===========================================
EACH SOLE DISPOSITIVE POWER
9
REPORTING -0-
PERSON WITH ------------===========================================
SHARED DISPOSITIVE POWER
10
1,601,898
------------====================================================================
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
1,601,898
------------====================================================================
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
12 CERTAIN SHARES (See Instructions)
[ ]
------------====================================================================
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
2.9%
------------====================================================================
TYPE OF REPORTING PERSON (See Instructions)
14
IN
------------====================================================================
Page 25 of 49 Pages
Item 1. Security And Issuer.
------ -------------------
This statement relates to shares of Common Stock, par value $0.01 per
share (the "Shares"), of Retek Inc. (the "Company"). The Company's principal
offices are located at Retek on the Mall, 950 Nicollet Mall, Minneapolis, MN
55403.
Item 2. Identity And Background.
------ -----------------------
(a) This statement is filed by the entities and persons listed below,
all of whom together are referred to herein as the "Reporting Persons."
The Farallon Funds
------------------
(i) Farallon Capital Partners, L.P., a California limited
partnership ("FCP"), with respect to the Shares held
by it;
(ii) Farallon Capital Institutional Partners, L.P., a
California limited partnership ("FCIP"), with respect
to the Shares held by it;
(iii) Farallon Capital Institutional Partners II, L.P., a
California limited partnership ("FCIP II"), with
respect to the Shares held by it;
(iv) Farallon Capital Institutional Partners III, L.P., a
Delaware limited partnership ("FCIP III"), with
respect to the Shares held by it; and
(v) Tinicum Partners, L.P., a New York limited partnership
("Tinicum"), with respect to the Shares held by it.
FCP, FCIP, FCIP II, FCIP III and Tinicum are together referred to
herein as the "Farallon Funds."
The Noonday Fund
----------------
(vi) Noonday Capital Partners, L.L.C., a Delaware limited
liability company (the "Noonday Fund"), with respect
to the Shares held by it.
The Farallon Funds and the Noonday Fund are together referred to herein
as the "Funds."
Page 26 of 49 Pages
The Management Company
----------------------
(vii) Farallon Capital Management, L.L.C., a Delaware
limited liability company (the "Management Company"),
with respect to the Shares held by certain accounts
managed by the Management Company (the "Managed
Accounts").
The Farallon General Partner
----------------------------
(viii) Farallon Partners, L.L.C., a Delaware limited
liability company which is the general partner of each
of the Farallon Funds and the managing member of the
Noonday Fund (the "Farallon General Partner"), with
respect to the Shares held by each of the Funds.
The Noonday Sub-adviser Entities
--------------------------------
(ix) Noonday G.P. (U.S.), L.L.C., a Delaware limited
liability company which is a sub-investment adviser1
to each of the Funds and the Managed Accounts (the
"First Noonday Sub-adviser"), with respect to all of
the Shares held by the Noonday Fund and certain of
the Shares held by the Farallon Funds and the Managed
Accounts;
(x) Noonday Asset Management, L.P., a Delaware limited
partnership, which is a sub-investment adviser1 to
each of the Funds and the Managed Accounts (the
"Second Noonday Sub-adviser"), with respect to all of
the Shares held by the Noonday Fund and certain of
the Shares held by the Farallon Funds and the Managed
Accounts; and
(xi) Noonday Capital, L.L.C., a Delaware limited liability
company which is the general partner of the Second
Noonday Sub-adviser (the "Noonday General Partner"),
with respect to all of the Shares held by the Noonday
Fund and certain of the Shares held by the Farallon
Funds and the Managed Accounts.
The First Noonday Sub-adviser, the Second Noonday Sub-adviser and the
Noonday General Partner are together referred to herein as the "Noonday
Sub-adviser Entities."
The Farallon Managing Members
-----------------------------
(xii) The following persons who are managing members of
both the Farallon General Partner and the Management
Company, with respect to the Shares held by the Funds
and the Managed Accounts: Chun R. Ding ("Ding"),
Joseph F. Downes ("Downes"), William F. Duhamel
("Duhamel"), Charles E. Ellwein ("Ellwein"), Richard
B. Fried ("Fried"), Monica R. Landry ("Landry"),
William F. Mellin ("Mellin"), Stephen L. Millham
("Millham"),
--------------------------
1 The First Noonday Sub-adviser and the Second Noonday Sub-adviser entered into
certain subadvisory arrangements with the Management Company and the Farallon
General Partner effective as of January 1, 2005, pursuant to which the First
Noonday Sub-adviser and the Second Noonday Sub-adviser were granted investment
discretion over all of the assets of the Noonday Fund and certain of the assets
of the Farallon Funds and the Managed Accounts.
Page 27 of 49 Pages
Rajiv A. Patel ("Patel"), Derek C. Schrier
("Schrier"), Thomas F. Steyer ("Steyer") and Mark C.
Wehrly ("Wehrly").
Ding, Downes, Duhamel, Ellwein, Fried, Landry, Mellin, Millham, Patel,
Schrier, Steyer and Wehrly are together referred to herein as the "Farallon
Individual Reporting Persons."
