UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
(RULE 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
RULE 13d-2(a)
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 4)*
VIVENDI UNIVERSAL S.A.
(NAME OF ISSUER)
ORDINARY SHARES, NOMINAL VALUE 5.50 EUROS PER SHARE
(TITLE OF CLASS OF SECURITIES)
F9798210
(CUSIP NUMBER)
SARAH E. COGAN
SIMPSON THACHER & BARTLETT
425 LEXINGTON AVENUE, NEW YORK, NEW YORK 10017
(212) 455-3575
(NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON
AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS)
OCTOBER 1, 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 Rule 13d-1(e), 13d-1(f) or 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 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).
Schedule 13D
CUSIP No.F9798210 Page 2 of 31
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
EDGAR M. BRONFMAN, individually, as trustee under certain trusts for the
benefit of descendants of the late Samuel Bronfman, as Managing Partner of
Bronfman Associates and as trustee or director of certain charitable
foundations.
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 453,848
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
25,922,715
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 453,848
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
25,922,715
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
26,376,563
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.5%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
IN
________________________________________________________________________________
Schedule 13D
CUSIP No.F9798210 Page 3 of 31
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
THE HON. CHARLES R. BRONFMAN, individually and as director or trustee of
certain charitable foundations.
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
CANADA
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 433,893
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
1,098,715
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 433,893
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
1,098,715
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,532,608
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
IN
________________________________________________________________________________
Schedule 13D
CUSIP No.F9798210 Page 4 of 31
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
SAMUEL BRONFMAN II, individually.
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 147,392
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
0
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 147,392
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
0
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
147,392
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
LESS THAN 0.1%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
IN
________________________________________________________________________________
Schedule 13D
CUSIP No.F9798210 Page 5 of 31
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
EDGAR BRONFMAN, JR., individually, as trustee under a certain trust for the
benefit of descendants of the late Samuel Bronfman and as trustee of a
certain charitable foundation.
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS*
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF 3,752,458
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
24,733,219
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 3,752,458
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
24,733,751
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
28,486,209
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.7%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
IN
________________________________________________________________________________
CUSIP No. F9798210 13D Page 6 of 31
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
MATTHEW BRONFMAN, individually, as trustee under a certain trust for the benefit
of descendants of the late Samuel Bronfman and as director of a certain
charitable foundation.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 192
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 24,541,411
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 192
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
24,541,411
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
25,541,603
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.3%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
CUSIP No. F9798210 13D Page 7 of 31
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
STEPHEN R. BRONFMAN, individually, as trustee under certain trusts for the
benefit of descendants of the late Samuel Bronfman and as director of certain
charitable foundations.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
CANADA
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
11,682,106
OWNED BY
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 0
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
11,682,106
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11,682,106
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.1%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
CUSIP No. F9798210 13D Page 8 of 31
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
ELLEN J. BRONFMAN HAUPTMAN, individually and as trustee under a certain trust
for the benefit of descendants of the late Samuel Bronfman.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
CANADA
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 690,500
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
10,775,199
OWNED BY
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 690,500
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
10,755,199
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11,465,699
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.1%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
CUSIP No. F9798210 13D Page 9 of 31
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
MILDRED KALIK, as trustee under certain trusts for the benefit of descendants of
the late Samuel Bronfman.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
25,730,431
OWNED BY
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 0
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
25,730,431
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
25,730,431
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.4%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
CUSIP No. F9798210 13D Page 10 of 31
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
MAYO A. SHATTUCK, III, as trustee under certain trusts for the benefit of
descendants of the late Samuel Bronfman.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
25,730,431
OWNED BY
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 0
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
25,730,431
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
25,730,431
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.4%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
CUSIP No. F9798210 13D Page 11 of 31
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
JOHN S. WEINBERG, individually, as trustee under a certain trust for the benefit
of John S. Weinberg and as trustee under certain trusts for the benefit of
descendants of the late Samuel Bronfman.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 800
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
25,734,831
OWNED BY
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 800
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
25,734,831
