SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
------------------------
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 22)*
PHILADELPHIA SUBURBAN CORPORATION
--------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, par value $0.50 per share
--------------------------------------------------------------------------------
(Title of Class of Securities)
718009-6-08
--------------------------------------------------------------------------------
(CUSIP Number)
Andrew A. Bernstein, Esq. Stephen P. Stanczak, Esq.
Cleary, Gottlieb, Steen & Hamilton c/o United States Filter Corporation
41, avenue de Friedland 40-004 Cook Street
75008 Paris, France Palm Desert, CA 92211
33-1-40-74-68-00 (760) 341-8126
--------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
July 8, 2002
------------------------------------------------------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the
following box [ ].
Note: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See Section 240.13d-7(b) 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 or otherwise subject to the liabilities of that section of the Act but
shall be subject to all other provisions of the Act (however, see the Notes).
SCHEDULE 13D
CUSIP No. 718009-6-08 Page 2
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Vivendi Universal S.A. (formerly Vivendi S.A.)
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
3
4 SOURCE OF FUNDS*
OO
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
France
7 SOLE VOTING POWER
None
NUMBER OF SHARES
BENEFICIALLY OWNED 8 SHARED VOTING POWER
BY 11,095,875(1)
EACH REPORTING
PERSON 9 SOLE DISPOSITIVE POWER
WITH None
10 SHARED DISPOSITIVE POWER
11,095,875(1)
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11,095,875(1)
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Approximately 16.2% (based upon 68,651,874 shares outstanding as of May
7, 2002 according to Philadelphia Suburban Corporation's Quarterly
Report on Form 10-Q for the Quarter ended March 31, 2002)
14 TYPE OF REPORTING PERSON*
CO
*SEE INSTRUCTIONS BEFORE FILLING OUT!
(1) As of the date hereof, Vivendi Universal holds approximately 47.7% of the
shares of Vivendi Environnement S.A., which beneficially owns, through certain
of its subsidiaries, the securities covered by this statement. Vivendi Universal
does not own any of the securities covered by this statement (other than through
its interest in Vivendi Environnement) and disclaims beneficial ownership of
such securities. This statement may not be construed as an admission by Vivendi
Universal that it is the beneficial owner of any such securities.
SCHEDULE 13D
CUSIP No. 718009-6-08 Page 3
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Vivendi Environnement S.A.
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
3
4 SOURCE OF FUNDS*
OO
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
France
7 SOLE VOTING POWER
None
NUMBER OF SHARES
BENEFICIALLY OWNED 8 SHARED VOTING POWER
BY 11,095,875
EACH REPORTING
PERSON 9 SOLE DISPOSITIVE POWER
WITH None
10 SHARED DISPOSITIVE POWER
11,095,875
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11,095,875
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Approximately 16.2% (based upon 68,651,874 shares outstanding as of May
7, 2002 according to Philadelphia Suburban Corporation's Quarterly
Report on Form 10-Q for the Quarter ended March 31, 2002)
14 TYPE OF REPORTING PERSON*
CO
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13D
CUSIP No. 718009-6-08 Page 4
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Vivendi North America Company (formerly Anjou International Company)
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
3
4 SOURCE OF FUNDS*
OO
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware, U.S.A.
7 SOLE VOTING POWER
None
NUMBER OF SHARES
BENEFICIALLY OWNED 8 SHARED VOTING POWER
BY 761,654
EACH REPORTING
PERSON 9 SOLE DISPOSITIVE POWER
WITH None
10 SHARED DISPOSITIVE POWER
761,654
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
761,654
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Approximately 1.1% (based upon 68,651,874 shares outstanding as of May
7, 2002 according to Philadelphia Suburban Corporation's Quarterly
Report on Form 10-Q for the Quarter ended March 31, 2002)
14 TYPE OF REPORTING PERSON*
CO
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13D
CUSIP No. 718009-6-08 Page 5
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Vivendi Water S.A.
