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UNITED STATES |
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SECURITIES AND EXCHANGE COMMISSION |
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Washington, D.C. 20549 |
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SCHEDULE 13G |
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Under
the Securities Exchange Act of 1934
(Amendment No. )*
Emergent BioSolutions Inc.
(Name of Issuer)
Common Stock, $0.001 par value per share
(Title of Class of Securities)
29089Q 10 5
(CUSIP Number)
March 8, 2007
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
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o |
Rule 13d-1(b) |
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x |
Rule 13d-1(c) |
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Rule 13d-1(d) |
*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 the disclosures provided in a prior cover page.
The information required in 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).
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CUSIP No. 29089Q 10 5 |
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1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) Advent Private Equity Fund III A Limited Partnership |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
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Sole Voting Power |
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6. |
Shared Voting Power
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7. |
Sole Dispositive Power
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount Beneficially
Owned by Each Reporting Person |
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10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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CUSIP No. 29089Q 10 5 |
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1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) Advent Private Equity Fund III B Limited Partnership |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
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(b) |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
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Sole Voting Power |
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6. |
Shared Voting Power
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7. |
Sole Dispositive Power
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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CUSIP No. 29089Q 10 5 |
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1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) Advent Private Equity Fund III C Limited Partnership |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power
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7. |
Sole Dispositive Power
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class Represented
by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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CUSIP No. 29089Q 10 5 |
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1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) Advent Private Equity Fund III D Limited Partnership |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power
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7. |
Sole Dispositive Power
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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CUSIP No. 29089Q 10 5 |
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1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) Advent Private Equity Fund III GmbH & CO KG |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power
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7. |
Sole Dispositive Power
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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6
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CUSIP No. 29089Q 10 5 |
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1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) Advent Private Equity Fund III Affiliates |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power
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7. |
Sole Dispositive Power
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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7
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CUSIP No. 29089Q 10 5 |
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1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) Advent Management III Limited Partnership |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power
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7. |
Sole Dispositive Power
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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8
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CUSIP No. 29089Q 10 5 |
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1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) Merlin Biosciences Fund Limited Partnership |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power
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7. |
Sole Dispositive Power
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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9
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CUSIP No. 29089Q 10 5 |
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1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) Merlin Biosciences Fund GbR |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power
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7. |
Sole Dispositive Power
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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10
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CUSIP No. 29089Q 10 5 |
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1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) J.P. Morgan Partners (BHCA), L.P. |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power
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7. |
Sole Dispositive Power
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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CUSIP No. 29089Q 10 5 |
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1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) J.P. Morgan Partners Global Investors, L.P. |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power
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7. |
Sole Dispositive Power
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate Amount
in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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CUSIP No. 29089Q 10 5 |
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1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) J.P. Morgan Partners Global Investors (Cayman), L.P. |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power
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7. |
Sole Dispositive Power
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class Represented
by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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13
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CUSIP No. 29089Q 10 5 |
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1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) J.P. Morgan Partners Global Investors A, L.P. |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power
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7. |
Sole Dispositive Power
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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14
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CUSIP No. 29089Q 10 5 |
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1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) J.P. Morgan Partners Global Investors (Cayman) II, L.P. |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power
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7. |
Sole Dispositive Power
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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15
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CUSIP No. 29089Q 10 5 |
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1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) J.P. Morgan Partners Global Investors (Selldown), L.P. |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power
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7. |
Sole Dispositive Power
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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16
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CUSIP No. 29089Q 10 5 |
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1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) J.P. Morgan Partners Global Investors (Selldown) II, L.P. |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power
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7. |
Sole Dispositive Power
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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17
|
Item 1. |
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(a) |
Name of Issuer |
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(b) |
Address of Issuers
Principal Executive Offices Suite 250 Gaithersburg, Maryland 20879 |
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Item 2. |
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(a) |
Name of Person Filing Advent Private Equity Fund III B Limited Partnership; Advent Private Equity Fund III C Limited Partnership; Advent Private Equity Fund III D Limited Partnership; Advent Private Equity Fund III GMBH & CO KG.; Advent Private Equity Fund III Affiliates; Advent Management III Limited Partnership; Merlin Biosciences Fund Limited Partnership; Merlin Biosciences Fund GbR; J.P. Morgan Partners (BHCA), L.P.*; J.P. Morgan Partners Global Investors, L.P.*; J.P. Morgan Partners Global Investors (Cayman), L.P.*; J.P. Morgan Partners Global Investors A, L.P.*; J.P. Morgan Partners Global Investors (Cayman) II, L.P.*; J.P. Morgan Partners Global Investors (Selldown), L.P.*; and J.P. Morgan Partners Global Investors (Selldown) II, L.P. |
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(b) |
Address of Principal
Business Office or, if none, Residence 25 Buckingham Gate London SW1E 6LD United Kingdom
Advent Private Equity Fund III B Limited Partnership 25 Buckingham Gate London SW1E 6LD United Kingdom |
* Supplemental information relating to the ownership and control of the J.P. Morgan Partners entities filing this statement is included in Exhibit 2 attached hereto.
