UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Rule 13d-1 and Rule 13d-2)
(Amendment No. 9)
Under the Securities Exchange Act of 1934
YONGYE INTERNATIONAL, INC.
(Name of Issuer)
Common Stock, par value $0.001
(Title of Class of Securities)
98607B106
(CUSIP Number)
Marco Chung
Morgan Stanley
Level 46, International Commerce Centre
1 Austin Road West, Kowloon
Hong Kong
+(852) 2848-5200
With a copy to
John E. Lange, Esq.
Paul, Weiss, Rifkind, Wharton & Garrison LLP
1285 Avenue of the Americas
New York, New York 10019-6064
(212) 373-3000
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
November 25, 2013
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), Rule 13d-1(f) or Rule 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 Rule 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 (“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).
CUSIP No. 98607B106 | SC 13D | Page 2 |
1 | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON MORGAN STANLEY | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS WC, OO | |
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | x |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER -0- |
8 | SHARED VOTING POWER 8,908,802 | |
9 | SOLE DISPOSITIVE POWER -0- | |
10 | SHARED DISPOSITIVE POWER 8,908,802 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,908,802 | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | x 1 |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 15.5% 2 | |
14 | TYPE OF REPORTING PERSON HC, CO |
1 | Excludes the 1,155,000 shares of Common Stock beneficially owned by Mr. Zishen Wu, the 7,657,704 shares of Common Stock beneficially owned by Full Alliance, and the 20,000 shares of Common Stock beneficially owned by Abax. |
2 | Percentage calculated based on 57,371,805 shares outstanding on an as-converted basis as of August 7, 2013, as set forth in the Issuer’s Form 10-Q dated August 9, 2013. |
CUSIP No. 98607B106 | SC 13D | Page 3 |
1 | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON MS HOLDINGS INCORPORATED | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS OO | |
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | x |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER -0- |
8 | SHARED VOTING POWER 8,814,632 | |
9 | SOLE DISPOSITIVE POWER -0- | |
10 | SHARED DISPOSITIVE POWER 8,814,632 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,814,632 | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | x 1 |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 15.4% 2 | |
14 | TYPE OF REPORTING PERSON HC, CO |
1 | Excludes the 1,155,000 shares of Common Stock beneficially owned by Mr. Zishen Wu, the 7,657,704 shares of Common Stock beneficially owned by Full Alliance, and the 20,000 shares of Common Stock beneficially owned by Abax. |
2 | Percentage calculated based on 57,371,805 shares outstanding on an as-converted basis as of August 7, 2013, as set forth in the Issuer’s Form 10-Q dated August 9, 2013. |
CUSIP No. 98607B106 | SC 13D | Page 4 |
1 | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS OO | |
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | x |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER -0- |
8 | SHARED VOTING POWER 8,814,632 | |
9 | SOLE DISPOSITIVE POWER -0- | |
10 | SHARED DISPOSITIVE POWER 8,814,632 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,814,632 | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | x 1 |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 15.4% 2 | |
14 | TYPE OF REPORTING PERSON HC, CO |
1 | Excludes the 1,155,000 shares of Common Stock beneficially owned by Mr. Zishen Wu, the 7,657,704 shares of Common Stock beneficially owned by Full Alliance, and the 20,000 shares of Common Stock beneficially owned by Abax. |
2 | Percentage calculated based on 57,371,805 shares outstanding on an as-converted basis as of August 7, 2013, as set forth in the Issuer’s Form 10-Q dated August 9, 2013. |
CUSIP No. 98607B106 | SC 13D | Page 5 |
1 | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS OO | |
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | x |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER -0- |
8 | SHARED VOTING POWER 8,814,632 | |
9 | SOLE DISPOSITIVE POWER -0- | |
10 | SHARED DISPOSITIVE POWER 8,814,632 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,814,632 | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | x 1 |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 15.4% 2 | |
14 | TYPE OF REPORTING PERSON OO |
1 | Excludes the 1,155,000 shares of Common Stock beneficially owned by Mr. Zishen Wu, the 7,657,704 shares of Common Stock beneficially owned by Full Alliance, and the 20,000 shares of Common Stock beneficially owned by Abax. |
