SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
------------------
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 21)*
PHILADELPHIA SUBURBAN CORPORATION
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(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)
May 10, 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 Section 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check
the following box [ ].
Note: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See Section 240.13d-7(b) for
other parties to whom copies are to be sent.
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 or otherwise subject to the liabilities of that section of the Act but
shall be subject to all other provisions of the Act (however, see the Notes).
SCHEDULE 13D
CUSIP No. 718009608 Page 2
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Vivendi Universal S.A. (formerly Vivendi S.A.)
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
3
4 SOURCE OF FUNDS*
OO
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
France
7 SOLE VOTING POWER
None
NUMBER OF SHARES
BENEFICIALLY OWNED 8 SHARED VOTING POWER
BY 11,510,136
EACH REPORTING
PERSON 9 SOLE DISPOSITIVE POWER
WITH None
10 SHARED DISPOSITIVE POWER
11,510,136
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11,510,136
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*[ ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Approximately 16.8% (based upon 68,486,101 shares outstanding as of
March 1, 2002 according to Philadelphia Suburban Corporation's Annual
Report on Form 10K for the fiscal year ended December 31, 2001)
14 TYPE OF REPORTING PERSON*
CO
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13D
CUSIP No. 718009608 Page 3
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Vivendi North America Company (formerly Anjou International Company)
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
3
4 SOURCE OF FUNDS*
OO
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware, U.S.A.
7 SOLE VOTING POWER
None
NUMBER OF SHARES
BENEFICIALLY OWNED 8 SHARED VOTING POWER
BY 1,175,915
EACH REPORTING
PERSON 9 SOLE DISPOSITIVE POWER
WITH None
10 SHARED DISPOSITIVE POWER
1,175,915
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,175,915
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*[ ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Approximately 1.7% (based upon 68,486,101 shares outstanding as of
March 1, 2002 according to Philadelphia Suburban Corporation's Annual
Report on Form 10K for the fiscal year ended December 31, 2001)
14 TYPE OF REPORTING PERSON*
CO
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13D
CUSIP No. 718009608 Page 4
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Vivendi Water S.A.
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
3
4
SOURCE OF FUNDS*
OO
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
France
7 SOLE VOTING POWER
None
NUMBER OF SHARES
BENEFICIALLY OWNED 8 SHARED VOTING POWER
BY 10,334,221
EACH REPORTING
PERSON 9 SOLE DISPOSITIVE POWER
WITH None
10 SHARED DISPOSITIVE POWER
10,334,221
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,334,221
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*[ ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Approximately 15.1% (based upon 68,486,101 shares outstanding as of
March 1, 2002 according to Philadelphia Suburban Corporation's Annual
Report on Form 10K for the fiscal year ended December 31, 2001)
14 TYPE OF REPORTING PERSON*
CO
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13D
CUSIP No. 718009608 Page 5
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Compagnie Generale des Eaux
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
3
4 SOURCE OF FUNDS*
OO
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
France
7 SOLE VOTING POWER
None
NUMBER OF SHARES
BENEFICIALLY OWNED 8 SHARED VOTING POWER
BY None
EACH REPORTING
PERSON 9 SOLE DISPOSITIVE POWER
WITH 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)
0%
14 TYPE OF REPORTING PERSON*
PN (limited partnership)
*SEE INSTRUCTIONS BEFORE FILLING OUT!
This Amendment No. 21 (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 the
resignation from the Board of Directors of Philadelphia Suburban Corporation, a
Pennsylvania corporation (the "Issuer"), of a member of the supervisory board
and a member of the management board of Vivendi Environnement S.A., a majority
owned subsidiary of Vivendi Universal S.A., and to reflect information required
pursuant to Rule 13d-2 under the Securities Exchange Act of 1934, as amended,
relating to the shares of common stock, par value $0.55 per share, of the
Issuer.
All capitalized terms used in this Amendment and not otherwise
defined herein have the meanings ascribed to such terms in the Schedule 13D.
Item 2. Identity and Background.
Items 2(a) and (b) of Schedule 13D are amended and restated in
their entirety as follows:
"(a) This statement is filed by Vivendi Universal S.A.