The Noonday Managing Member
---------------------------
(xiii) David I. Cohen ("Cohen"), the managing member of both
the First Noonday Sub-adviser and the Noonday General
Partner, with respect to all of the Shares held by
the Noonday Fund and certain of the Shares held by
the Farallon Funds and the Managed Accounts.
Cohen is referred to herein as the "Noonday Individual Reporting
Person." The Noonday Individual Reporting Person and the Farallon Individual
Reporting Persons are together referred to herein as the "Individual Reporting
Persons."
(b) The address of the principal business and principal office of (i)
the Funds, the Farallon General Partner and the Management Company is One
Maritime Plaza, Suite 1325, San Francisco, California 94111, (ii) the Noonday
Sub-adviser Entities is 227 West Trade Street, Suite 2140, Charlotte, North
Carolina 28202, and (iii) each of the Individual Reporting Persons is set forth
in Annex 1 hereto.
(c) The principal business of each of the Funds is that of a private
investment fund engaging in the purchase and sale of investments for its own
account. The principal business of the Farallon General Partner is to act as the
general partner of the Farallon Funds and the managing member of the Noonday
Fund. The principal business of the Management Company is that of a registered
investment adviser. The principal business of the First Noonday Sub-adviser and
the Second Noonday Sub-adviser is to act as a sub-investment adviser to the
Funds and the Managed Accounts. The principal business of the Noonday General
Partner is to act as the general partner of
Page 28 of 49 Pages
the Second Noonday Sub-adviser. The principal business of each of the Individual
Reporting Persons is set forth in Annex 1 hereto.
(d) None of the Funds, the Management Company, the Farallon General
Partner, the Noonday Sub-adviser Entities or any of the Individual Reporting
Persons has, during the last five years, been convicted in a criminal proceeding
(excluding traffic violations or similar misdemeanors).
(e) None of the Funds, the Management Company, the Farallon General
Partner, the Noonday Sub-adviser Entities or any of the Individual Reporting
Persons has, during the last five years, been party to a civil proceeding of a
judicial or administrative body of competent jurisdiction and as a result of
such proceeding was or is subject to a judgment, decree or final order enjoining
future violations of, or prohibiting or mandating activities subject to, federal
or state securities laws or finding any violation with respect to such laws.
(f) The citizenship of each of the Funds, the Farallon General
Partner, the Management Company and the Noonday Sub-adviser Entities is set
forth above. Each of the Individual Reporting Persons is a citizen of the United
States.
The other information required by Item 2 relating to the identity and
background of the Reporting Persons is set forth in Annex 1 hereto.
Item 3. Source And Amount Of Funds And Other Consideration.
------ --------------------------------------------------
The net investment cost (including commissions) for the Shares held by
each of the Funds and the Managed Accounts is set forth below:
Entity Shares Held Approximate Net
------ ----------- ---------------
Investment Cost
---------------
FCP 1,302,200 $14,558,791.20
FCIP 888,300 $9,942,745.25
FCIP II 70,300 $786,964.25
FCIP III 82,700 $925,564.79
Page 29 of 49 Pages
Tinicum 23,100 $259,420.01
Noonday Fund 72,100 $773,393.51
Managed Accounts 2,493,198 $27,850,232.99
The consideration for such acquisitions was obtained as follows: (i) with
respect to FCIP, FCIP II and FCIP III, from working capital; (ii) with respect
to FCP, Tinicum and the Noonday Fund, from working capital, and/or from
borrowings pursuant to margin accounts maintained in the ordinary course of
business by FCP, Tinicum and the Noonday Fund at Goldman, Sachs & Co.; and (iii)
with respect to the Managed Accounts, from the working capital of the Managed
Accounts and/or from borrowings pursuant to margin accounts maintained in the
ordinary course of business by some of the Managed Accounts at Goldman, Sachs &
Co. FCP, Tinicum, the Noonday Fund and some of the Managed Accounts hold certain
securities in their respective margin accounts at Goldman, Sachs & Co., and the
accounts may from time to time have debit balances. It is not possible to
determine the amount of borrowings, if any, used to acquire the Shares.
Item 4. Purpose Of The Transaction.
------ --------------------------
The purpose of the acquisition of the Shares is for investment, and the
acquisitions of the Shares by each of the Funds and the Managed Accounts were
made in the ordinary course of business and were not made for the purpose of
acquiring control of the Company.
Although no Reporting Person has any specific plan or proposal to acquire
or dispose of Shares, consistent with its investment purpose, each Reporting
Person at any time and from time to time may acquire additional Shares or
dispose of any or all of its Shares depending upon an ongoing evaluation of the
investment in the Shares, prevailing market conditions, other investment
opportunities, liquidity requirements of the Reporting Person and/or other
investment considerations. No Reporting Person has made a determination
regarding a maximum or minimum number of Shares which it may hold at any point
in time.