2 | Percentage calculated based on 57,371,805 shares outstanding on an as-converted basis as of August 7, 2013, as set forth in the Issuer’s Form 10-Q dated August 9, 2013. |
CUSIP No. 98607B106 | SC 13D | Page 6 |
1 | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON MORGAN STANLEY PRIVATE EQUITY ASIA III, L.P. | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS OO | |
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | x |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION CAYMAN ISLANDS |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER -0- |
8 | SHARED VOTING POWER 8,814,632 | |
9 | SOLE DISPOSITIVE POWER -0- | |
10 | SHARED DISPOSITIVE POWER 8,814,632 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,814,632 | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | x 1 |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 15.4% 2 | |
14 | TYPE OF REPORTING PERSON PN |
1 | Excludes the 1,155,000 shares of Common Stock beneficially owned by Mr. Zishen Wu, the 7,657,704 shares of Common Stock beneficially owned by Full Alliance, and the 20,000 shares of Common Stock beneficially owned by Abax. |
2 | Percentage calculated based on 57,371,805 shares outstanding on an as-converted basis as of August 7, 2013, as set forth in the Issuer’s Form 10-Q dated August 9, 2013. |
CUSIP No. 98607B106 | SC 13D | Page 7 |
1 | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III, L.P. | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS OO | |
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | x |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION CAYMAN ISLANDS |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER -0- |
8 | SHARED VOTING POWER 8,814,632 | |
9 | SOLE DISPOSITIVE POWER -0- | |
10 | SHARED DISPOSITIVE POWER 8,814,632 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,814,632 | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | x 1 |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 15.4% 2 | |
14 | TYPE OF REPORTING PERSON PN |
1 | Excludes the 1,155,000 shares of Common Stock beneficially owned by Mr. Zishen Wu, the 7,657,704 shares of Common Stock beneficially owned by Full Alliance, and the 20,000 shares of Common Stock beneficially owned by Abax. |
2 | Percentage calculated based on 57,371,805 shares outstanding on an as-converted basis as of August 7, 2013, as set forth in the Issuer’s Form 10-Q dated August 9, 2013. |
CUSIP No. 98607B106 | SC 13D | Page 8 |
1 | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS OO | |
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | x |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION CAYMAN ISLANDS |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER -0- |
8 | SHARED VOTING POWER 8,814,632 | |
9 | SOLE DISPOSITIVE POWER -0- | |
10 | SHARED DISPOSITIVE POWER 8,814,632 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,814,632 | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | x 1 |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 15.4% 2 | |
14 | TYPE OF REPORTING PERSON OO |
1 | Excludes the 1,155,000 shares of Common Stock beneficially owned by Mr. Zishen Wu, the 7,657,704 shares of Common Stock beneficially owned by Full Alliance, and the 20,000 shares of Common Stock beneficially owned by Abax. |
2 | Percentage calculated based on 57,371,805 shares outstanding on an as-converted basis as of August 7, 2013, as set forth in the Issuer’s Form 10-Q dated August 9, 2013. |
CUSIP No. 98607B106 | SC 13D | Page 9 |
1 | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON MSPEA AGRICULTURE HOLDING LIMITED | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) o |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS AF | |
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | x |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION CAYMAN ISLANDS |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER -0- |
8 | SHARED VOTING POWER 8,814,632 | |
9 | SOLE DISPOSITIVE POWER -0- | |
10 | SHARED DISPOSITIVE POWER 8,814,632 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,814,632 | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | x 1 |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 15.4% 2 | |
14 | TYPE OF REPORTING PERSON OO |
1 | Excludes the 1,155,000 shares of Common Stock beneficially owned by Mr. Zishen Wu, the 7,657,704 shares of Common Stock beneficially owned by Full Alliance, and the 20,000 shares of Common Stock beneficially owned by Abax. |
2 | Percentage calculated based on 57,371,805 shares outstanding on an as-converted basis as of August 7, 2013, as set forth in the Issuer’s Form 10-Q dated August 9, 2013. |
CUSIP No. 98607B106 | SC 13D | Page 10 |
TABLE OF CONTENTS
Item 2. Identity and Background
Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.