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
25,735,631
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.4%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
CUSIP No. F9798210 13D Page 12 of 31
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
ARNOLD M. LUDWICK, as trustee under a certain trust for the benefit of
descendants of the late Samuel Bronfman and as a director of a certain
charitable foundation.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
CANADA
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
11,681,630
OWNED BY
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 0
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
11,681,630
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11,681,630
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.1%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No.F978210 13D Page 13 of 31
------ -- --
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
ROBERT S. VINEBERG, as trustee under a certain trust for the benefit of
descendants of the late Samuel Bronfman.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
CANADA
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 10,775,199
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
0
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
10,775,199
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,775,199
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No.F978210 Page 14 of 31
------ -- --
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
JAY H. RUBINSTEIN, as trustee under a certain trust for the benefit of
descendants of the late Samuel Bronfman.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 2,000,000
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
0
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
2,000,000
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,000,000
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No.F978210 Page 15 of 31
------ -- --
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
GUY P. LANDER, as trustee under a certain trust for the benefit of
descendants of the late Samuel Bronfman.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 2,000,000
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
0
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
2,000,000
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,000,000
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No.F978210 Page 16 of 31
------ -- --
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
STEVEN H. LEVIN, as trustee under a certain trust for the benefit of
descendants of the late Samuel Bronfman.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 2,000,000
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
0
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
2,000,000
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,000,000
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No.F978210 Page 17 of 31
------ -- --
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
TREVOR CARMICHAEL, as trustee under a certain trust for the benefit of
descendants of the late Samuel Bronfman.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
BARBADOS
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 2,159,500
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
0
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
2,159,500
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,159,500
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No.F978210 Page 18 of 31
------ -- --
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
NEVILLE LEROY SMITH, as trustee under a certain trust for the benefit of
descendants of the late Samuel Bronfman.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
BARBADOS
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 2,159,500
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
0
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
2,159,500
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,159,500
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No.F978210 Page 19of 31
------- -- --
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
BRUCE I. JUDELSON, as trustee under a certain trust for the benefit of
descendants of the late Samuel Bronfman.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 219,208
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 2,167,100
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
219,208
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
2,167,100
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,386,308
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No.F978210 Page 20 of 31
------ -- --
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
CODAN TRUST COMPANY LIMITED, as trustee under a certain trust for the
benefit of descendants of the late Samuel Bronfman.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
BERMUDA
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 4,000,000
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
-----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
4,000,000
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,000,000
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.4%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------------
Page 21 of 31
This Statement on Schedule 13D, as amended, to which this amendment
relates (the "Schedule 13D"), filed pursuant to Rule 13d-1 of the Rules and
Regulations under the Securities Exchange Act of 1934, as amended, by each of
the individuals and entities identified on the cover pages to this Schedule 13D
(such persons and entities, collectively, the "Reporting Persons"), relating to
the ordinary shares, nominal value 5.50 euros per share (the "Ordinary Shares"),
of Vivendi Universal S.A., a societe anonyme organized under the laws of France
("Vivendi Universal"), is hereby amended as set forth below.
ITEM 2. IDENTITY AND BACKGROUND.
Item 2 is hereby supplemented as follows:
The Schedule 13D is being filed jointly by the Reporting Persons. The
agreement among the Reporting Persons relating to the joint filing of the
Schedule 13D is attached hereto as Exhibit 1.
The name, business address, principal business or occupation and
citizenship of each of the Reporting Persons is supplemented by adding the
following information:
NAME AND BUSINESS ADDRESS PRINCIPAL BUSINESS OR OCCUPATION CITIZENSHIP
------------------------- -------------------------------- -----------
JAY H. RUBINSTEIN Partner of Withers Bergman LLP (attorneys) United States
157 Church Street
New Haven, CT
USA 06510
During the last five years, none of the Reporting Persons has been (i)
convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors) or (ii) a party to a civil proceeding of a judicial or
administrative body of competent jurisdiction and as a result of such proceeding
has been 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.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
Item 5 is hereby amended and restated as follows:
CURRENT OWNERSHIP
As of the date hereof and after giving effect to the transactions
described below under "Recent Transactions," Bronfman Associates, a New York
general partnership ("BA"), owns directly 24,541,219 Vivendi Universal American
Depositary Shares ("ADSs"), or approximately 2.3% of the Ordinary Shares. Edgar
M. Bronfman is the Managing Partner of BA, the Edgar Miles Bronfman Trust (the
"EMBT") directly and indirectly holds a 99% general partnership interest and the
children of Edgar M. Bronfman, including Samuel Bronfman II, Edgar Bronfman, Jr.