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
3
4 SOURCE OF FUNDS*
OO
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
France
7 SOLE VOTING POWER
None
NUMBER OF SHARES
BENEFICIALLY OWNED 8 SHARED VOTING POWER
BY 10,334,221
EACH REPORTING
PERSON 9 SOLE DISPOSITIVE POWER
WITH None
10 SHARED DISPOSITIVE POWER
10,334,221
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,334,221
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Approximately 15.1% (based upon 68,651,874 shares outstanding as of May
7, 2002 according to Philadelphia Suburban Corporation's Quarterly
Report on Form 10-Q for the Quarter ended March 31, 2002)
14 TYPE OF REPORTING PERSON*
CO
*SEE INSTRUCTIONS BEFORE FILLING OUT!
This Amendment No. 22 (this "Amendment"), which amends and
supplements the Report on Schedule 13D dated August 1, 2000, as amended and
restated (the "Schedule 13D"), of Vivendi Universal S.A. (formerly Vivendi
S.A.), its indirect affiliates Vivendi North America Company (formerly Anjou
International Company) and Vivendi Water S.A., and Vivendi Water S.A.'s
wholly-owned subsidiary Compagnie Generale des Eaux, is filed to reflect the
execution of a registration and stock purchase agreement by and among Vivendi
Environment S.A., Vivendi Water S.A., Vivendi North America Company and the
Issuer, and to reflect information required pursuant to Rule 13d-2 under the
Securities Exchange Act of 1934, as amended, relating to the shares of common
stock, par value $0.55 per share, of the Issuer.
All capitalized terms used in this Amendment and not otherwise
defined herein have the meanings ascribed to such terms in the Schedule 13D.
Item 2. Identity and Background.
Items 2(a) and (b) of Schedule 13D are amended and restated in
their entirety as follows:
"(a) This statement is filed by Vivendi Universal S.A.
(formerly Vivendi S.A.) ("Vivendi Universal" or "Vivendi"), Vivendi
Environnement S.A. ("Environnement") and Environnement's subsidiaries Vivendi
North America Company (formerly Anjou International Company) ("VNAC") and
Vivendi Water S.A. ("Water" and, together with Vivendi, Environnement and VNAC,
the "Filing Persons").
Except for three (3) shares held indirectly by Vivendi
Universal, Water is a wholly owned subsidiary of Environnement. Vivendi
Universal holds approximately 47.7% of the capital stock of Environnement. VNAC
is a wholly owned subsidiary of Vivendi North America Operations, Inc.
("Operations"), a wholly-owned indirect subsidiary of Environnement.
(b) The business address of Vivendi Universal is 42 avenue de
Friedland, 75380 Paris, Cedex 08, France. The business address of Environnement
is 36-38 avenue Kleber, 75116 Paris, France. The business address of VNAC is 60
East 42nd Street, 36th Floor, New York, New York 10165. The business address of
Water is 52 Rue d'Anjou 75008, Paris, France."
Item 2(c) is amended by deleting the fourth paragraph thereof
and by amending and restating in its entirety the last paragraph thereof as
follows:
"The names, residence or business addresses and present
principal occupation or employment and the name, principal business and address
of any corporation or other organization in which such employment is conducted,
of the executive officers and directors of Vivendi, Environnement and VNAC and
the executive officers and members of the supervisory board of Water are set
forth in Schedule 1 hereto and incorporated herein by reference."
Items 2(d) and (e) are amended by deleting the last paragraph
thereof, respectively.
Item 2(f) is amended and restated in its entirety as follows:
"(f) The citizenship of the executive officers and the
directors or supervisory board members, as applicable, of Vivendi,
Environnement, VNAC and Water is set forth in Schedule 1 hereto and incorporated
herein by reference."
Item 4. Purpose of Transaction.
Item 4 of Schedule 13D is amended by deleting the first
sentence of the last paragraph thereof.
Item 5. Interest in Securities of the Issuer.