Item 7. Material to be Filed as Exhibits
SCHEDULES
A
B
SIGNATURES
CUSIP No. 98607B106 | SC 13D | Page 11 |
INTRODUCTORY NOTE
The following constitutes Amendment No. 9 (this “Amendment”) to the Schedule 13D filed by the undersigned on June 10, 2011, as amended and/or supplemented by Amendment No. 1 to the Schedule 13D filed on August 26, 2011, Amendment No. 2 to the Schedule 13D filed on September 7, 2011, Amendment No. 3 to the Schedule 13D filed on September 9, 2011, Amendment No. 4 to the Schedule 13D filed on October 16, 2012, Amendment No. 5 to the Schedule 13D filed on December 28, 2012, Amendment No. 6 to the Schedule 13D filed on May 17, 2013, Amendment No. 7 to the Schedule 13D filed on September 25, 2013 and Amendment No.8 to the Schedule 13D filed on October 16, 2013 (as amended, the “Schedule 13D”). Except as specifically amended by this Amendment, the Schedule 13D remains in full force and effect. Capitalized terms used but not defined in this Amendment have meanings provided in the Schedule 13D.
Item 2. Identity and Background.
The response set forth in Item 2 of the Schedule 13D is hereby amended and supplemented by the following.
This Amendment is being filed jointly on behalf of (i) Morgan Stanley, a Delaware corporation (“MS Parent”), (ii) MS Holdings Incorporated, a Delaware corporation (“MS Holdings”), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation (“MS Inc”), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company (“MS LLC”), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership (“MS LP”), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership (“MS Employee”), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company (“MSPEA Holdings”) and (viii) MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company (“MSPEA”) (collectively, the “Reporting Persons”). The Reporting Persons have entered into a joint filing agreement, dated as of November 26, 2013, a copy of which is attached hereto as Exhibit 99.1.
The name, business address, present principal occupation or employment and citizenship of each director and executive officer of MS Parent, MS Holdings, MS Inc, MSPEA Holdings and MSPEA, and the name, business address, present principal occupation or employment and citizenship of each executive officer of MS LLC, MS LP and MS Employee are set forth in Schedule A attached hereto and incorporated herein by reference.
During the last five years, none of the Reporting Persons, nor, to the knowledge of the Reporting Persons, any of the persons listed on Schedule A attached hereto and incorporated herein by reference, has been (1) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (2) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws, other than, in the case of clause (2), as described in Schedule B attached hereto and incorporated herein by reference.
CUSIP No. 98607B106 | SC 13D | Page 12 |
Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.
Item 6 of the Schedule 13D is hereby amended and supplemented by adding the following at the end thereof:
On November 25, 2013, Parent, Full Alliance, Mr. Wu, MSPEA and Prosper Sino executed an amendment to the Contribution Agreement (the “Contribution Agreement Amendment”). Pursuant to the Contribution Agreement Amendment, at or immediately prior to the effective time of the Merger, MSPEA will receive 11,017,908 preferred shares of Full Alliance in consideration of the shares of Company common stock and Company preferred stock it will contribute to Parent, instead of the 8,633,156 preferred shares of Full Alliance contemplated in the original Contribution Agreement. No other change was made to the Contribution Agreement. The parties amended the contribution agreement to correct the earlier erroneous figure and conform the contribution agreement to the parties’ commercial understanding with respect to the transaction. The information disclosed in this paragraph is qualified in its entirety by reference to the Contribution Agreement Amendment, a copy of which has been filed as Exhibit 99.2 ("Contribution Agreement Amendment").
Item 7. Materials to be Filed as Exhibits.
Exhibit 99.1 | Joint Filing Agreement by and between MS Parent, MS Holdings, MS Inc, MS LLC, MS LP, MS Employee, MSPEA Holdings and MSPEA, dated November 26, 2013 |
Exhibit 99.2 | Contribution Agreement Amendment by and among the Rollover Holders, Full Alliance and Parent, dated November 25, 2013 |
SCHEDULE A
EXECUTIVE OFFICERS AND DIRECTORS
OF
MORGAN STANLEY
The names of the directors and the names and titles of the executive officers of Morgan Stanley and their principal occupations are set forth below. The business address of each of the directors or executive officers is that of Morgan Stanley at 1585 Broadway, New York, New York 10036.