and Matthew Bronfman, directly and indirectly hold the other partnership
interest in BA. The EMBT owns no Vivendi Universal Securities directly (the term
"Vivendi Universal Securities" refers to, collectively, Ordinary Shares, ADSs,
exchangeable shares ("Exchangeable Shares") of Vivendi Universal Exchangeco
Inc., a Canadian subsidiary of
Page 22 of 31
Vivendi Universal, and Vivendi Universal voting rights). Edgar M. Bronfman,
Edgar Bronfman, Jr., Matthew Bronfman, Mildred Kalik, Mayo A. Shattuck III and
John S. Weinberg are the trustees of the EMBT, and Edgar M. Bronfman, Mildred
Kalik, Mayo A. Shattuck III and John S. Weinberg are the trustees of the
PBBT/Edgar Miles Bronfman Family Trust (the "PBBT/EMBFT"), both of which are
trusts for the benefit of Edgar M. Bronfman and his descendants. The PBBT/EMBFT
owns directly 1,189,212 ADSs, or approximately 0.1% of the Ordinary Shares.
The C. Bronfman Family Trust (the "C.BFT"), the Charles Rosner Bronfman
Family Trust (the "CRBFT"), the Charles Bronfman Trust (the "CBT") and the
Charles R. Bronfman Discretionary Trust (the "CRBDT"), trusts for the benefit of
Charles R. Bronfman and his descendants, own directly (or, in the case of the
C.BFT, indirectly, and in the case of the CRBFT, both directly and indirectly)
2,159,500 Ordinary Shares, 10,772,699 Ordinary Shares, 2,000,000 Ordinary Shares
and 199,008 Ordinary Shares, or approximately 0.2%, 1.0%, 0.2% and less than
0.1% of the Ordinary Shares, respectively. The C.BFT is the sole member of C.BFT
Holdings LLC ("C.BFT LLC"), which owns directly the 2,159,500 Ordinary Shares
referred to above. The CRBFT is the sole shareholder of Columbus Capital
Corporation, which owns directly 3,742,661 Ordinary Shares (included in the
10,772,699 Ordinary Share amount referred to above). Trevor Carmichael, Neville
LeRoy Smith and Bruce I. Judelson are the trustees of the C.BFT. Stephen R.
Bronfman, Ellen J. Bronfman Hauptman, Arnold M. Ludwick and Robert S. Vineberg
are the trustees of the CRBFT. Jay H. Rubinstein, Guy P. Lander and Steven H.
Levin are the trustees of the CBT. Bruce I. Judelson is the trustee of the
CRBDT.
CRB Associates, Limited Partnership, a Connecticut limited partnership
("CRB Associates"), owns directly 2,500 Ordinary Shares, which represent less
than 0.1% of the Ordinary Shares. The general partner of CRB Associates is the
CRBFT, which holds a 98.2% general partnership interest. A corporation owned by
a trust for the benefit of Stephen R. Bronfman holds a 1.8% limited partnership
interest in CRB Associates.
Andell Holdings LLC, a limited liability company organized under the
laws of Delaware ("Andell"), owns directly 4,000,000 Ordinary Shares, or
approximately 0.4% of the Ordinary Shares. The CB Family Trust ("CB FT"), a
trust for the benefit of Charles R. Bronfman and his descendents, is the sole
member of Andell. The Codan Trust Company is the trustee of the CB FT.
Ayembee Limited Partnership, a Connecticut limited partnership
("Ayembee"), owns directly 7,600 Ordinary Shares, which represent less than 0.1%
of the Ordinary Shares. The general partner of Ayembee is the Ayembee Trust, the
trustees of which include Bruce I. Judelson, which holds a 33.75% general
partnership interest. Andrea M. Bronfman, the spouse of Charles R. Bronfman,
owns a 66.25% limited partnership interest.
Edgar M. Bronfman and Charles R. Bronfman are siblings.
The Claridge Foundation, a charitable foundation, the members and
directors of which include Charles R. Bronfman, Stephen R. Bronfman and Arnold
M. Ludwick, owns directly 906,431 Ordinary Shares, or approximately 0.1% of the
Ordinary Shares. The Vivendi Universal Foundation, a charitable foundation, the
trustees of which include Edgar M. Bronfman, Charles R. Bronfman, and Edgar
Bronfman, Jr., owns directly 192,000 ADSs, which represent
Page 23 of 31
less than 0.1% of the Ordinary Shares. The Samuel and Saidye Bronfman Family
Foundation, a charitable foundation, the directors of which include Stephen R.