18
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Advent Private Equity Fund III C Limited Partnership 25 Buckingham Gate London SW1E 6LD United Kingdom
Advent Private Equity Fund III D Limited Partnership 25 Buckingham Gate London SW1E 6LD United Kingdom
Advent Private Equity Fund III GMBH & CO KG Theresienstrasse 6 Munich 80333 Germany
Advent Private Equity Fund III Affiliates 25 Buckingham Gate London SW1E 6LD United Kingdom
Advent Management III Limited Partnership 50 Lothian Road, Festival Square Edinburgh EH3 9WJ United Kingdom
Merlin Biosciences Fund Limited Partnership La Motte Chambers La Motte Street St. Helier Jersey JE1 1BJ United Kingdom
Merlin Biosciences Fund GbR La Motte Chambers La Motte Street St. Helier Jersey JE1 1BJ United Kingdom
J.P. Morgan Partners (BHCA), L.P.** c/o J.P. Morgan Partners, L.L.C. 270 Park Avenue |
** See also supplemental information relating to the principal business office included in Exhibit 2 attached hereto.
19
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New York, New York 10017 United States
J.P. Morgan Partners Global Investors, L.P.** c/o J.P. Morgan Partners, L.L.C. 270 Park Avenue New York, New York 10017 United States
J.P. Morgan Partners Global Investors (Cayman), L.P.** c/o J.P. Morgan Partners, L.L.C. 270 Park Avenue New York, New York 10017 United States
J.P. Morgan Partners Global Investors A, L.P.** c/o J.P. Morgan Partners, L.L.C. 270 Park Avenue New York, New York 10017 United States
J.P. Morgan Partners Global Investors (Cayman) II, L.P.** c/o J.P. Morgan Partners, L.L.C. 270 Park Avenue New York, New York 10017 United States
J.P. Morgan Partners Global Investors (Selldown), L.P.** c/o J.P. Morgan Partners, L.L.C. 270 Park Avenue New York, New York 10017 United States
J.P. Morgan Partners Global Investors (Selldown) II, L.P.** c/o J.P. Morgan Partners, L.L.C. 270 Park Avenue New York, New York 10017 United States |
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(c) |
Citizenship
Advent Private Equity Fund III A Limited Partnership (England); Advent Private Equity Fund III B Limited Partnership (England); |
20
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Advent Private Equity Fund III C Limited Partnership (England); Advent Private Equity Fund III D Limited Partnership (England); Advent Private Equity Fund III GMBH & CO KG. (Germany); Advent Private Equity Fund III Affiliates (England); Advent Management III Limited Partnership (Scotland); Merlin Biosciences Fund Limited Partnership (Jersey); Merlin Biosciences Fund GbR (Germany); J.P. Morgan Partners (BHCA), L.P. (Delaware); J.P. Morgan Partners Global Investors, L.P. (Delaware); J.P. Morgan Partners Global Investors (Cayman), L.P. (Cayman Islands); J.P. Morgan Partners Global Investors A, L.P. (Delaware); J.P. Morgan Partners Global Investors (Cayman) II, L.P. (Cayman Islands); J.P. Morgan Partners Global Investors (Selldown), L.P. (Delaware); and J.P. Morgan Partners Global Investors (Selldown) II, L.P. (Delaware); |
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(d) |
Title of Class of
Securities |
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(e) |
CUSIP Number |
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|
Item 3. |
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: |
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|
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(a) |
o |
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). |
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(b) |
o |
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). |
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(c) |
o |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). |
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(d) |
o |
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). |
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(e) |
o |
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); |
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(f) |
o |
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); |
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(g) |
o |
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
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(h) |
o |
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
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(i) |
o |
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
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(j) |
o |
Group, in accordance with §240.13d-1(b)(1)(ii)(J). |
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|
Not applicable. |
21
|
Item 4. |
Ownership |
||
|
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. |
|||
|
|
(a) |
Amount beneficially owned: 3,636,801 shares |
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(b) |
Percent of class: 14.25% |
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(c) |
Number of shares as to which the person has:
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(i) |
Sole power to vote or to direct the vote Not applicable. |
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(ii) |
Shared power to vote or to direct the vote 3,636,801shares*** |
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(iii) |
Sole power to dispose or to direct the disposition of Advent Private Equity Fund III A Limited Partnership owns 468,355 shares; Advent Private Equity Fund III B Limited Partnership owns 229,497 shares; Advent Private Equity Fund III C Limited Partnership owns 64,018 shares; Advent Private Equity Fund III D Limited Partnership owns 125,921 shares; Advent Private Equity Fund III GMBH & CO KG. owns 18,118 shares; Advent Private Equity Fund III Affiliates owns 15,098 shares; Advent Management III Limited Partnership owns 4,530 shares; Merlin Biosciences Fund Limited Partnership owns 498,722 shares; Merlin Biosciences Fund GbR owns 29,972 shares; J.P. Morgan Partners (BHCA), L.P. owns 415,381 shares; J.P. Morgan Partners Global Investors, L.P. owns 94,399 shares; J.P. Morgan Partners Global Investors (Cayman), L.P. owns 47,652 shares; J.P. Morgan Partners Global Investors A, L.P. owns 13,689 shares; J.P. Morgan Partners Global Investors (Cayman) II, L.P. owns 5,320 shares; J.P. Morgan Partners Global Investors (Selldown), L.P. owns 33,714 shares; and J.P. Morgan Partners Global Investors (Selldown) II, L.P. owns 117,054 shares; |