Name | Title | Citizenship |
*James P. Gorman | Chairman of the Board and Chief Executive Officer, Morgan Stanley | Australia and United States |
*Erskine B. Bowles | Director | United States |
*Howard J. Davies | Professor, SciencesPo | England |
*Thomas H. Glocer | Director | United States |
*Robert H. Herz | President, Robert H. Herz LLC | United States |
*C. Robert Kidder | Director | United States |
*Klaus Kleinfeld | Chairman and Chief Executive Officer of Alcoa Inc. | Germany |
*Donald T. Nicolaisen | Director | United States |
*Hutham S. Olayan | President, Chief Executive Officer of The Olayan Group’s U.S. operations | United States |
*James W. Owens | Director | United States |
*O. Griffith Sexton | Adjunct professor of finance at Columbia Business School | United States |
*Ryosuke Tamakoshi | Senior Advisor to The Bank of Tokyo-Mitsubishi UFJ, Ltd. | Japan |
*Masaaki Tanaka | Representative Director and Deputy President of Mitsubishi UFJ Financial Group, Inc. | Japan |
*Laura D’Andrea Tyson | S. K. and Angela Chan Professor of Global Management at the Walter A. Haas School of Business at the University of California, Berkeley | United States |
*Rayford Wilkins, Jr. | Director | United States |
Gregory J. Fleming | Executive Vice President, President of Morgan Stanley Wealth Management and President of Investment Management | United States |
Eric F. Grossman | Executive Vice President and Chief Legal Officer | United States |
Keishi Hotsuki | Chief Risk Officer | Japan |
Colm Kelleher | Executive Vice President and President of Institutional Securities | England and Ireland |
Ruth Porat | Executive Vice President and Chief Financial Officer | United States |
James A. Rosenthal | Executive Vice President and Chief Operating Officer | United States |
* Director
EXECUTIVE OFFICERS AND DIRECTORS OF MS HOLDINGS INCORPORATED
The names of the directors and the names and titles of the executive officers of MS Holdings Incorporated and their principal occupations are set forth below. The business address of each of the directors or executive officers is that of MS Holdings Incorporated at 1585 Broadway, New York, New York 10036. Unless otherwise indicated, each individual is a United States citizen and each occupation set forth opposite an individual’s name refers to MS Holdings Incorporated.
Name | Title |
Harvey Bertram Mogenson | Director and President 1633 Broadway, New York, NY 10019 United States |
Louis A. Palladino, Jr. | Vice President 1633 Broadway, New York, NY 10019 United States |
Walter E. Rein | Vice President 440 South LaSalle St. One Financial Plaza Chicago, Il 60605 United States |
Noel C. Langlois | Vice President 100 Front Street, West Conshohocken, PA 19428, United States |
Arthur J. Lev | Director and Vice President 522 Fifth Avenue, New York, NY 10036, United States |
*Christina Huffman | Vice President 1221 Avenue of the Americas New York, NY, 100200, United States |
Jason Koenig | Vice President 1221 Avenue of the Americas New York, NY, 100200, United States |
Scott William Moss | Vice President 1221 Avenue of the Americas New York, NY, 100200, United States |
Ella D. Cohen | Vice President 522 Fifth Avenue, New York, NY 10036, United States |
Craig Krasinski | Vice President 100 Front Street, West Conshohocken, PA 19428, United States |
Matthew Paul Martin | Vice President 522 Fifth Avenue, New York, NY 10036, United States |
Sheri Lynn Schreck | Vice President 522 Fifth Avenue, New York, NY 10036, United States |
Robert Serafin | Vice President 201 Plaza Two, Jersey City, NY 07311, United States |
Jyoti J. Mandalia | Treasurer 750 Seventh Avenue, New York, NY 10019, United States |
* Dual citizenship - American and British
EXECUTIVE OFFICERS AND DIRECTORS OF MORGAN STANLEY PRIVATE EQUITY ASIA III, INC.
The names of the directors and the names and titles of the executive officers of Morgan Stanley Private Equity Asia III, Inc. and their principal occupations are set forth below. The business address of each of the directors or executive officers is as provided below. Unless otherwise indicated, each individual is a United States citizen and each occupation set forth opposite an individual’s name refers to Morgan Stanley Private Equity Asia III, Inc.