Bronfman and Matthew Bronfman, owns directly 192 ADSs, which represent less than
0.1% of the Ordinary Shares. The Saidye Bronfman Foundation, a charitable
foundation, the directors of which include Edgar M. Bronfman, Charles R.
Bronfman and Stephen R. Bronfman, owns directly 284 ADSs, which represent less
than 0.1% of the Ordinary Shares.
Edgar M. Bronfman owns directly 888 ADSs and holds currently
exercisable options to acquire 452,960 ADSs; Charles R. Bronfman owns directly
800 Ordinary Shares and holds currently exercisable options to acquire 433,093
ADSs; Samuel Bronfman II owns directly 192 ADSs and holds currently exercisable
options to acquire 147,200 ADSs; Edgar Bronfman, Jr. owns directly 792 ADSs,
holds currently exercisable options to acquire 3,751,666 ADSs and, through an
investment in a 401(k) Plan with a value of $26,234 as of December 4, 2000, owns
indirectly approximately 532 ADSs; Matthew Bronfman owns directly 192 ADSs;
Ellen J. Bronfman Hauptman owns directly 690,500 Ordinary Shares; and John S.
Weinberg owns directly 800 ADSs. A trust for the benefit of John S. Weinberg, of
which he is a trustee, owns 4,400 ADSs. Bruce I. Judelson owns directly 700
ADSs, owns through an Individual Retirement Account 300 ADSs, and a trust for
which Bruce I. Judelson is the sole trustee (the "BBH Trust") owns directly
19,200 Ordinary Shares. Except with respect to the ADSs held by Edgar Bronfman,
Jr. through the 401(k) Plan, each of such persons has the sole power to vote, or
direct the voting of, and the sole power to dispose of, or direct the
disposition of, the ADSs stated to be owned directly by such person. In
addition, the spouse of Edgar M. Bronfman owns directly 1,472 ADSs.
The power to vote, or direct the voting of, and the power to dispose
of, or direct the disposition of, the Vivendi Universal Securities owned by each
of the aforementioned trusts and foundations is shared by the respective
trustees or directors of such trusts or foundations, except with respect to the
CB FT, CRBDT and the BBH Trust, each of which has a single trustee with sole
power to vote, or direct the voting of, and sole power to dispose of, or direct
the disposition of, the Vivendi Universal Securities owned by such trust.
Each person identified in the Schedule 13D expressly disclaims any
beneficial interest in the Vivendi Universal Securities, except for those ADSs
and Ordinary Shares which are stated to be owned directly by such person, and
except to the extent of such person's beneficial interest in a trust which owns
Vivendi Universal Securities.
The persons filing this statement expressly disclaim (i) that the
trustees of the trusts referred to in the Schedule 13D act as a group with the
trustees of any other trusts referred to in the Schedule 13D, and (ii) that any
group exists with respect to the Vivendi Universal Securities referred to in the
Schedule 13D.
The number of Vivendi Universal Securities over which each of the
Reporting Persons exercises voting or dispositive power, either sole or shared,
is set forth on the cover pages hereto. Such cover pages reflect the beneficial
ownership of an aggregate of 51,474,860 Vivendi Universal Securities, which
represent an aggregate of approximately 4.8% of the Ordinary Shares.
Page 24 of 31
Percentages set forth on such cover pages and in this Item 5 were
calculated based on 1,067,671,500 outstanding Ordinary Shares. Vivendi Universal
reported that it had 1,067,671,500 voting rights outstanding as at June 30, 2002
in its Consolidated Half-Year Financial Statements as at June 30, 2002, filed as
Exhibit 99.1 to its Report on Form 6-K dated September 25, 2002. Outstanding
voting rights exclude Ordinary Shares held in treasury by Vivendi Universal.
Vivendi Universal has advised the Reporting Persons that the number of
outstanding Ordinary Shares includes Ordinary Shares corresponding to the
outstanding ADSs and Exchangeable Shares.
RECENT TRANSACTIONS
On August 9, 2002, Columbus demanded payment on a note due from
Claridge SRB Investments Inc., a corporation existing under the laws of Canada
("SRB Investments"), and foreclosed on the Ordinary Shares held by SRB
Investments as payment for the note. As a result, 3,942,661 Ordinary Shares
became the property of Columbus and SRB Investments no longer holds any Vivendi
Universal Securities.