(formerly Vivendi S.A.) ("Vivendi Universal" or "Vivendi"), its indirect
subsidiaries Vivendi North America Company (formerly Anjou International
Company) ("VNAC") and Vivendi Water S.A. ("Water"), and Water's wholly owned
subsidiary Compagnie Generale des Eaux ("CGE" and, together with Vivendi, VNAC
and Water, the "Filing Persons").
Except for three (3) shares held indirectly by Vivendi
Universal, Water is a wholly owned subsidiary of Vivendi Environnement S.A., a
French corporation ("Environnement"). Vivendi Universal holds approximately 63%
of the capital stock of Environnement. VNAC is a wholly owned subsidiary of
Vivendi North America Operations, Inc. ("Operations"), a wholly-owned indirect
subsidiary of Environnement.
(b) The business address of Vivendi Universal is 42 avenue de
Friedland, 75380 Paris, Cedex 08, France. The business address of Environnement
is 36-38 avenue Kleber, 75116 Paris, France. The business address of VNAC is 60
East 42nd Street, 36th Floor, New York, New York 10165. The business address of
Water and CGE is 52 Rue d'Anjou 75008, Paris, France."
Item 4. Purpose of Transaction.
Item 4 of Schedule 13D is amended by:
(i) Amending and restating paragraph (c) of Item 4 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. However,
Richard J. Heckmann, a member of the Supervisory Boards of Environnement and
Water, resigned as a director of the Issuer in January 2002, and Andrew D.
Seidel, a member of the Management Board of Environnement, resigned as a
director of the Issuer on May 9, 2002. As of the date hereof, none of the
members of the Board of Directors of the Issuer are directors or executive
officers of Vivendi Universal nor of any of its direct or indirect
subsidiaries."
(ii) Deleting the last paragraph of Item 4 and adding the
following paragraphs at the end thereof:
"VNAC has authorized the immediate sale, in one or more
broker's transactions, of up to 684,861 Shares. Each of VNAC and Water presently
intends to fully divest its interest in the Issuer by (i) selling, pledging or
otherwise disposing of, directly or indirectly, additional Shares in the open
market and/or in negotiated transactions, (ii) issuing securities exchangeable
into any Shares, (iii) entering into any swap, hedge or other arrangements that
transfers, in whole or in part, any of the economic consequences of ownership of
the Shares, and (iv) entering into one or more transactions which would have the
same effect as (i) through (iii) above, in each case from time to time as
permitted under applicable U.S. securities laws and regulations, and until such
time as VNAC, Water and their affiliates cease to hold any Shares. VNAC and
Water will continue to review their investment position in the Issuer
periodically and, depending on such review, market conditions and share prices,
the Issuer's business, prospects and future developments and applicable legal
requirements, VNAC and Water may decide to change their divestment strategy
relating to the Shares at any time."
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 May 10, 2002, Vivendi Universal was, through its
indirect subsidiaries VNAC and Water, the beneficial owner of 11,510,136 Shares
constituting approximately 16.8% of the outstanding Shares (based upon
68,486,101 shares outstanding as of March 1, 2002 according to the Issuer's
Annual Report on Form 10-K for the fiscal year ended December 31, 2001). 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 May 10, 2002, Environnement was, through its
subsidiaries VNAC and Water, the beneficial owner of the 11,510,136 Shares,
constituting approximately 16.8% of the outstanding Shares (based upon
68,486,101 shares outstanding as of March 1, 2002 according to the Issuer's
Annual Report on Form 10-K for the fiscal year ended December 31, 2001). 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 May 10, 2002, VNAC was the beneficial owner of 1,175,915
Shares, constituting approximately 1.7% of the outstanding Shares (based upon
68,486,101 shares outstanding as of March 1, 2002 according to the Issuer's
Annual Report on Form 10-K for the fiscal year ended December 31, 2001). To the
best knowledge of VNAC, no director or executive officer owns or has any right
to acquire, directly or indirectly, any Shares.
As of May 10, 2002, Water was the beneficial owner of
10,334,221 Shares, constituting approximately 15.1% of the outstanding Shares
(based upon 68,486,101 shares outstanding as of March 1, 2002 according to the
Issuer's Annual Report on Form 10-K for the fiscal year ended December 31,
2001). 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 May 10, 2002, CGE did not beneficially own any Shares.
To the best knowledge of CGE, no director or executive officer owns or has any
right to acquire, directly or indirectly, any Shares.