Item 5 (a)-(c) of Schedule 13D is amended and restated in its
entirety as follows:
"(a) As of July 8, 2002, Vivendi Universal could be deemed to
be, through its 47.7% interest in Environnement, the beneficial owner of
11,095,875 Shares held by certain subsidiaries of Environnement. Vivendi
Universal does not own any of the Shares (other than through its interest in
Environnement) and disclaims beneficial ownership of any Shares. This Amendment
may not be construed as an admission by Vivendi Universal that it is the
beneficial owner of any Shares. To the best knowledge of Vivendi Universal, no
director or executive officer owns or has any right to acquire, directly or
indirectly, any Shares.
As of July 8, 2002, Environnement was, through its
subsidiaries VNAC and Water, the beneficial owner of 11,095,875 Shares,
constituting approximately 16.2% of the outstanding Shares (based upon
68,651,874 shares outstanding as of May 7, 2002 according to the Issuer's
Quarterly Report on Form 10-Q for the Quarter ended March 31, 2002). To the best
knowledge of Environnement, no director or executive officer owns or has any
right to acquire, directly or indirectly, any Shares, other than Andrew D.
Seidel, a member of the Management Board of Environnement, who currently owns
875 Shares.
As of July 8, 2002, VNAC was the beneficial owner of 761,654
Shares, constituting approximately 1.1% of the outstanding Shares (based upon
68,651,874 shares outstanding as of May 7, 2002 according to the Issuer's
Quarterly Report on Form 10-Q for the Quarter ended March 31, 2002). To the best
knowledge of VNAC, no director or executive officer owns or has any right to
acquire, directly or indirectly, any Shares.
As of July 8, 2002, Water was the beneficial owner of
10,334,221 Shares, constituting approximately 15.1% of the outstanding Shares
(based upon 68,651,874 shares outstanding as of May 7, 2002 according to the
Issuer's Quarterly Report on Form 10-Q for the Quarter ended March 31, 2002). To
the best knowledge of Water, no director or executive officer owns or has any
right to acquire, directly or indirectly, any Shares.
(b) Environnement has, through its subsidiaries VNAC and
Water, the shared power to vote or direct the disposition of 11,095,875 Shares.
VNAC and Water have the shared power to vote or direct the disposition of
761,654 Shares and 10,334,221 Shares, respectively.
(c) Neither Vivendi Universal nor, to the best of Vivendi
Universal's knowledge, any executive officer or director of Vivendi Universal:
(a) owns, or has any right to acquire, directly or indirectly, any Shares or (b)
has, in the past sixty (60) days, effected any transactions in the Shares.
Neither Environnement nor, to the best of Environnement's
knowledge, any executive officer or supervisory board member of Environnement:
(a) owns, or has any right to acquire, directly or indirectly, any Shares or (b)
has, in the past sixty (60) days, effected any transactions in the Shares, other
than Andrew D. Seidel, a member of the Management Board of Environnement, who
currently owns 875 Shares.
Neither VNAC nor, to the best of VNAC's knowledge, any
executive officer or director of VNAC: (a) owns, or has any right to acquire,
directly or indirectly, any Shares or (b) has, in the past sixty (60) days,
effected any transactions in the Shares, other than 414,260 Shares sold by VNAC
in a number of brokers' transactions effected from May 10, 2002 through May 24,
2002.
Neither Water nor, to the best of Water's knowledge, any
executive officer or supervisory board member of Water (a) owns, or has any
right to acquire, directly or indirectly, any Shares or (b) has, in the past
sixty (60) days, effected any transactions in the Shares."
Item 6. Contracts, Arrangements, Understandings, or Relationships with
Respect to Securities of the Issuer.