Name | Title | Address | ||
Hsuan Chin Chou | Director | International Commerce Centre 1 Austin Road West, Kowloon Hong Kong | ||
Alan K. Jones | Director, President and Managing Director | 1585 Broadway New York, New York 10036 | ||
John J. Moon | Director | 1585 Broadway New York, New York 10036 | ||
Fred Steinberg | Chief Financial Officer, Assistant Treasurer and Vice President | 1 New York Plaza New York, New York 10004 | ||
Jason Koenig | Chief Legal Officer and Secretary and Vice President | 1221 Avenue of the Americas New York, New York 10020 | ||
Robert M. Murphy | Vice President | 440 South LaSalle St. One Financial Plaza Chicago, Illinois 60605 | ||
Christopher L. O'Dell | Vice President | 522 Fifth Avenue New York, New York 10036 | ||
Walter E. Rein | Vice President | 440 South LaSalle St. One Financial Plaza Chicago, Illinois 60605 | ||
*Edwin van Keulen | Vice President and Assistant Treasurer | 1633 Broadway New York, New York 10019 | ||
Michael A. Henry | Chief Compliance Officer and Vice President | 1221 Avenue of the Americas New York, New York 10020 | ||
Samantha Jennifer Cooper | Vice President | 1585 Broadway New York, New York 10036 | ||
Scott William Moss | Vice President and Assistant Secretary | 1221 Avenue of the Americas New York, New York 10020 | ||
Christopher H. Norris | Vice President | 1585 Broadway New York, New York 10036 | ||
Karen A. Cassidy | Treasurer | 750 Seventh Avenue New York 10019 | ||
**Brian Barrett | Vice President | 1585 Broadway New York, New York 10036 |
* Citizenship - Dutch
** Dual citizenship - American and Irish
EXECUTIVE OFFICERS OF MORGAN STANLEY
PRIVATE EQUITY ASIA III, LLC
The managing member of Morgan Stanley Private Equity Asia III, L.L.C. is Morgan Stanley Private Equity Asia III, Inc. Morgan Stanley Private Equity Asia III, L.L.C. does not have officers or directors.
EXECUTIVE OFFICERS OF MORGAN STANLEY
PRIVATE EQUITY ASIA III, L.P.
The general partner of Morgan Stanley Private Equity Asia III, L.P. is Morgan Stanley Private Equity Asia III, LLC. Morgan Stanley Private Equity Asia III, L.P. does not have officers or directors
EXECUTIVE OFFICERS AND DIRECTORS OF MORGAN STANLEY PRIVATE
EQUITY ASIA EMPLOYEE INVESTORS III, L.P.
The general partner of Morgan Stanley Private Equity Asia Employee Investors III, L.P. is Morgan Stanley Private Equity Asia III, LLC. Morgan Stanley Private Equity Asia Employee Investors III, L.P. does not have officers or directors.
EXECUTIVE OFFICERS AND DIRECTORS OF MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD
The name of the director and the names and titles of the executive officer of Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd and their principal occupations are set forth below. The business address of each of the director or executive officer is also set forth below. Unless otherwise indicated, each individual is a United States citizen and each occupation set forth opposite an individual’s name refers to Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd.
Name | Title | Address |
Samantha Jennifer Cooper | Director | 1585 Broadway New York, New York 10036 |
Karen A. Cassidy | Treasurer | 750 Seventh Avenue, NY 10019 |
Edwin van Keulen* | Treasurer | 1633 Broadway New York, NY 10019 |
Christopher H. Norris | Vice President | 1585 Broadway New York, New York 10036 |
* Citizenship - Dutch
EXECUTIVE OFFICERS AND DIRECTORS OF MSPEA AGRICULTURE HOLDING LIMITED
The name of the director and the names and titles of the executive officer of MSPEA Agriculture Holding Limited and their principal occupations are set forth below. The business address of each of the director or executive officer is also set below. Unless otherwise indicated, each individual is a United States citizen and each occupation set forth opposite an individual’s name refers to MSPEA Agriculture Holding Limited.