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(iv) |
Shared power to dispose or to direct the disposition of None |
*** All of the Reporting Persons and APAX WW Nominees LTD are party to a voting agreement with BioPharm, L.L.C., whereby the parties have agreed to vote all shares of such common stock owned by the parties in the same manner and to the same extent as BioPharm, L.L.C.
22
|
Item 5. |
Ownership of Five Percent or Less of a Class |
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If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following o. |
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Not applicable. |
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Item 6. |
Ownership of More than Five Percent on Behalf of Another Person |
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Not applicable. |
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Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person |
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Not applicable. |
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Item 8. |
Identification and Classification of Members of the Group |
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Not applicable. |
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Item 9. |
Notice of Dissolution of Group |
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Not applicable. |
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Item 10. |
Certification |
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By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. |
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23
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
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Date: March 8, 2007 |
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ADVENT PRIVATE EQUITY FUND III A LIMITED PARTNERSHIP |
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
Attorney-In-Fact |
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ADVENT PRIVATE EQUITY FUND III B LIMITED PARTNERSHIP |
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
Attorney-In-Fact |
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ADVENT PRIVATE EQUITY FUND III C LIMITED PARTNERSHIP |
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
Attorney-In-Fact |
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ADVENT PRIVATE EQUITY FUND III D LIMITED PARTNERSHIP |
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
Attorney-In-Fact |
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24
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ADVENT PRIVATE EQUITY FUND III GMBH & CO. KG |
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
Attorney-In-Fact |
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ADVENT PRIVATE EQUITY FUND III AFFILIATES |
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
Attorney-In-Fact |
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ADVENT MANAGEMENT III LIMITED PARTNERSHIP |
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
Attorney-In-Fact |
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MERLIN BIOSCIENCES FUND LIMITED PARTNERSHIP |
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
Attorney-In-Fact |
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MERLIN BIOSCIENCES FUND GBR |
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
Attorney-In-Fact |
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J.P. MORGAN PARTNERS (BHCA), L.P. |
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
Attorney-In-Fact |
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25
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J.P. MORGAN PARTNERS GLOBAL INVESTORS, L.P. |
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
Attorney-In-Fact |
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J.P. MORGAN PARTNERS GLOBAL INVESTORS (CAYMAN), L.P. |
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
Attorney-In-Fact |
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J.P. MORGAN PARTNERS GLOBAL INVESTORS A, L.P. |
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
Attorney-In-Fact |
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J.P. MORGAN PARTNERS GLOBAL INVESTORS (CAYMAN) II, L.P. |
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
Attorney-In-Fact |
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J.P. MORGAN PARTNERS GLOBAL INVESTORS (SELLDOWN), L.P. |
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
Attorney-In-Fact |
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26
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J.P. MORGAN PARTNERS GLOBAL INVESTORS (SELLDOWN) II, L.P. |
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
Attorney-In-Fact |
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27
Exhibit 1
Joint Filer Agreement and Power of Attorney
In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended (the 1934 Act), the undersigned hereby agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any amendments thereto) with respect to the common stock, par value $0.001 per share, of Emergent BioSolutions Inc., a Delaware corporation. The undersigned further consent and agree to the inclusion of this Agreement as an Exhibit to such Schedule 13G. This Agreement may be executed in any number of counterparts, all of which taken together shall constitute one and the same instrument.