Item 6 of Schedule 13D is amended and restated in its entirety
as follows:
"On July 8, 2002, Environnement, Water, VNAC and the Issuer
entered into a Registration and Stock Purchase Agreement (the "Agreement")
relating to the Shares. Pursuant to the Agreement, on July 8, 2002 the Issuer
filed a Registration Statement on Form S-3 ("Registration Statement") with the
U.S. Securities and Exchange Commission ("Commission") for the resale of up to
9,885,256 Shares ("Registered Shares") by VNAC and Water, and the Issuer has
agreed to use commercially reasonable efforts to have the Registration Statement
declared effective by the Commission. The Issuer has also agreed to execute an
underwriting agreement in the form attached to the Agreement (the "Underwriting
Agreement") in connection with the public resale of the Registered Shares and to
repurchase, on the terms and conditions set forth in the Agreement, up to
2,500,000 Shares (the "Buyback Shares") held by Water at the public offering
price of the Registered Shares. The closing of the repurchase by the Issuer of
the Buyback Shares will take place on later of (I) the 30th day following the
closing of the purchase of the Registered Shares under the Underwriting
Agreement and (ii) the closing date of the purchase of any over-allotment shares
by the underwriters pursuant to the Underwriting Agreement. This summary is
qualified in its entirety by reference to the Agreement, which is being filed
herewith as an Exhibit to this Amendment and is incorporated by reference
herein.
Except as set forth in the preceding paragraph, none of the
Filing Persons nor, to the best of the Filing Persons' knowledge, any person
named in Item 2 hereof, has any contract, arrangement, understanding or
relationship (legal or otherwise) with any person with respect to any securities
of the Issuer, including but not limited to any contract, arrangement,
understanding or relationship concerning the transfer or the voting of any such
securities, finder's fees, joint ventures, loan or option arrangements, puts or
calls, guarantees of profits, division of profits or loss, or the giving or
withholding of proxies."
Item 7. Material to be Filed as Exhibits.
1. Registration and Stock Purchase Agreement dated July 8, 2002,
between Environnement, Water, VNAC and Philadelphia Suburban
Corporation.
2. Joint Filing Agreement.
3. Special Power of Attorney of Vivendi Universal S.A. (formerly
Vivendi S.A.)*
4. Special Power of Attorney of Vivendi North America Company*
5. Special Power of Attorney of Vivendi Water S.A.*
-------------------
* Previously filed as an exhibit to Amendment 20 to Schedule 13D
filed on August 1, 2000.
Schedule 1
Directors and Executive Officers of Vivendi Universal S.A.
Present Principal
Occupation or Employment,
including the Name
(principal business) and
Address (if different than
Business Address) of
Position with Vivendi Name and Citizenship Employer
Business Address
-------------------------------------------------------------------------------------------------------------------------
I. Directors
-------------------------------------------------------------------------------------------------------------------------
Chairman of the Board Jean-Rene Fourtou French Chairman and Chief
c/o Vivendi Universal Executive Officer of
42, avenue de Friedland Vivendi Universal
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Director Edgar Bronfman, Jr. U.S. Special Advisor to the
Lexa Partners LLC Chairman of Vivendi
390 Park Avenue, 4th floor Universal
New York, NY 10022
-------------------------------------------------------------------------------------------------------------------------
Director Claude Bebear French Chairman of the Supervisory
AXA Board of AXA
25, avenue Matignon
75008 Paris
France
-------------------------------------------------------------------------------------------------------------------------
Director Gerard Kleisterlee Dutch Chief Executive Officer
Royal Philips Electronic of Royal Philips Electronic
P.O. Box 77900
Building HBT 14
1070 Amsterdam
The Netherlands
-------------------------------------------------------------------------------------------------------------------------
Director Eric Licoys French Executive Officer of
c/o Vivendi Universal Vivendi Universal
42, avenue de Friedland Chairman of the
75380 Paris, Cedex 08 Supervisory Board of
France Groupe Canal +
-------------------------------------------------------------------------------------------------------------------------
Director Dominique Hoehn French Chief Operating Officer
BNP Paribas of BNP Paribas
3, rue d'Antin
75009 Paris
France
-------------------------------------------------------------------------------------------------------------------------
Director Edgar M. Bronfman U.S. President of World
c/o Vivendi Universal Jewish Congress, World
375 Park Avenue, 5th floor Jewish Restitution
New York, NY 10152-0192 Organization and
USA Foundation for Jewish
Campus Life (Hillel)
-------------------------------------------------------------------------------------------------------------------------