Page 30 of 49 Pages
Also, consistent with their investment intent, the Reporting Persons
may engage in communications with one or more shareholders of the Company, one
or more officers of the Company and/or one or more members of the board of
directors of the Company regarding the Company, including but not limited to its
operations.
Except to the extent the foregoing may be deemed a plan or proposal, none
of the Reporting Persons has any plans or proposals which relate to, or could
result in, any of the matters referred to in paragraphs (a) through (j),
inclusive, of the instructions to Item 4 of Schedule 13D. The Reporting Persons
may, at any time and from time to time, review or reconsider their position
and/or change their purpose and/or formulate plans or proposals with respect
thereto.
Item 5. Interest In Securities Of The Issuer.
------ ------------------------------------
(a) The Funds
---------
(a),(b) The information set forth in Rows 7 through 13 of the
cover page hereto for each Fund is incorporated
herein by reference for each such Fund. The
percentage amount set forth in Row 13 for all cover
pages filed herewith hereto is calculated based upon
the 56,117,640 Shares outstanding as of February 25,
2005 as reported by the Company in its Schedule 14d-9
filed with the Securities and Exchange Commission on
March 22, 2005.
(c) The trade dates, number of Shares purchased or sold
and the price per Share (including commissions) for
all purchases and sales of the Shares by the Funds in
the past 60 days are set forth on Schedules A-F
hereto and are incorporated herein by reference. All
of such transactions were open-market transactions.
(d) Each of the Farallon General Partner, the First
Noonday Sub-adviser and the Second Noonday
Sub-adviser has the power to direct the receipt of
dividends relating to, or the disposition of the
proceeds of the sale of, all or certain of the Shares
held by the Funds as reported herein. The Noonday
General Partner is the general partner of the Second
Noonday Sub-adviser. The Farallon Individual
Reporting Persons are managing members of the
Farallon General Partner. The Noonday Individual
Reporting Person is the managing member of both the
First Noonday Sub-adviser and the Noonday General
Partner.
Page 31 of 49 Pages
(e) Not applicable.
(b) The Management Company
----------------------
(a),(b) The information set forth in Rows 7 through 13 of the
cover page hereto for the Management Company is
incorporated herein by reference.
(c) The trade dates, number of Shares purchased or sold
and the price per Share (including commissions) for
all purchases and sales of the Shares by the
Management Company on behalf of the Managed Accounts
in the past 60 days are set forth on Schedule G
hereto and are incorporated herein by reference. All
of such transactions were open-market transactions.
(d) The Management Company, as an investment adviser, and
each of the First Noonday Sub-adviser and the Second
Noonday Sub-adviser, as sub-adviser to the Managed
Accounts, has the power to direct the receipt of
dividends relating to, or the disposition of the
proceeds of the sale of, all or certain of the Shares
held by the Managed Accounts as reported herein. The
Noonday General Partner is the general partner of the
Second Noonday Sub-adviser. The Farallon Individual
Reporting Persons are managing members of the
Management Company. The Noonday Individual Reporting
Person is the managing member of both the First
Noonday Sub-adviser and the Noonday General Partner.
(e) Not applicable.
(c) The Farallon General Partner
----------------------------
(a),(b) The information set forth in Rows 7 through 13 of the
cover page hereto for the Farallon General Partner is
incorporated herein by reference.
(c) None.
(d) Each of the Farallon General Partner, the First
Noonday Sub-adviser and the Second Noonday
Sub-adviser has the power to direct the receipt of
dividends relating to, or the disposition of the
proceeds of the sale of, all or certain of the Shares
held by the Funds as reported herein. The Noonday
General Partner is the general partner of the Second
Noonday Sub-adviser. The Farallon Individual
Reporting Persons are managing members of the
Farallon General Partner. The Noonday Individual
Reporting Person is the managing member of both the
First Noonday Sub-adviser and the Noonday General
Partner.
(e) Not applicable.
Page 32 of 49 Pages
(d) The Noonday Sub-adviser Entities
--------------------------------
(a),(b) The information set forth in Rows 7 through 13 of the
cover page hereto for each Noonday Sub-adviser Entity
is incorporated herein by reference.
(c) None.
(d) The Farallon General Partner and each of the First
Noonday Sub-adviser and the Second Noonday
Sub-adviser, as a sub-investment adviser to the
Funds, has the power to direct the receipt of
dividends relating to, or the disposition of the
proceeds of the sale of, all or certain of the Shares
held by the Funds as reported herein. The Management
Company and each of the First Noonday Sub-adviser and
the Second Noonday Sub-adviser, as a sub-investment
adviser to the Managed Accounts, has the power to
direct the receipt of dividends relating to, or the
disposition of the proceeds of the sale of, all or
certain of the Shares held by the Managed Accounts as
reported herein. The Farallon Individual Reporting
Persons are managing members of the Farallon General
Partner and the Management Company. The Noonday
General Partner is the general partner of the Second
Noonday Sub-adviser. The Noonday Individual Reporting
Person is the managing member of both the First
Noonday Sub-adviser and the Noonday General Partner.
(e) Not applicable.