Each of the undersigned hereby irrevocably constitute and appoint Shahzad Malik (the Attorney-in-Fact) as agent and attorney-in-fact, with full power of substitution, with respect to the power and authority on behalf of each of the undersigned to execute and file or cause to be executed or filed any documents required to be filed by Section 13 of the 1934 Act or to execute any documents required in connection with such required documents as a result of or in connection with each of the undersigneds acquisition of the securities to which the Statement on Schedule 13G relates.
[Signatures to Follow on Next Page]
1
IN WITNESS WHEREOF, the undersigned have executed this agreement as of the 8 day of March 2007.
By: ADVENT VENTURE PARTNERS LLP, as manager of Advent Private Equity Fund III A
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
General Partner |
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By: ADVENT VENTURE PARTNERS LLP, as manager of Advent Private Equity Fund III B
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
General Partner |
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By: ADVENT VENTURE PARTNERS LLP, as manager of Advent Private Equity Fund III C
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
General Partner |
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By: ADVENT VENTURE PARTNERS LLP, as manager of Advent Private Equity Fund III D
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
General Partner |
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2
By: ADVENT VENTURE PARTNERS LLP, as manager of Advent Private Equity Fund III GmbH & Co. KG
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
General Partner |
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By: ADVENT VENTURE PARTNERS LLP, as manager of Advent Private Equity Fund III Affiliates
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
General Partner |
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By: ADVENT VENTURE PARTNERS LLP, as manager of Advent Management III Limited Partnership
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By: |
/s/ Shahzad Malik |
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Name: |
Shahzad Malik |
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Title: |
General Partner |
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3
MERLIN BIOSCIENCES FUND
By: MERLIN GENERAL PARTNER II LIMITED, as general partner of the Merlin Biosciences Fund LP
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By: |
/s/ Denzil Boschat |
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Name: |
Denzil Boschat |
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Title: |
Director |
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MERLIN BIOSCIENCES FUND
By: MERLIN GENERAL PARTNER II LIMITED, as managing partner of the Merlin BioSciences Fund Gbr
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By: |
/s/ Denzil Boschat |
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Name: |
Denzil Boschat |
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Title: |
Director |
|
4
J.P. MORGAN PARTNERS (BHCA), L.P.
By: JPMP MASTER FUND MANAGER, its general partner
By: JPMP CAPITAL CORP, its general partner
By: Panorama Capital, LLC, as Attorney in Fact
|
By: |
/s/ Srinivas Akkaraju |
|
|
Name: Srinivas Akkaraju |
||
|
Title: Managing Director |
||
J.P. MORGAN PARTNERS GLOBAL INVESTORS, L.P.
By: JPMP GLOBAL INVESTORS, L.P., its general partner
By: JPMP CAPITAL CORP, its general partner
By: Panorama Capital, LLC, as Attorney in Fact
|
By: |
/s/ Srinivas Akkaraju |
|
|
Name: Srinivas Akkaraju |
||
|
Title: Managing Director |
||
J.P. MORGAN PARTNERS GLOBAL INVESTORS (CAYMAN), L.P.
By: JPMP GLOBAL INVESTORS, L.P., its general partner
By: JPMP CAPITAL CORP, its general partner
By: Panorama Capital, LLC, as Attorney in Fact
|
By: |
/s/ Srinivas Akkaraju |
|
|
Name: Srinivas Akkaraju |
||
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Title: Managing Director |
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J.P. MORGAN PARTNERS GLOBAL INVESTORS A, L.P.