Director Richard H. Brown U.S. Chairman and Chief Executive
Electronic Data Systems Officer of Electronic Data
5400 Legacy Drive Systems Co.
Plano, Texas 75024-3199
USA
-------------------------------------------------------------------------------------------------------------------------
Director Jean-Marc Espalioux French Chairman of the
Accor Management Board
Tour Maine Montparnasse and CEO of Accor
33 avenue du Maine
75755 Paris Cedex 15
France
-------------------------------------------------------------------------------------------------------------------------
Director Jacques Friedman French Director of BNP Paribas
80 avenue de Breteuil and TotalFinaElf S.A.
75015 Paris
-------------------------------------------------------------------------------------------------------------------------
Director Esther Koplowitz Spanish Director of Fomentos de
FCC Construcciones y
Plaza Pablo Ruiz Picasso Contratas (FCC);
28020 Madrid President of Ayuda al
Spain Desvalido Foundation
-------------------------------------------------------------------------------------------------------------------------
Director Marie-Josee Kravis Canadian Senior Fellow of
Hudson Institute Hudson Institute Inc.;
625 Park Avenue Director of The
New York, NY 10021 Canadian Imperial Bank
USA of Commerce, Hollinger
International Inc., The
Ford Motor Company
and USA Networks, Inc.
-------------------------------------------------------------------------------------------------------------------------
Director Henri Lachmann French Chairman and Chief
Schneider Electric S.A. Executive Officer of
43-45 Bd Franklin Roosevelt Schneider Electric S.A.
92500 Rueil Malmaison
France
-------------------------------------------------------------------------------------------------------------------------
Director Samuel Minzberg Canadian Chairman and Chief
Claridge Inc. Executive Officer of
1170 Peel Street, 8th floor Claridge Inc.
Montreal, Quebec H3B 4P2
-------------------------------------------------------------------------------------------------------------------------
Director Simon Murray British Chairman of Simon
Simon Murray & Murray & Associates
Associates (U.K) Ltd.
Princes House
38 Jermyn Street
England
-------------------------------------------------------------------------------------------------------------------------
Director Serge Tchuruk French Chairman and Chief
Alcatel Executive Officer of
54, rue de la Boetie Alcatel
75008 Paris
France
-------------------------------------------------------------------------------------------------------------------------
Director Marc Vienot French Honorary Chairman and
Societe Generale Director of Societe
Tour Societe Generale Generale; Chairman of
92972 Paris La Defense the Supervisory Board
France of Aventis and
Chairman of Paris
Europlace
-------------------------------------------------------------------------------------------------------------------------
II. Executive Officers
(other than those who are
also Directors)
-------------------------------------------------------------------------------------------------------------------------
Senior Executive Vice Philippe Germond French Chairman and Chief
President, Internet c/o Vivendi Universal Executive Officer of
and Telecom 42, avenue de Friedland Cegetel Groupe
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Senior Executive Vice Guillaume Hannezo French
President and Chief Financial c/o Vivendi Universal
Officer 42, avenue de Friedland
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Senior Executive Vice Andrew Kaslow U.S.
President, Human Resources c/o Vivendi Universal
42, avenue de Friedland
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Chairman and CEO of Doug Morris U.S.
UMG c/o Vivendi Universal
42, avenue de Friedland
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Senior Executive Vice Henri Proglio French Chairman of the
President, Vivendi c/o Vivendi Environnement Management Board and
Environnement 36-38 avenue Kleber Chief Executive Officer
75116 Paris of Vivendi
France Environnement
-------------------------------------------------------------------------------------------------------------------------
Vice Chairman and CEO of Agnes Touraine French
Vivendi Universal Publishing c/o Vivendi Universal
42, avenue de Friedland
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Members of Supervisory Board and Executive Officers
of Vivendi Environnement S.A.