On August 16, 2002, C. BFT LLC, the CRBFT, The Chastell Foundation, a
charitable foundation, the members and directors of which include Charles R.
Bronfman, Stephen R. Bronfman, Ellen J. Bronfman Hauptman and Arnold M. Ludwick
("Chastell"), the CRBDT and Ayembee sold 200,000, 200,000, 25,000, 4,800 and 200
Ordinary Shares, respectively, in market sales on the Paris Bourse at a price
per Ordinary Share of 10.032 Euros.
On August 19, 2002, C. BFT LLC, the CRBFT, Chastell, Claridge, the
CRBDT and Ayembee sold 246,500, 246,500, 18,331, 12,469, 5,900 and 300 Ordinary
Shares, respectively, in market sales on the Paris Bourse at a price per
Ordinary Share of 9.837 Euros. After giving effect to such transactions,
Chastell no longer holds any Vivendi Universal Securities.
On August 20, 2002, C. BFT LLC, the CRBFT, Claridge, the CRBDT and
Ayembee sold 200,000, 200,000, 25,000, 4,800 and 200 Ordinary Shares,
respectively, in market sales on the Paris Bourse at a price per Ordinary Share
of 12.384 Euros.
On August 21, 2002, C. BFT LLC, the CRBFT, Claridge, the CRBDT and
Ayembee sold 200,000, 200,000, 25,000, 4,800 and 200 Ordinary Shares,
respectively, in market sales on the Paris Bourse at a price per Ordinary Share
of 12.742 Euros.
On August 22, 2002, C. BFT LLC, the CRBFT, Claridge, the CRBDT and
Ayembee sold 200,000, 200,000, 25,000, 4,800 and 200 Ordinary Shares,
respectively, in market sales on the Paris Bourse at a price per Ordinary Share
of 13.437 Euros.
On August 23, 2002, C. BFT LLC, the CRBFT, Claridge, the CRBDT and
Ayembee sold 200,000, 200,000, 25,000, 4,800 and 200 Ordinary Shares,
respectively, in market sales on the Paris Bourse at a price per Ordinary Share
of 13.097 Euros.
On August 30, 2002, C. BFT LLC, the CRBFT, Claridge, the CRBDT and
Ayembee sold 344,000, 344,000, 43,000, 8,500 and 500 Ordinary Shares,
respectively, in market sales on the Paris Bourse at a price per Ordinary Share
of 13.020 Euros.
Page 25 of 31
In addition, on August 30, 2002, BA transferred 65,700 ADSs to one of
its limited partners, who then transferred such ADSs to two public charities.
On September 2, 2002, BA sold 785,000 Ordinary Shares in market sales
on the Paris Bourse at a price per Ordinary Share of 12.979 Euros.
On September 3, 2002, BA sold 700,000 Ordinary Shares in market sales
on the Paris Bourse at a price per Ordinary Share of 12.144 Euros.
On September 5, 2002, BA sold 349,300 Ordinary Shares in market sales
on the Paris Bourse at a price per Ordinary Share of 11.686 Euros.
On September 6, 2002, BA sold 100,000 Ordinary Shares in market sales
on the Paris Bourse at a price per Ordinary Share of 12.413 Euros.
On October 1, 2002, C. BFT LLC, Columbus, Claridge, the CRBDT and
Ayembee sold 200,000, 200,000, 25,000, 4,800 and 200 Ordinary Shares,
respectively, in market sales on the Paris Bourse at a price per Ordinary Share
of 11.687 Euros.
After giving effect to the transactions described above, the Reporting
Persons beneficially own less than 5% of the total number of outstanding
Ordinary Shares and will no longer be required to report on Schedule 13D. The
Reporting Persons ceased to beneficially own 5% of the total number of
outstanding Ordinary Shares on September 2, 2002.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER.
Item 6 is hereby supplemented as follows:
As previously reported in the Schedule 13D, certain of the Reporting
Persons and entities related to them are party (the "Shareholder Parties") to a
Shareholder Governance Agreement dated as of June 19, 2000 with Vivendi
Universal (the "Governance Agreement"). Pursuant to the Governance Agreement,
the Shareholder Parties currently have the right to designate three persons (the
"Bronfman designees") to the Board of Directors of Vivendi Universal. Samuel
Minzberg, who was a Bronfman designee, has resigned from his position as
director.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
EXHIBITS:
1. Joint Filing Agreement among each of the Reporting Persons.
2. Power of Attorney.
SIGNATURES
Page 26 of 31
After reasonable inquiry and to the best of their knowledge and belief, the
undersigned certify that the information set forth in this statement is true,
complete and correct.