By: JPMP GLOBAL INVESTORS, L.P., its general partner
By: JPMP CAPITAL CORP, its general partner
By: Panorama Capital, LLC, as Attorney in Fact
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By: |
/s/ Srinivas Akkaraju |
|
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Name: Srinivas Akkaraju |
||
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Title: Managing Director |
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5
J.P. MORGAN PARTNERS GLOBAL INVESTORS (CAYMAN) II, L.P.
By: JPMP GLOBAL INVESTORS, L.P., its general partner
By: JPMP CAPITAL CORP, its general partner
By: Panorama Capital, LLC, as Attorney in Fact
|
By: |
/s/ Srinivas Akkaraju |
|
|
Name: Srinivas Akkaraju |
||
|
Title: Managing Director |
||
J.P. MORGAN PARTNERS GLOBAL INVESTORS (SELLDOWN), L.P.
By: JPMP GLOBAL INVESTORS, L.P., its general partner
By: JPMP CAPITAL CORP, its general partner
By: Panorama Capital, LLC, as Attorney in Fact
|
By: |
/s/ Srinivas Akkaraju |
|
|
Name: Srinivas Akkaraju |
||
|
Title: Managing Director |
||
J.P. MORGAN PARTNERS GLOBAL INVESTORS (SELLDOWN) II, L.P.
By: JPMP GLOBAL INVESTORS, L.P., its general partner
By: JPMP CAPITAL CORP, its general partner
By: Panorama Capital, LLC, as Attorney in Fact
|
By: |
/s/ Srinivas Akkaraju |
|
|
Name: Srinivas Akkaraju |
||
|
Title: Managing Director |
||
6
Exhibit 2
Item 2. Identity and Background.
This statement is being filed by J.P. Morgan Partners (BHCA), L.P., a Delaware limited partnership (hereinafter referred to as JPMP (BHCA)), whose principal business office is located 270 Park Avenue, New York, New York 10017. JPMP (BHCA) is engaged in the venture capital, private equity and leveraged buyout business. The general partner of JPMP (BHCA) is JPMP Master Fund Manager, L.P., a Delaware limited partnership (hereinafter referred to as JPMP Master Fund), whose principal business office is located at the same address as JPMP (BHCA), and is also engaged directly and indirectly (through affiliates) in the venture capital, private equity and leveraged buyout business. As general partner of JPMP (BHCA), JPMP Master Fund may be deemed to beneficially own the shares held by JPMP (BHCA).
This statement is also being filed by J.P. Morgan Partners Global Investors, L.P., a Delaware limited partnership (JPMP Global), whose principal place of business is located at the same address as JPMP (BHCA); J.P. Morgan Partners Global Investors A, L.P., a Delaware limited partnership (JPMP Global A), whose principal place of business is located at the same address as JPMP (BHCA); J.P. Morgan Partners Global Investors (Cayman), L.P., a limited partnership organized under the laws of the Cayman Islands (JPMP Cayman), whose principal place of business is located at the same address as JPMP (BHCA); J.P. Morgan Partners Global Investors (Cayman) II, L.P., a limited partnership organized under the laws of the Cayman Islands (JPMP Cayman II), whose principal place of business is located at the same address as JPMP (BHCA), J.P. Morgan Partners Global Investors (Selldown), L.P., a Delaware limited partnership, whose principal place of business is located at the same address as JPMP (BHCA) and J.P. Morgan Partners Global Investors (Selldown) II, L.P., a Delaware limited partnership (JPMP Selldown II and collectively with JPMP Global, JPMP Global A, JPMP Cayman, JPMP Cayman II, JPMP Selldown and JPMP Selldown II, the Global Fund Entities), whose principal place of business is located at the same address as JPMP (BHCA). Each of the Global Fund Entities is also engaged in the venture capital, private equity and leveraged buyout business. The general partner of each of the Global Fund Entities is J.P. Morgan Partners Global Investors, L.P., a Delaware limited partnership (JPMP Investors), whose principal place of business is located at the same address as JPMP (BHCA). JPMP Investors is engaged indirectly in the venture capital, private equity and leveraged buyout business as general partner of each of the Global Fund Entities. As general partner of each of the Global Fund Entities, JPMP Investors may be deemed to beneficially own the shares held by the Global Fund Entities.