(e) The Farallon Individual Reporting Persons
-----------------------------------------
(a),(b) The information set forth in Rows 7 through 13 of the
cover page hereto for each Farallon Individual
Reporting Person is incorporated herein by reference
for each such Farallon Individual Reporting Person.
(c) None.
(d) The Farallon General Partner and each of the First
Noonday Sub-adviser and the Second Noonday
Sub-adviser, as a sub-investment adviser to the
Funds, has the power to direct the receipt of
dividends relating to, or the disposition of the
proceeds of the sale of, all or certain of the Shares
held by the Funds as reported herein. The Management
Company and each of the First Noonday Sub-adviser and
the Second Noonday Sub-adviser, as a sub-investment
adviser to the Managed Accounts, has the power to
direct the receipt of dividends relating to, or the
disposition of the proceeds of the sale of, all or
certain of the Shares held by the Managed Accounts as
reported herein. The Farallon Individual Reporting
Persons are managing members of the Farallon General
Partner and the Management Company. The Noonday
General Partner is the general partner of the Second
Noonday Sub-adviser. The
Page 33 of 49 Pages
Noonday Individual Reporting Person is the managing
member of both the First Noonday Sub-adviser and the
Noonday General Partner.
(e) Not applicable.
(f) The Noonday Individual Reporting Person
---------------------------------------
(a),(b) The information set forth in Rows 7 through 13 of the
cover page hereto for the Noonday Individual
Reporting Person is incorporated herein by reference
for the Noonday Individual Reporting Person.
(c) None.
(d) The Farallon General Partner and each of the First
Noonday Sub-adviser and the Second Noonday
Sub-adviser, as a sub-investment adviser to the
Funds, has the power to direct the receipt of
dividends relating to, or the disposition of the
proceeds of the sale of, all or certain of the Shares
held by the Funds. The Management Company and each of
the First Noonday Sub-adviser and the Second Noonday
Sub-adviser, as a sub-investment adviser to the
Managed Accounts, has the power to direct the receipt
of dividends relating to, or the disposition of the
proceeds of the sale of, all or certain of the Shares
held by the Managed Accounts. The Farallon Individual
Reporting Persons are managing members of the
Farallon General Partner and the Management Company.
The Noonday General Partner is the general partner of
the Second Noonday Sub-adviser. The Noonday
Individual Reporting Person is the managing member of
both the First Noonday Sub-adviser and the Noonday
General Partner.
(e) Not applicable.
The Shares reported hereby for the Funds are owned directly by the
Funds and those reported by the Management Company on behalf of the Managed
Accounts are owned directly by the Managed Accounts. The Farallon General
Partner, as general partner to the Farallon Funds and managing member of the
Noonday Fund, may be deemed to be the beneficial owner of all such Shares owned
by the Funds. The Management Company, as investment adviser to the Managed
Accounts, may be deemed to be the beneficial owner of all such Shares owned by
the Managed Accounts. The First Noonday Sub-adviser and the Second Noonday
Sub-adviser, as sub-investment advisers to the Funds and the Managed Accounts,
may be deemed to be the beneficial owner of all such Shares owned by the Noonday
Fund and certain of such Shares owned by the Farallon Funds and the Managed
Accounts. The Noonday General Partner, as general partner to the Second Noonday
Sub-adviser, may be deemed to be the beneficial owner of all such Shares owned
by the Noonday Fund and certain of such Shares owned by the Farallon Funds and
the Managed Accounts. The Farallon Individual Reporting Persons, as managing
members of both the Farallon General Partner and the Management Company, may
each be deemed to be the beneficial owner of all such Shares owned by the Funds
and the Managed Accounts. The Noonday Individual Reporting Person, as a managing
member of the First Noonday Sub-adviser and the managing
Page 34 of 49 Pages
member of the Noonday General Partner, may be deemed to be the beneficial owner
of all such Shares owned by the Noonday Fund and certain of such Shares owned by
the Farallon Funds and the Managed Accounts. Each of the Farallon General
Partner, the Management Company, the Noonday Sub-adviser Entities and the
Individual Reporting Persons hereby disclaims any beneficial ownership of any
such Shares.
Item 6. Contracts, Arrangements, Understandings Or Relationships With Respect To
------ ------------------------------------------------------------------------
Securities Of The Issuer.
------------------------
Except as described above, there are no contracts, arrangements,
understandings or relationships (legal or otherwise) among the Reporting Persons
or between such persons and any other person with respect to any securities of
the Company, including but not limited to the transfer or voting of any
securities of the Company, finder's fees, joint ventures, loan or option
arrangements, puts or calls, guarantees of profits, divisions of profits or
loss, or the giving or withholding of proxies.
Item 7. Materials To Be Filed As Exhibits.
------ ---------------------------------
There is filed herewith as Exhibit 1 a written agreement relating to
the filing of joint acquisition statements as required by Section 240.13d-1(k)
under the Securities Exchange Act of 1934, as amended.
