SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
------------------------
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 23)*
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)
September 25, 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 ss. 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
--------------------------
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
NUMBER OF SHARES None
BENEFICIALLY OWNED BY
EACH REPORTING 8 SHARED VOTING POWER
PERSON 2,500,001(1)
WITH
9 SOLE DISPOSITIVE POWER
None
10 SHARED DISPOSITIVE POWER
2,500,001(1)
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,500,001(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 3.6% (based upon 68,858,761 shares outstanding as of
July 30, 2002 according to Philadelphia Suburban Corporation's
Quarterly Report on Form 10-Q for the Quarter ended June 30,
2002)
14 TYPE OF REPORTING PERSON*
CO
*SEE INSTRUCTIONS BEFORE FILLING OUT!
(1) As of the date hereof, Vivendi Universal holds approximately 40.8% 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
--------------------------
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
NUMBER OF SHARES None
BENEFICIALLY OWNED BY
EACH REPORTING 8 SHARED VOTING POWER
PERSON 2,500,001
WITH
9 SOLE DISPOSITIVE POWER
None
10 SHARED DISPOSITIVE POWER
2,500,001
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,500,001
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* |_|
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Approximately 3.6% (based upon 68,858,761 shares outstanding as of
July 30, 2002 according to Philadelphia Suburban Corporation's
Quarterly Report on Form 10-Q for the Quarter ended June 30,
2002)
14 TYPE OF REPORTING PERSON*
CO
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13D
--------------------------
CUSIP No. 718009-6-08
--------------------------
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
NUMBER OF SHARES None
BENEFICIALLY OWNED BY
EACH REPORTING 8 SHARED VOTING POWER
PERSON None
WITH
9 SOLE DISPOSITIVE POWER
None
10 SHARED DISPOSITIVE POWER
None
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
None
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* |_|
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
N/A
14 TYPE OF REPORTING PERSON*
CO
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13D
--------------------------
CUSIP No. 718009-6-08
--------------------------
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
NUMBER OF SHARES None
BENEFICIALLY OWNED BY
EACH REPORTING 8 SHARED VOTING POWER
PERSON 2,500,001
WITH
9 SOLE DISPOSITIVE POWER
None
10 SHARED DISPOSITIVE POWER
2,500,001
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,500,001
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* |_|
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Approximately 3.6% (based upon 68,858,761 shares outstanding as of
July 30, 2002 according to Philadelphia Suburban Corporation's
Quarterly Report on Form 10-Q for the Quarter ended June 30, 2002)
14 TYPE OF REPORTING PERSON*
CO
*SEE INSTRUCTIONS BEFORE FILLING OUT!
This Amendment No. 23 (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 subsidiaries 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
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.
------------------------
The second paragraph of Item 2(a) is amended and restated in
its entirety as follows:
"Except for three (3) shares held indirectly by Vivendi
Universal, Water is a wholly owned subsidiary of Environnement. Vivendi
Universal holds approximately 40.8% 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."
The last paragraph of Item 2(c) is amended and restated in its
entirety 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, Water and
VNAC are set forth in Schedule 1 hereto and incorporated herein by reference."
Item 4. Purpose of Transaction.
----------------------
The first paragraph of Item 4 is amended and restated in its
entirety as follows:
"The Shares owned by the Filing Persons were acquired, and are
being held, as an investment. None of the Filing Persons has any present plans
or proposals which may be related to or would result in:"
Paragraph (c) of Item 4 is amended and restated in its
entirety as follows:
"(c) Any change in the present board of directors or
management of the Issuer, including any plans or proposals to change the number
or term of directors or to fill any existing vacancies on the board."
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 September 25, 2002, Vivendi Universal could be
deemed to be, through its 40.8% interest in Environnement, the beneficial owner
of 2,500,001 Shares held by Water. 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 September 25, 2002, Environnement was, through its
subsidiary Water, the beneficial owner of 2,500,001 Shares, constituting
approximately 3.6% of the outstanding Shares (based upon 68,858,761 shares
outstanding as of July 30, 2002 according to the Issuer's Quarterly Report on
Form 10-Q for the Quarter ended June 30, 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 September 25, 2002, Water was the beneficial owner of
2,500,001 Shares, constituting approximately 3.6% of the outstanding Shares
(based upon 68,858,761 shares outstanding as of July 30, 2002 according to the
Issuer's Quarterly Report on Form 10-Q for the Quarter ended June 30, 2002). To
the best knowledge of Water, no director or executive officer owns or has any
right to acquire, directly or indirectly, any Shares.
As of September 25, 2002, VNAC did not beneficially own any
Shares. To the best knowledge of VNAC, no director or executive officer owns or
has any right to acquire, directly or indirectly, any Shares.
(b) Environnement has, through its subsidiary Water, the
shared power to vote or direct the disposition of 2,500,001 Shares. Water has
the shared power to vote or direct the disposition of 2,500,001 Shares.
(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 (i) 875 Shares owned by Andrew D. Seidel, a member of the Management Board
of Environnement, (ii) 7,834,220 Shares sold by Water on September 25, 2002 to
the members of an underwriting syndicate led by Deutsche Bank Securities Inc.
and UBS Warburg LLC (collectively, the "Underwriters") pursuant to an
underwriting agreement dated September 19, 2002 by and among the Underwriters,
the Issuer, Water and VNAC (the "Underwriting Agreement"), and (iii) 761,655
Shares sold by VNAC to the Underwriters pursuant to the Underwriting Agreement.
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 761,655 Shares sold by VNAC
to the Underwriters pursuant to the Underwriting Agreement.