The general partner of each of JPMP Master Fund and JPMP Investors is JPMP Capital Corp., a New York corporation (hereinafter referred to as JPMP Capital Corp.), whose principal business office is located at the same address as JPMP (BHCA), and is also engaged directly and indirectly (through affiliates) in the venture capital, private equity and leveraged buyout business. Set forth in Schedule A hereto and incorporated herein by reference are the names, business addresses, principal occupations and employments of each executive officer and director of JPMP Capital Corp. As the general partner of each of JPMP Master Fund and JPMP Investors, JPMP Capital Corp. may be deemed to beneficially own the shares held by JPMP (BHCA) and the Global Fund Entities.
JPMP Capital Corp. is a wholly owned subsidiary of JPMorgan Chase & Co., a Delaware corporation (hereinafter referred to as JPMorgan Chase) which is engaged (primarily through subsidiaries) in the commercial banking business with its principal office located at 270 Park Avenue, New York, New York 10017. Set forth in Schedule B hereto and incorporated herein by reference are the names, business addresses, principal occupations and employments of each executive officer and director of JPMorgan Chase.
SCHEDULE A
JPMP CAPITAL CORP.
|
Executive Officers (1) |
|
|
Chief Investment Officer |
Ina R. Drew* |
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Managing Director |
Joseph S. Bonocore* |
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Managing Director |
Ana Capella Gomez-Acebo* |
|
Managing Director |
John C. Wilmot* |
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Managing Director and Assistant Secretary |
Richard Madsen* |
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Vice President |
William T. Williams Jr* |
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Vice President and Assistant General Counsel |
Judah Shechter* |
|
Vice President and Assistant General Counsel |
Elizabeth De Guzman* |
Directors (1)
Ina R. Drew*
John C. Wilmot*
(1) Each of whom is a United States citizen
* Principal occupation is employee and/or officer of JPMorgan Chase & Co. Business address is c/o JPMorgan Chase & Co., 270 Park Avenue, New York, NY 10017
SCHEDULE B
JPMORGAN CHASE & CO.
Executive Officers (1)
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President and Chief Executive Officer |
James Dimon* |
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Chief Administrative Officer |
Frank Bisignano* |
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Co-Chief Executive Officer, Investment Bank |
Steven D. Black* |
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Chief Financial Officer |
Michael J. Cavanagh* |
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Director of Human Resources |
John F. Bradley* |
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Chief Investment Officer |
Ina R. Drew* |
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Head, Commercial Banking |
Samuel Todd Maclin* |
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Head, Strategy and Business Development |
Jay Mandelbaum* |
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Chief Executive Officer, Treasury & |
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Securities Services |
Heidi Miller* |
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Head, Retail Financial Services |
Charles W. Scharf* |
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Chief Executive Officer, Card Services |
Richard J. Srednicki* |
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Global Head, Asset & Wealth Management |
James E. Staley* |
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Co-Chief Executive Officer, Investment Bank |
William T. Winters* |
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General Counsel |
Stephen M. Cutler* |
(1) Each of whom is a United States citizen.
* Principal occupation is employee or officer of JPMorgan Chase & Co. Business address is c/o JPMorgan Chase & Co., 270 Park Avenue, New York, New York 10017.
Directors (1)
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Name |
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Principal Occupation or Employment; |
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John H. Biggs |
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Former Chairman and CEO |
|
Crandall C. Bowles |
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Chairman and Chief Executive Officer |
|
Stephen B. Burke |
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President |
|
James S. Crown |
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President |
|
James Dimon |
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Chief Executive Officer |
|
Ellen V. Futter |
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President and Trustee |
|
William H. Gray, III |
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Retired President and Chief Executive Officer |
|
Laban P. Jackson, Jr. |
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Chairman and Chief Executive Officer |
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Lee R. Raymond |
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Chairman of the Board and Chief Executive |
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John W. Kessler |
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Owner |
|
Robert I. Lipp |
|
Chairman |
|
Richard A. Monoogian |
|
Chairman and Chief Executive Officer |
|
David C. Novak |
|
Chairman and Chief Executive Officer |
|
William C. Weldon |
|
Chairman and Chief Executive Officer |