Present Principal
Occupation or Employment,
including the Name
(principal business) and
Address (if different than
Business Address) of
Position with Vivendi Name and Citizenship Employer
Business Address
-------------------------------------------------------------------------------------------------------------------------
I. Members of Supervisory
Board
-------------------------------------------------------------------------------------------------------------------------
Chairman Jean-Marie Messier French Chairman and Chief
c/o Vivendi Universal Executive Officer of
42, avenue de Friedland Vivendi Universal
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Member Eric Licoys French Co-Chief Operating
c/o Vivendi Universal Officer of Vivendi
42, avenue de Friedland Universal; Chairman of
75380 Paris, Cedex 08 Havas Medimedia
France
-------------------------------------------------------------------------------------------------------------------------
Member Daniel Bouton French Chairman and Chief
22, rue Notre Dame de Lorette Executive Officer of
75009 Paris Societe Generale
France
-------------------------------------------------------------------------------------------------------------------------
Member Jean-Marc Espalioux French Chairman of the
Accor Management Board
Tour Maine Montparnasse and CEO of Accor
33 avenue du Maine
75755 Paris Cedex 15
France
-------------------------------------------------------------------------------------------------------------------------
Member Paul-Louis Girardot French Director of the
40, rue des Chapelles Committee of the Seine-
92310 Sevres Normandy Basin Water
France Authority
-------------------------------------------------------------------------------------------------------------------------
Member Catherine Gros French Executive Vice
Vivendi Universal President - Public
42, avenue de Friedland Relations of Vivendi
75380 Paris, Cedex 08, France Universal
-------------------------------------------------------------------------------------------------------------------------
Member Guillaume Hannezo French Senior Executive Vice
Vivendi Universal President and Chief
42, avenue de Friedland Financial Officer of
75380 Paris, Cedex 08, France Vivendi Universal
-------------------------------------------------------------------------------------------------------------------------
Member Richard Heckman U.S. Director of Vivendi
72551 Clancy Lane Water S.A.
Rancho Mirage, CA 92270 U.S.A.
-------------------------------------------------------------------------------------------------------------------------
Member Esther Koplowitz Spanish Director of Fomentos de
FCC Construcciones y
Plaza Pablo Ruiz Picasso Contratas (FCC);
28020 Madrid President of Ayuda al
Spain Desvalido Foundation
-------------------------------------------------------------------------------------------------------------------------
Member Arthur Laffer U.S. Founding Member of
P.O. Box 1167 the Congressional Policy
Rancho Santa Fe, CA 92607 Advisory Board
U.S.A.
-------------------------------------------------------------------------------------------------------------------------
Member Serge Michel French Chairman of Soficot
8, avenue Le Notre
78170 La Celle Saint-Cloud
-------------------------------------------------------------------------------------------------------------------------
Member Georges Ralli French Managing Director of
Lazard Freres & Cie. The Lazard Group
121, boulevard Haussman
75008 Paris
France
-------------------------------------------------------------------------------------------------------------------------
Member Murray Stuart British Director of Royal Bank
Longacre of Scotland Group plc,
Guildford Road Old Mutual plc and
Chobham Woking CMG plc
Surrey GU24 8EA
Great Britain
-------------------------------------------------------------------------------------------------------------------------
Member Antoine Zacharias French Chairman and Chief
Vinci Executive Officer of
1, cours Ferdinand de Lesseps Vinci
92851 Rueil Malmaison, France
-------------------------------------------------------------------------------------------------------------------------
II. Executive Officers
(Members of the Management
Board)
-------------------------------------------------------------------------------------------------------------------------
Chairman Henri Proglio French Chief Executive Officer
Vivendi Environnement of Vivendi
36-38, avenue Kleber Environnement
75116 Paris, France
-------------------------------------------------------------------------------------------------------------------------
Member Jerome Contamine French Executive Vice
Vivendi Environnement President, Finance of
36-38, avenue Kleber Vivendi Environnement
75116 Paris, France
-------------------------------------------------------------------------------------------------------------------------
Member Antoine Frerot French Chief Executive Officer
Vivendi Environnement of Connex
36-38, avenue Kleber
75116 Paris, France
-------------------------------------------------------------------------------------------------------------------------
Member Denis Gasquet French Chief Executive Officer
Vivendi Environnement of Onyx
36-38, avenue Kleber
75116 Paris, France
-------------------------------------------------------------------------------------------------------------------------
Member Jean-Pierre Denis French Chief Executive Officer
Vivendi Environnement of Dalkia
36-38, avenue Kleber
75116 Paris, France
-------------------------------------------------------------------------------------------------------------------------
Member Andy Seidel U.S. Chief Executive Officer
United States Filter Corporation of United States Filter
40-004 Cook Street Corporation
Palm Desert, CA 92211
U.S.A.