Page 35 of 49 Pages
SIGNATURES
----------
After reasonable inquiry and to the best of our knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Dated: March 28, 2005
/s/ Monica R. Landry
----------------------------------------
FARALLON PARTNERS, L.L.C.,
on its own behalf, as the General Partner of
FARALLON CAPITAL PARTNERS, L.P.,
FARALLON CAPITAL INSTITUTIONAL PARTNERS, L.P.,
FARALLON CAPITAL INSTITUTIONAL PARTNERS II, L.P.,
FARALLON CAPITAL INSTITUTIONAL PARTNERS III, L.P.,
and TINICUM PARTNERS, L.P.,
and as the Managing Member of
NOONDAY CAPITAL PARTNERS, L.L.C.
By Monica R. Landry,
Managing Member
/s/ Monica R. Landry
----------------------------------------
FARALLON CAPITAL MANAGEMENT, L.L.C.,
By Monica R. Landry,
Managing Member
/s/ Monica R. Landry
----------------------------------------
NOONDAY G.P. (U.S.), L.L.C.
By Monica R. Landry,
Attorney-in-fact
/s/ Monica R. Landry
----------------------------------------
NOONDAY CAPITAL, L.L.C.
on its own behalf and as the General Partner of
NOONDAY ASSET MANAGEMENT, L.P.
By Monica R. Landry,
Attorney-in-fact
/s/ Monica R. Landry
----------------------------------------
Monica R. Landry, individually and as attorney-in-fact
for each of David I. Cohen, Chun R. Ding, Joseph F. Downes,
William F. Duhamel, Charles E. Ellwein, Richard B. Fried,
William F. Mellin, Stephen L. Millham, Rajiv A. Patel,
Derek C. Schrier, Thomas F. Steyer and Mark C. Wehrly.
Page 36 of 49 Pages
The Powers of Attorney, each executed by Joseph F. Downes, William F.
Duhamel, Richard B. Fried, William F. Mellin, Stephen L. Millham, Thomas F.
Steyer and Mark C. Wehrly authorizing Monica R. Landry to sign and file this
Schedule 13D on each person's behalf, which were filed with Amendment No. 2 to
the Schedule 13D filed with the Securities and Exchange Commission on July 16,
2003, by such Reporting Persons with respect to the Common Stock of New World
Restaurant Group, Inc., are hereby incorporated by reference. The Powers of
Attorney executed by each of Chun R. Ding and Derek C. Schrier authorizing
Monica R. Landry to sign and file this Schedule 13D on his behalf, which was
filed with Amendment No. 1 to the Schedule 13D filed with the Securities and
Exchange Commission on July 2, 2003, by such Reporting Person with respect to
the Common Stock of Salix Pharmaceuticals, Ltd., is hereby incorporated by
reference. The Powers of Attorney executed by each of Charles E. Ellwein and
Rajiv A. Patel authorizing Monica R. Landry to sign and file this Schedule 13D
on his behalf, which was filed with Amendment No. 4 to the Schedule 13G filed
with the Securities and Exchange Commission on January 8, 2004 by such Reporting
Person with respect to the Common Stock of Catalytica Energy Systems, Inc., is
hereby incorporated by reference. The Powers of Attorney executed by each of
Noonday G.P. (U.S.), L.L.C., Noonday Asset Management, L.P., Noonday Capital,
L.L.C. and David I. Cohen authorizing Monica R. Landry to sign and file this
Schedule 13D on its or his behalf, which was filed with Amendment No. 5 to the
Schedule 13G filed with the Securities and Exchange Commission on January 10,
2005 by such Reporting Person with respect to the Common Stock of Catalytica
Energy Systems, Inc. is hereby incorporated by reference.
Page 37 of 49 Pages
ANNEX 1
Set forth below with respect to the Management Company, the Farallon
General Partner and the Noonday Sub-adviser Entities is the following
information: (a) name; (b) address; (c) principal business; (d) state of
organization; and (e) controlling persons. Set forth below with respect to each
Individual Reporting Person is the following information: (a) name; (b) business
address; (c) principal occupation; and (d) citizenship.
1. The Management Company
----------------------
(a) Farallon Capital Management, L.L.C.
(b) One Maritime Plaza, Suite 1325
San Francisco, California 94111
(c) Serves as investment adviser to various managed accounts
(d) Delaware limited liability company
(e) Managing Members: Thomas F. Steyer, Senior Managing Member;
Chun R. Ding, Joseph F. Downes, William F. Duhamel, Charles E.
Ellwein, Richard B. Fried, Monica R. Landry, William F.
Mellin, Stephen L. Millham, Rajiv A. Patel, Derek C. Schrier
and Mark C. Wehrly, Managing Members.
2. The Farallon General Partner
----------------------------
(a) Farallon Partners, L.L.C.
(b) c/o Farallon Capital Management, L.L.C.
One Maritime Plaza, Suite 1325
San Francisco, California 94111
(c) Serves as the general partner of investment partnerships
(d) Delaware limited liability company
(e) Managing Members: Thomas F. Steyer, Senior Managing Member;
Chun R. Ding, Joseph F. Downes, William F. Duhamel, Charles E.