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, other than 7,834,220
Shares sold by VNAC to the Underwriters pursuant to the Underwriting Agreement."
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, which was declared
effective by the Commission on September 19, 2002. Each of Water, VNAC and the
Issuer executed the Underwriting Agreement in the form attached to the Agreement
on September 19, 2002.
Pursuant to the Underwriting Agreement, on September 25, 2002
the Underwriters acquired 8,595,875 Shares from Water and VNAC at $18.25 per
Share (the "Offering Price"), less underwriting discounts and commission of
$0.78 per Share (the "Underwriting Discount"), in connection with the public
resale of the Registered Shares. In addition, the Underwriters have an option to
purchase up to an additional 1,289,381 Shares (the "Option Shares") from Water
at any time within 30 days from the date of the Underwriting Agreement at the
Offering Price less the Underwriting Discount. On September 25, 2002, the
Underwriters delivered a written exercise notice to purchase all of the Option
Shares and designated September 27, 2002 as the closing date for such purchase.
Pursuant the Agreement, the Issuer shall repurchase all of the
remaining 1,210,620 Shares (the "Buyback Shares") held by Water at the Offering
Price on October 25, 2002. Upon the consummation of the purchase of the Option
Shares by the Underwriters and the purchase of the Buyback Shares by the Issuer,
none of the Filing Persons shall beneficially own any Shares.
This summary is qualified in its entirety by reference to the
Agreement and the Underwriting Agreement, which are being filed herewith as
Exhibits to this Amendment and are incorporated by reference herein.
Except as set forth in the preceding paragraphs, 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 Vivendi Environnement S.A., Vivendi Water S.A., Vivendi
North America Company and Philadelphia Suburban Corporation.(1)
2. Underwriting Agreement dated September 19, 2002 between
Philadelphia Suburban Corporation, Vivendi Water S.A., Vivendi
North America Company and Deutsche Bank Securities Inc. and UBS
Warburg LLC, as Representatives of the several underwriters named
therein. 3. Joint Filing Agreement.(1)
4. Special Power of Attorney of Vivendi North America Company(2)
5. Special Power of Attorney of Vivendi Water S.A.(2)
----------------------------------------------------------------------
(1) Previously filed as an exhibit to Amendment 22 to Schedule 13D
filed on July 8, 2002.
(2) 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 Gerhard Kleisterlee German Chief Executive Officer
Royal Philips Electronic of Royal Philips Electronic
P.O. Box 77900
Building HBT 14
1070 Amsterdam
The Netherlands
-------------------------------------------------------------------------------------------------------------------------
Director Dominique Hoenn 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)
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
-------------------------------------------------------------------------------------------------------------------------
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 Friedmann French Director of BNP Paribas
80 avenue de Breteuil and TotalFinaElf S.A.
75015 Paris
France
-------------------------------------------------------------------------------------------------------------------------
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 Fernando Falco Spanish Chairman and Real
RACE Automovil Club de
10, Jose Abascal Espana (RACE); Vice-
28003 Madrid Chairman of Banco de
Spain Extremadura
-------------------------------------------------------------------------------------------------------------------------
Director Marc Vienot French Honorary Chairman and
c/o 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
-------------------------------------------------------------------------------------------------------------------------
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
-------------------------------------------------------------------------------------------------------------------------
II. Executive Officers
(other than those who are
also Directors)
-------------------------------------------------------------------------------------------------------------------------
Senior Executive Vice Jacques Espinasse 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
-------------------------------------------------------------------------------------------------------------------------
Senior Executive Vice Robert de Metz French
President, Divestitures, c/o Vivendi Universal
Mergers and Acquisitions 42, avenue de Friedland
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Chief Operating Officer Jean-Bernard Levy French
c/o Vivendi Universal
42, avenue de Friedland
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Director of Communication Michel Bourgeois French
c/o Vivendi Universal
42, avenue de Friedland
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Executive Vice President Jean-Francois Dubos French
and General Counsel 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
Environnement Business Address
-------------------------------------------------------------------------------------------------------------------------
I. Members of Supervisory
Board
-------------------------------------------------------------------------------------------------------------------------
Chairman 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
-------------------------------------------------------------------------------------------------------------------------
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 Jean Azema French Chief Executive Officer
c/o Groupama of Groupama
8, rue d'Astorg
75008 Paris
France
-------------------------------------------------------------------------------------------------------------------------
Member Jacques Epinasse French Senior Executive Vice
c/o 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.
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
Environnement Business Address
-------------------------------------------------------------------------------------------------------------------------
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
France
-------------------------------------------------------------------------------------------------------------------------
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
-------------------------------------------------------------------------------------------------------------------------
Member Jean-Marie Messier French
64, boulevard des Courcelles
75017 Paris
France
-------------------------------------------------------------------------------------------------------------------------
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
Environnement Business Address
-------------------------------------------------------------------------------------------------------------------------
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 Sole 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
-------------------------------------------------------------------------------------------------------------------------
Directors 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. Directors
-------------------------------------------------------------------------------------------------------------------------
Chairman and Chief Henri Proglio French Chairman of the
Executive Officer Management Board and
Chief Executive Officer
of Vivendi Environment
-------------------------------------------------------------------------------------------------------------------------
Director Pierre-Henri Galan French
c/o Vivendi Universal
42, avenue de Friedland
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Director 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: September 25, 2002
VIVENDI UNIVERSAL S.A.
By: /s/ Dominique Gibert
-------------------------------------
Name: Dominique Gibert
Deputy Chief Financial Officer
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