-------------------------------------------------------------------------------------------------------------------------
Directors and Executive Officers of
Vivendi North America Company
Present Principal
Name and Business Address Occupation or Employment,
Except as otherwise indicated, the Including the Name
Business Address of each person is (principal business) and
c/o Vivendi North America Company Address (if different than
60 East 42nd Street, 36th Floor Business Address) of
Position with Vivendi New York, NY 10165 Citizenship Employer
-------------------------------------------------------------------------------------------------------------------------
I. Directors
-------------------------------------------------------------------------------------------------------------------------
President and Director Jerome Contamine French
-------------------------------------------------------------------------------------------------------------------------
II. Executive Officers
(other than those who are
also Directors)
-------------------------------------------------------------------------------------------------------------------------
Treasurer and Secretary Philippe Beaute French
-------------------------------------------------------------------------------------------------------------------------
Assistant Treasurer Philippe Messager French
-------------------------------------------------------------------------------------------------------------------------
Assistant Treasurer Stephen Dunkling British
-------------------------------------------------------------------------------------------------------------------------
Members of Supervisory Board and Executive Officers of
Vivendi Water S.A.
Present Principal
Name and Business Address Occupation or Employment,
Except as otherwise indicated, the Including the Name
Business Address of each person is (principal business) and
c/o Vivendi Water S.A. Address (if different than
52, rue d'Anjou Business Address) of
Position with Vivendi 75008 Paris, France Citizenship Employer
-------------------------------------------------------------------------------------------------------------------------
I. Members of Supervisory
Board
-------------------------------------------------------------------------------------------------------------------------
Chairman and Chief Henri Proglio French Chairman of the
Executive Officer Management Board and
Chief Executive Officer
of Vivendi Environment
-------------------------------------------------------------------------------------------------------------------------
Member Pierre-Henri Galan French
c/o Vivendi Universal
42, avenue de Friedland
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Member Richard J. Heckmann U.S.
-------------------------------------------------------------------------------------------------------------------------
II. Executive Officers
(other than those who are
also Members of the
Supervisory Board)
-------------------------------------------------------------------------------------------------------------------------
Chief Financial Officer Olivier Grunberg French Deputy General
Manager of Compagnie
Generale des Eaux
-------------------------------------------------------------------------------------------------------------------------
Chief Operating Officer Olivier Barbaroux French
-------------------------------------------------------------------------------------------------------------------------
Deputy General Manager Gerard Mohr French Deputy General
Manager of Compagnie
Generale des Eaux
-------------------------------------------------------------------------------------------------------------------------
Signature
After reasonable inquiry and to the best of our knowledge and
belief, we certify that the information set forth in this statement is true,
complete and correct.
Dated: July 8, 2002
VIVENDI UNIVERSAL S.A.
By: /s/ Stephen P. Stanczak
------------------------------
Name: Stephen P. Stanczak
Attorney-in-Fact
VIVENDI ENVIRONNEMENT S.A.
By: /s/ Jerome Contamine
------------------------------
Name: Jerome Contamine
Chief Financial Officer
VIVENDI NORTH AMERICA COMPANY
By: /s/ Stephen P. Stanczak
------------------------------
Name: Stephen P. Stanczak
Attorney-in-Fact
VIVENDI WATER S.A.
By: /s/ Stephen P. Stanczak
------------------------------
Name: Stephen P. Stanczak
Attorney-in-Fact