Ellwein, Richard B. Fried, Monica R. Landry, William F.
Mellin, Stephen L. Millham, Rajiv A. Patel, Derek C. Schrier
and Mark C. Wehrly, Managing Members.
3. The First Noonday Sub-adviser
-----------------------------
(a) Noonday G.P. (U.S.), L.L.C.
(b) c/o Noonday Asset Management, L.P.
227 West Trade Street, Suite 2140
Charlotte, North Carolina 28202
(c) Serves as a sub-investment adviser to investment funds
(d) Delaware limited liability company
(e) Managing Member: David I. Cohen
Page 38 of 49 Pages
4. The Second Noonday Sub-adviser
------------------------------
(a) Noonday Asset Management, L.P.
(b) c/o Noonday Asset Management, L.P.
227 West Trade Street, Suite 2140
Charlotte, North Carolina 28202
(c) Serves as a sub-investment adviser to investment funds
(d) Delaware limited partnership
(e) David I. Cohen, the managing member of its general partner
5. The Noonday General Partner
---------------------------
(a) Noonday Capital, L.L.C.
(b) c/o Noonday Asset Management, L.P.
227 West Trade Street, Suite 2140
Charlotte, North Carolina 28202
(c) Serves as the general partner of the Second Noonday
Sub-adviser
(d) Delaware limited liability company
(e) Managing Member: David I. Cohen
6. The Farallon Individual Reporting Persons
-----------------------------------------
Each of the Farallon Individual Reporting Persons is a United States
citizen whose business address is c/o Farallon Capital Management,
L.L.C., One Maritime Plaza, Suite 1325, San Francisco, California
94111. The principal occupation of Thomas F. Steyer is serving as
senior managing member of the Management Company and the Farallon
General Partner. The principal occupation of each other Farallon
Individual Reporting Person is serving as a managing member of both the
Management Company and the Farallon General Partner. None of the
Farallon Individual Reporting Persons have any additional information
to disclose with respect to Items 2-6 of the Schedule 13D that is not
already disclosed in the Schedule 13D.
7. The Noonday Individual Reporting Person
---------------------------------------
The Noonday Individual Reporting Person is a United States citizen
whose business address is c/o Noonday Asset Management, L.P., 227 West
Trade Street, Suite 2140, Charlotte, North Carolina 28202. The
principal occupation of the Noonday Individual Reporting Person is
serving as a managing member of the First Noonday Sub-adviser and the
managing member of the Noonday General Partner. The Noonday Individual
Reporting Person does not have any additional information to disclose
with respect to Items 2-6 of the Schedule 13D that is not already
disclosed in the Schedule 13D.
Page 39 of 49 Pages
SCHEDULE A
----------
FARALLON CAPITAL PARTNERS, L.P.
-------------------------------
NO. OF SHARES
PURCHASED (P) PRICE
TRADE DATE OR SOLD (S) PER SHARE ($)
------------ ------------- --------------
3/9/2005 167,900 (P) 10.43
3/9/2005 75,800 (P) 10.43
3/11/2005 36,600 (P) 10.31
3/11/2005 21,800 (P) 10.28
3/11/2005 8,400 (P) 10.31
3/11/2005 5,000 (P) 10.28
3/14/2005 31,600 (P) 10.43
3/14/2005 10,900 (P) 10.40
3/14/2005 2,500 (P) 10.40
3/14/2005 7,300 (P) 10.43
3/15/2005 37,400 (P) 10.51
3/15/2005 17,400 (P) 10.48
3/15/2005 8,500 (P) 10.51
3/15/2005 4,000 (P) 10.48
3/16/2005 42,900 (P) 10.53
3/16/2005 4,600 (P) 10.51
3/16/2005 1,000 (P) 10.51
3/16/2005 9,900 (P) 10.53
3/17/2005 135,000 (P) 11.63
3/17/2005 110,700 (P) 11.69
3/17/2005 362,500 (P) 11.72
3/18/2005 75,600 (P) 11.45
3/18/2005 13,500 (P) 11.45
3/18/2005 111,400 (P) 11.48
Page 40 of 49 Pages
SCHEDULE B
----------
FARALLON CAPITAL INSTITUTIONAL PARTNERS, L.P.
---------------------------------------------
NO. OF SHARES
PURCHASED (P) PRICE
TRADE DATE OR SOLD (S) PER SHARE ($)
------------ ------------- --------------
3/9/2005 108,100 (P) 10.43
3/9/2005 48,800 (P) 10.43
3/11/2005 24,500 (P) 10.31
3/11/2005 14,600 (P) 10.28
3/11/2005 5,600 (P) 10.31
3/11/2005 3,400 (P) 10.28
3/14/2005 7,300 (P) 10.40
3/14/2005 21,200 (P) 10.43
3/14/2005 1,700 (P) 10.40
3/14/2005 4,900 (P) 10.43
3/15/2005 25,700 (P) 10.51
3/15/2005 12,000 (P) 10.48
3/15/2005 5,900 (P) 10.51
3/15/2005 2,800 (P) 10.48
3/16/2005 30,200 (P) 10.53
3/16/2005 3,200 (P) 10.51
3/16/2005 6,900 (P) 10.53
3/16/2005 700 (P) 10.51
3/17/2005 93,800 (P) 11.63
3/17/2005 76,900 (P) 11.69
3/17/2005 251,700 (P) 11.72
3/18/2005 52,500 (P) 11.45
3/18/2005 9,400 (P) 11.45
3/18/2005 76,500 (P) 11.48
Page 41 of 49 Pages
SCHEDULE C
----------
FARALLON CAPITAL INSTITUTIONAL PARTNERS II, L.P.