(b) Vivendi Universal has, through its indirect subsidiaries
VNAC and Water, the shared power to vote or direct the disposition of 11,510,136
Shares. Environnement has, through its subsidiaries VNAC and Water, the shared
power to vote or direct the disposition of 11,510,136 Shares. VNAC and Water
have the shared power to vote or direct the disposition of 1,175,915 Shares and
10,334,221 Shares, respectively.
(c) Neither Vivendi Universal nor, to the best of Vivendi
Universal's knowledge, any executive officer or director of Vivendi Universal:
(a) owns, or has any right to acquire, directly or indirectly, any Shares or (b)
has, in the past sixty (60) days, effected any transactions in the Shares.
Neither Environnement nor, to the best of Environnement's
knowledge, any executive officer or supervisory board member of Environnement:
(a) owns, or has any right to acquire, directly or indirectly, any Shares or (b)
has, in the past sixty (60) days, effected any transactions in the Shares, other
than Richard J. Heckmann, a member of the Supervisory Board of Environnement,
who sold 875 Shares on April 30, 2002 and Andrew D. Seidel, a member of the
Management Board of Environnement, who currently owns 875 Shares. To the best
knowledge of Environnement, Mr. Heckmann does not currently own any Shares.
Neither VNAC nor, to the best of VNAC's knowledge, any
executive officer or director of VNAC: (a) owns, or has any right to acquire,
directly or indirectly, any Shares or (b) has, in the past sixty (60) days,
effected any transactions in the Shares.
Except as set forth in Schedule 1 hereto and incorporated
herein by reference, 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.
Neither CGE nor, to the best of CGE's knowledge, any executive
officer or director of CGE: (a) owns, or has any right to acquire, directly or
indirectly, any Shares or (b) has, in the past sixty (60) days, effected any
transactions in the Shares."
Item 6. Contracts, Arrangements, Understandings, or Relationships with
Respect to Securities of the Issuer.
Item 6 of Schedule 13D is amended to read in its entirety as
follows:
"On May 10, 2002, VNAC placed a sale order with Deutsche Banc
Alex. Brown Inc. ("DB"), pursuant to which DB has been requested to execute the
sale of up to 684,861 Shares in one or more broker's transactions within the
meaning of the Securities Act of 1933, as amended, in coordination with VNAC
with respect to the material terms, including price, of such transactions.
Except as set forth in the preceding paragraph, none of the
Filing Persons nor, to the best of the Filing Persons' knowledge, any person
named in Item 2 hereof, has any contract, arrangement, understanding or
relationship (legal or otherwise) with any person with respect to any securities
of the Issuer, including but not limited to any contract, arrangement,
understanding or relationship concerning the transfer or the voting of any such
securities, finder's fees, joint ventures, loan or option arrangements, puts or
calls, guarantees of profits, division of profits or loss, or the giving or
withholding of proxies."
Item 7. Material to be Filed as Exhibits.
1. Joint Filing Agreement.*
2. Special Power of Attorney of Vivendi Universal S.A. (formerly
Vivendi S.A.)*
3. Special Power of Attorney of Vivendi North America Company*
4. Special Power of Attorney of Vivendi Water S.A.*
5. Special Power of Attorney of Compagnie Generale Des Eaux*
------------------
* 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
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I. Directors
-------------------------------------------------------------------------------------------------------------------------
Chairman of the Board Jean-Marie Messier French Chairman and Chief
c/o Vivendi Universal Executive Officer of
42, avenue de Friedland Vivendi Universal
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
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
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Director Eric Licoys French Co-Chief Operating
c/o Vivendi Universal Officer of Vivendi
42, avenue de Friedland Universal; Chairman of
75380 Paris, Cedex 08 Havas Medimedia
France
-------------------------------------------------------------------------------------------------------------------------
Director Bernard Arnault French Chairman and Chief Executive
LVMH Officer of LVMH Moet
30, avenue Montaigne Hennessy Louis Vuitton,
75008 Paris Christian Dior, Groupe Arnault,
France Societe Civile du Cheval Blanc,
Saint Emilion, and Montaigne
Participations et Gestion S.A.