Name | Title | Address | ||
Alan K. Jones | Director | 1585 Broadway New York, New York 10036 | ||
Samantha Jennifer Cooper | Director | 1585 Broadway New York, New York 10036 | ||
Choi Sung Min | Director | HungKuk Life Insurance Building 226 Shinmun-ro 1-Ga, Chongro-Ku Seoul 110-061, Republic of Korea | ||
Karen A. Cassidy | Treasurer | 750 Seventh Avenue, NY 10019 | ||
Edwin van Keulen* | Treasurer | 1633 Broadway New York, NY 10036 |
*Citizenship - Dutch
SCHEDULE B
LEGAL PROCEEDINGS
Unless the context otherwise requires, the term “Morgan Stanley” means Morgan Stanley and its consolidated subsidiaries. Morgan Stanley & Co. LLC (“MS&Co.”) and Morgan Stanley Smith Barney LLC (“MSSB LLC”), referenced below, are Morgan Stanley’s primary U.S. broker-dealers.
(a) On September 30, 2009, Morgan Stanley entered into an administrative settlement agreement with the U.S. Environmental Protection Agency (“EPA”) to resolve certain violations of the U.S. environmental laws allegedly committed by Morgan Stanley during 2005. These alleged violations included: distribution of approximately 2.7 million gallons of reformulated gasoline that failed to comply with maximum benzene content limitations; failure to report volume and property information for each batch of gasoline blendstock imported and reformulated gasoline produced; failure to conduct an annual attest engagement; and failure to provide product transfer documents for each transfer of reformulated gasoline and each batch of previously certified gasoline. Without admitting or denying the EPA’s allegations, Morgan Stanley agreed to resolve these matters for a civil penalty of $405,000.
(b) On June 24, 2010, Morgan Stanley and the Office of the Attorney General for the Commonwealth of Massachusetts (“Massachusetts OAG”) entered into an Assurance of Discontinuance (“AOD”) to resolve the Massachusetts OAG’s investigation of the Issuer’s financing, purchase and securitization of certain subprime residential mortgages. The AOD provides for Morgan Stanley to make payments totaling approximately $102.7 million, and for Morgan Stanley to use its best efforts to implement certain business practices related to such activities on a prospective basis.
In addition, MS&Co. has been involved in a number of civil proceedings and regulatory actions which concern matters arising in connection with the conduct of its business. Certain of such proceedings have resulted in findings of violation of federal or state securities laws. Such proceedings are reported and summarized in the MS&Co. Form BD filed with the SEC, which descriptions are hereby incorporated by reference. The MSSB LLC Form BD filed with the SEC is also hereby incorporated by reference.
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this Amendment is true, complete and correct.
Dated: November 26, 2013.
MORGAN STANLEY | |||
By: | /s/ Christina Huffman | ||
Name: Christina Huffman | |||
Title: Authorized Signatory | |||
MS HOLDINGS INCORPORATED | |||
By: | /s/ Christina Huffman | ||
Name: Christina Huffman | |||
Title: Vice President | |||
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. | |||
By: | /s/ Samantha Jennifer Cooper | ||
Name: Samantha Jennifer Cooper | |||
Title: Vice President | |||
MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. | |||
By: | Morgan Stanley Private Equity Asia III, Inc., its managing member | ||
By: | /s/ Samantha Jennifer Cooper | ||
Name: Samantha Jennifer Cooper | |||
Title: Vice President | |||
MORGAN STANLEY PRIVATE EQUITY ASIA III, L.P. | |||
By: | Morgan Stanley Private Equity Asia III, L.L.C., its general partner | ||
By: | Morgan Stanley Private Equity Asia III, Inc., its managing member | ||
By: | /s/ Samantha Jennifer Cooper | ||
Name: Samantha Jennifer Cooper | |||
Title: Vice President |
MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III, L.P. | |||
By: | Morgan Stanley Private Equity Asia III, L.L.C., its general partner | ||
By: | Morgan Stanley Private Equity Asia III, Inc., its managing member | ||
By: | /s/ Samantha Jennifer Cooper | ||
Name: Samantha Jennifer Cooper | |||
Title: Vice President | |||
MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD | |||
By: | /s/ Samantha Jennifer Cooper | ||
Name: Samantha Jennifer Cooper | |||
Title: Sole Director | |||
MSPEA AGRICULTURE HOLDING LIMITED | |||
By: | /s/ Samantha Jennifer Cooper | ||
Name: Samantha Jennifer Cooper | |||
Title: Director |
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