------------------------------------------------
NO. OF SHARES
PURCHASED (P) PRICE
TRADE DATE OR SOLD (S) PER SHARE ($)
------------ ------------- --------------
3/9/2005 3,800 (P) 10.43
3/9/2005 8,300 (P) 10.43
3/11/2005 1,200 (P) 10.28
3/11/2005 2,000 (P) 10.31
3/11/2005 400 (P) 10.31
3/11/2005 300 (P) 10.28
3/14/2005 600 (P) 10.40
3/14/2005 1,700 (P) 10.43
3/14/2005 400 (P) 10.43
3/14/2005 100 (P) 10.40
3/15/2005 2,100 (P) 10.51
3/15/2005 1,000 (P) 10.48
3/15/2005 200 (P) 10.48
3/15/2005 400 (P) 10.51
3/16/2005 2,400 (P) 10.53
3/16/2005 300 (P) 10.51
3/16/2005 600 (P) 10.53
3/16/2005 100 (P) 10.51
3/17/2005 7,500 (P) 11.63
3/17/2005 6,200 (P) 11.69
3/17/2005 20,100 (P) 11.72
3/18/2005 800 (P) 11.45
3/18/2005 4,200 (P) 11.45
3/18/2005 5,600 (P) 11.48
Page 42 of 49 Pages
SCHEDULE D
----------
FARALLON CAPITAL INSTITUTIONAL PARTNERS III, L.P.
-------------------------------------------------
NO. OF SHARES
PURCHASED (P) PRICE
TRADE DATE OR SOLD (S) PER SHARE ($)
------------ ------------- --------------
3/9/2005 10,000 (P) 10.43
3/9/2005 4,500 (P) 10.43
3/11/2005 1,400 (P) 10.28
3/11/2005 2,400 (P) 10.31
3/11/2005 300 (P) 10.28
3/11/2005 500 (P) 10.31
3/14/2005 2,000 (P) 10.43
3/14/2005 700 (P) 10.40
3/14/2005 400 (P) 10.43
3/14/2005 200 (P) 10.40
3/15/2005 2,400 (P) 10.51
3/15/2005 1,100 (P) 10.48
3/15/2005 300 (P) 10.48
3/15/2005 600 (P) 10.51
3/16/2005 2,800 (P) 10.53
3/16/2005 300 (P) 10.51
3/16/2005 100 (P) 10.51
3/16/2005 600 (P) 10.53
3/17/2005 7,200 (P) 11.69
3/17/2005 8,800 (P) 11.63
3/17/2005 23,500 (P) 11.72
3/18/2005 4,900 (P) 11.45
3/18/2005 900 (P) 11.45
3/18/2005 6,800 (P) 11.48
Page 43 of 49 Pages
SCHEDULE E
----------
TINICUM PARTNERS, L.P.
----------------------
NO. OF SHARES
PURCHASED (P) PRICE
TRADE DATE OR SOLD (S) PER SHARE ($)
------------ ------------- --------------
3/9/2005 3,300 (P) 10.43
3/9/2005 1,500 (P) 10.43
3/11/2005 300 (P) 10.31
3/11/2005 200 (P) 10.28
3/11/2005 100 (P) 10.31
3/11/2005 100 (P) 10.28
3/14/2005 300 (P) 10.43
3/14/2005 100 (P) 10.40
3/14/2005 100 (P) 10.43
3/15/2005 200 (P) 10.48
3/15/2005 300 (P) 10.51
3/15/2005 100 (P) 10.51
3/16/2005 800 (P) 10.53
3/16/2005 100 (P) 10.51
3/16/2005 100 (P) 10.51
3/16/2005 200 (P) 10.53
3/17/2005 2,100 (P) 11.69
3/17/2005 2,500 (P) 11.63
3/17/2005 6,700 (P) 11.72
3/18/2005 300 (P) 11.45
3/18/2005 1,400 (P) 11.45
3/18/2005 2,300 (P) 11.48
Page 44 of 49 Pages
SCHEDULE F
----------
NOONDAY CAPITAL PARTNERS, L.L.C.