-------------------------------------------------------------------------------------------------------------------------
Director Edgar M. Bronfman U.S. President of World
c/o Vivendi Universal Jewish Congress, World
375 Park Avenue, 5th floor Jewish Restitution
New York, NY 10152-0192 Organization and
USA Foundation for Jewish
Campus Life (Hillel)
-------------------------------------------------------------------------------------------------------------------------
Director Richard H. Brown U.S. Chairman and Chief Executive
Electronic Data Systems Officer of Electronic Data
5400 Legacy Drive Systems Co.
Plano, Texas 75024-3199
USA
-------------------------------------------------------------------------------------------------------------------------
Director Jean-Marc Espalioux French Chairman of the
Accor Management Board
Tour Maine Montparnasse and CEO of Accor
33 avenue du Maine
75755 Paris Cedex 15
France
-------------------------------------------------------------------------------------------------------------------------
Director Philippe Foriel-Destezet French Director of Adecco S.A.;
Nescofin Chairman of Akila
43 Rutland gate Finance S.A. and
S.W. 71 ED London Nescofin UK Ltd
England
-------------------------------------------------------------------------------------------------------------------------
Director Jacques Friedman French Director of BNP Paribas
80 avenue de Breteuil and TotalFinaElf S.A.
75015 Paris
-------------------------------------------------------------------------------------------------------------------------
Director Esther Koplowitz Spanish Director of Fomentos de
FCC Construcciones y
Plaza Pablo Ruiz Picasso Contratas (FCC);
28020 Madrid President of Ayuda al
Spain Desvalido Foundation
-------------------------------------------------------------------------------------------------------------------------
Director Marie-Josee Kravis Canadian Senior Fellow of
Hudson Institute Hudson Institute Inc.;
625 Park Avenue Director of The
New York, NY 10021 Canadian Imperial Bank
USA of Commerce, Hollinger
International Inc., The
Ford Motor Company
and USA Networks, Inc.
-------------------------------------------------------------------------------------------------------------------------
Director Henri Lachmann French Chairman and Chief
Schneider Electric S.A. Executive Officer of
43-45 Bd Franklin Roosevelt Schneider Electric S.A.
92500 Rueil Malmaison
France
-------------------------------------------------------------------------------------------------------------------------
Director Samuel Minzberg Canadian Chairman and Chief
Claridge Inc. Executive Officer of
1170 Peel Street, 8th floor Claridge Inc.
Montreal, Quebec H3B 4P2
-------------------------------------------------------------------------------------------------------------------------
Director Simon Murray British Chairman of Simon
Simon Murray & Murray & Associates
Associates (U.K) Ltd.
Princes House
38 Jermyn Street
England
-------------------------------------------------------------------------------------------------------------------------
Director Serge Tchuruk French Chairman and Chief
Alcatel Executive Officer of
54, rue de la Boetie Alcatel
75008 Paris
France
-------------------------------------------------------------------------------------------------------------------------
Director Marc Vienot French Honorary Chairman and
Societe Generale Director of Societe
Tour Societe Generale Generale; Chairman of
92972 Paris La Defense the Supervisory Board
France of Aventis and
Chairman of Paris
Europlace
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II. Executive Officers
(other than those who are
also Directors)
-------------------------------------------------------------------------------------------------------------------------
Senior Executive Vice Philippe Germond French Chairman and Chief
President, Internet c/o Vivendi Universal Executive Officer of
and Telecom 42, avenue de Friedland Cegetel Groupe
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Senior Executive Vice Guillaume Hannezo French
President and Chief Financial c/o Vivendi Universal
Officer 42, avenue de Friedland
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Senior Executive Vice Andrew Kaslow U.S.
President, Human Resources c/o Vivendi Universal
42, avenue de Friedland
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Chairman and CEO of Doug Morris U.S.
UMG c/o Vivendi Universal
42, avenue de Friedland
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Senior Executive Vice Henri Proglio French Chairman of the
President, Vivendi c/o Vivendi Environnement Management Board and
Environnement 36-38 avenue Kleber Chief Executive Officer
75116 Paris of Vivendi
France Environnement
-------------------------------------------------------------------------------------------------------------------------
Vice Chairman and CEO of Agnes Touraine French
Vivendi Universal Publishing c/o Vivendi Universal
42, avenue de Friedland
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Directors and Executive Officers of
Vivendi North America Company
Present Principal
Name and Business Address Occupation or Employment,
Except as otherwise indicated, the Including the Name
Business Address of each person is (principal business) and
c/o Vivendi North America Company Address (if different than
60 East 42nd Street, 36th Floor Business Address) of
Position with Vivendi New York, NY 10165 Citizenship Employer
-------------------------------------------------------------------------------------------------------------------------
I. Directors
-------------------------------------------------------------------------------------------------------------------------
President and Director Jerome Contamine French
-------------------------------------------------------------------------------------------------------------------------
II. Executive Officers
(other than those who are
also Directors)
-------------------------------------------------------------------------------------------------------------------------
Treasurer and Secretary Philippe Beaute French
-------------------------------------------------------------------------------------------------------------------------
Assistant Treasurer Philippe Messager French
-------------------------------------------------------------------------------------------------------------------------
Assistant Treasurer Stephen Dunkling British
-------------------------------------------------------------------------------------------------------------------------
Members of Supervisory Board and Executive Officers of
Vivendi Water S.A.
Present Principal
Name and Business Address Occupation or Employment,
Except as otherwise indicated, the Including the Name
Business Address of each person is (principal business) and
c/o Vivendi Water S.A. Address (if different than
52, rue d'Anjou Business Address) of
Position with Vivendi 75008 Paris, France Citizenship Employer
-------------------------------------------------------------------------------------------------------------------------
I. Members of Supervisory
Board
-------------------------------------------------------------------------------------------------------------------------
Chairman and Chief Henri Proglio French Chairman of the
Executive Officer Management Board and
Chief Executive Officer
of Vivendi Environment
-------------------------------------------------------------------------------------------------------------------------
Member Pierre-Henri Galan French
c/o Vivendi Universal
42, avenue de Friedland
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Member Richard J. Heckmann(1) 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
-------------------------------------------------------------------------------------------------------------------------
(1) Richard J. Heckmann sold 875 Shares on April 30, 2002. Mr. Heckmann does
not beneficially own any Shares as of the date of this Amendment.
Members of Supervisory Board and Executive Officers of
Compagnie Generale des Eaux
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 Compagnie Generale des Eaux Address (if different than
52, rue d'Anjou Business Address) of
Position with Vivendi 75008 Paris, France Citizenship Employer
-------------------------------------------------------------------------------------------------------------------------
I. Members of Supervisory
Board
-------------------------------------------------------------------------------------------------------------------------
Chairman Paul Louis Girardot French
-------------------------------------------------------------------------------------------------------------------------
Member Jean-Claude Douvry French
c/o SADE CGTH
28, rue de la Baume
75008 Paris, France
-------------------------------------------------------------------------------------------------------------------------
Member Antoine Zacharias French
c/o Vivendi Universal
42, avenue de Friedland
75380 Paris, Cedex 08, France
-------------------------------------------------------------------------------------------------------------------------
Member Edrif S.A. French
(represented by Mr. Serge Michel)
5, rue Tronson du Coudray
75008 Paris, France
-------------------------------------------------------------------------------------------------------------------------
Member Marc Noel Vigier French
-------------------------------------------------------------------------------------------------------------------------
II. Executive Officers
(other than those who are
also Members of the
Supervisory Board)
-------------------------------------------------------------------------------------------------------------------------
President and Chief Henri Proglio French Chairman of the
Executive Officer Management Board and
Chief Executive Officer
of Vivendi Environment
-------------------------------------------------------------------------------------------------------------------------
Chief Operating Officer Olivier Barbaroux French
-------------------------------------------------------------------------------------------------------------------------
Deputy General Manager Gerard Mohr French Deputy General
Manager of Vivendi
Water S.A.
-------------------------------------------------------------------------------------------------------------------------
Deputy General Manager Olivier Grunberg French Chief Financial Officer
of Vivendi Water S.A.
-------------------------------------------------------------------------------------------------------------------------
General Secretary and Secretary Patrick Spilliaert French
of the Supervisory Board
-------------------------------------------------------------------------------------------------------------------------
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: May 10, 2002
VIVENDI UNIVERSAL S.A.
By: /s/ Stephen P. Stanczak
------------------------------
Name: Stephen P. Stanczak
Attorney-in-Fact
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
COMPAGNIE GENERALE DES EAUX
By: /s/ Stephen P. Stanczak
------------------------------
Name: Stephen P. Stanczak
Attorney-in-Fact