--------------------------------
NO. OF SHARES
PURCHASED (P) PRICE
TRADE DATE OR SOLD (S) PER SHARE ($)
------------ ------------- --------------
3/9/2005 29,900 (P) 10.43
3/9/2005 13,500 (P) 10.43
3/11/2005 1,500 (P) 10.31
3/11/2005 900 (P) 10.28
3/14/2005 1,300 (P) 10.43
3/14/2005 500 (P) 10.40
3/15/2005 700 (P) 10.48
3/15/2005 1,500 (P) 10.51
3/16/2005 1,800 (P) 10.53
3/16/2005 200 (P) 10.51
3/18/2005 20,300 (P) 11.48
Page 45 of 49 Pages
SCHEDULE G
----------
FARALLON CAPITAL MANAGEMENT, L.L.C.
-----------------------------------
NO. OF SHARES
PURCHASED (P) PRICE
TRADE DATE OR SOLD (S) PER SHARE ($)
------------ ------------- -------------
3/9/2005 309,200 (P) 10.43
3/9/2005 139,300 (P) 10.43
3/11/2005 68,600 (P) 10.31
3/11/2005 40,800 (P) 10.28
3/11/2005 15,700 (P) 10.31
3/11/2005 9,100 (P) 10.28
3/14/2005 59,200 (P) 10.43
3/14/2005 20,400 (P) 10.40
3/14/2005 4,600 (P) 10.40
3/14/2005 13,400 (P) 10.43
3/15/2005 69,300 (P) 10.51
3/15/2005 32,200 (P) 10.48
3/15/2005 7,260 (P) 10.48
3/15/2005 15,800 (P) 10.51
3/16/2005 79,900 (P) 10.53
3/16/2005 8,500 (P) 10.51
3/16/2005 18,200 (P) 10.53
3/16/2005 1,838 (P) 10.51
3/17/2005 252,400 (P) 11.63
3/17/2005 206,900 (P) 11.69
3/17/2005 678,000 (P) 11.72
3/18/2005 25,100 (P) 11.45
3/18/2005 141,400 (P) 11.45
3/18/2005 208,000 (P) 11.48
3/9/2005 12,800 (P) 10.43
3/9/2005 28,300 (P) 10.43
3/11/2005 1,400 (P) 10.31
3/11/2005 900 (P) 10.28
3/14/2005 400 (P) 10.40
3/14/2005 1,200 (P) 10.43
3/15/2005 700 (P) 10.48
3/15/2005 1,500 (P) 10.51
3/16/2005 1,600 (P) 10.53
3/16/2005 200 (P) 10.51
3/18/2005 19,100 (P) 11.48
Page 46 of 49 Pages
EXHIBIT INDEX
EXHIBIT 1 Joint Acquisition Statement Pursuant to Section
240. 13d-1(k)
Page 47 of 49 Pages
EXHIBIT 1
to
SCHEDULE 13D
JOINT ACQUISITION STATEMENT
PURSUANT TO SECTION 240. 13d-1(k)
---------------------------------
The undersigned acknowledge and agree that the foregoing statement on
Schedule 13D is filed on behalf of each of the undersigned and that all
subsequent amendments to this statement on Schedule 13D shall be filed on behalf
of each of the undersigned without the necessity of filing additional joint
acquisition statements. The undersigned acknowledge that each shall be
responsible for the timely filing of such amendments, and for the completeness
and accuracy of the information concerning him, her or it contained therein, but
shall not be responsible for the completeness and accuracy of the information
concerning the other entities or persons, except to the extent that he, she or
it knows or has reason to believe that such information is inaccurate.
Dated: March 28, 2005
/s/ Monica R. Landry
----------------------------------------
FARALLON PARTNERS, L.L.C.,
on its own behalf, as the General Partner of
FARALLON CAPITAL PARTNERS, L.P.,
FARALLON CAPITAL INSTITUTIONAL PARTNERS, L.P.,
FARALLON CAPITAL INSTITUTIONAL PARTNERS II, L.P.,
FARALLON CAPITAL INSTITUTIONAL PARTNERS III, L.P.,
and TINICUM PARTNERS, L.P.,
and as the Managing Member of
NOONDAY CAPITAL PARTNERS, L.L.C.
By Monica R. Landry,
Managing Member
/s/ Monica R. Landry
----------------------------------------
FARALLON CAPITAL MANAGEMENT, L.L.C.,
By Monica R. Landry,
Managing Member
/s/ Monica R. Landry
----------------------------------------
NOONDAY G.P. (U.S.), L.L.C.
By Monica R. Landry,
Attorney-in-fact
Page 48 of 49 Pages
/s/ Monica R. Landry
----------------------------------------
NOONDAY CAPITAL, L.L.C.
on its own behalf and as the General Partner of
NOONDAY ASSET MANAGEMENT, L.P.
By Monica R. Landry,
Attorney-in-fact
/s/ Monica R. Landry
----------------------------------------
Monica R. Landry, individually and as attorney-in-fact
for each of David I. Cohen, Chun R. Ding, Joseph F. Downes,
William F. Duhamel, Charles E. Ellwein, Richard B. Fried,
William F. Mellin, Stephen L. Millham, Rajiv A. Patel,
Derek C. Schrier, Thomas F. Steyer and Mark C. Wehrly.
Page 49 of 49 Pages