DATED: October 1, 2002
EDGAR M. BRONFMAN, individually, as
trustee under certain trusts for
the benefit of descendants of the
late Samuel Bronfman, as Managing
Partner of Bronfman Associates and
as trustee or director of certain
charitable foundations
By: /s/ Frank W. Raysor, II
------------------------------
Frank W. Raysor, II
Attorney-in-Fact (Pursuant to a
Power of Attorney previously filed
with the Securities and Exchange
Commission)
THE HON. CHARLES R. BRONFMAN,
individually and as director or
trustee of certain charitable
foundations
By: /s/ Michel Boucher
------------------------------
Michel Boucher
Attorney-in-Fact (Pursuant to a
Power of Attorney previously filed
with the Securities and Exchange
Commission)
SAMUEL BRONFMAN II, individually
By: /s/ Frank W. Raysor, II
------------------------------
Frank W. Raysor, II
Attorney-in-Fact (Pursuant to a
Power of Attorney previously filed
with the Securities and Exchange
Commission)
Page 27 of 31
EDGAR BRONFMAN, JR., individually,
as trustee under a certain trust
for the benefit of descendants of
the late Samuel Bronfman and as
trustee of a certain charitable
foundation
By: /s/ Frank W. Raysor, II
------------------------------
Frank W. Raysor, II
Attorney-in-Fact (Pursuant to a
Power of Attorney previously filed
with the Securities and Exchange
Commission)
MATTHEW BRONFMAN, individually, as
trustee under a certain trust for
the benefit of descendants of the
late Samuel Bronfman and as
director of a certain charitable
foundation
By: /s/ Frank W. Raysor, II
------------------------------
Frank W. Raysor, II
Attorney-in-Fact (Pursuant to a
Power of Attorney previously filed
with the Securities and Exchange
Commission)
STEPHEN R. BRONFMAN, individually,
as trustee under certain trusts for
the benefit of descendants of the
late Samuel Bronfman and as
director of certain charitable
foundations
By: /s/ Michel Boucher
------------------------------
Michael Boucher
Attorney-in-Fact (Pursuant to a
Power of Attorney previously filed
with the Securities and Exchange
Commission)
Page 28 of 31
ELLEN J. BRONFMAN HAUPTMAN,
individually and as trustee under a
certain trust for the benefit of
descendants of the late Samuel
Bronfman
By: /s/ Michel Boucher
------------------------------
Michel Boucher
Attorney-in-Fact (Pursuant to a
Power of Attorney previously filed
with the Securities and Exchange
Commission)
MILDRED KALIK, as trustee under
certain trusts for the benefit of
descendants of the late Samuel
Bronfman
/s/ MILDRED KALIK
------------------------------
MILDRED KALIK
MAYO A. SHATTUCK, III, as trustee
under certain trusts for the
benefit of descendants of the late
Samuel Bronfman
By: /s/ Mildred Kalik
------------------------------
Mildred Kalik
Attorney-in-Fact (Pursuant to a
Power of Attorney previously filed
with the Securities and Exchange
Commission)
JOHN S. WEINBERG, individually, as
trustee under a certain trust for
the benefit of John S. Weinberg and
as trustee under certain trusts for
the benefit of descendants of the
late Samuel Bronfman
By: /s/ Mildred Kalik
------------------------------
Mildred Kalik
Attorney-in-Fact (Pursuant to a
Power of Attorney previously filed
with the Securities and Exchange
Commission)
Page 29 of 31
ARNOLD M. LUDWICK, as trustee under
a certain trust for the benefit of
descendants of the late Samuel
Bronfman and as a director of a
certain charitable foundation
By: /s/ Michel Boucher
------------------------------
Michel Boucher
Attorney-in-Fact (Pursuant to a
Power of Attorney previously filed
with the Securities and Exchange
Commission)
ROBERT S. VINEBERG, as trustee
under a certain trust for the
benefit of descendants of the late
Samuel Bronfman
By: /s/ Michel Boucher
------------------------------
Michel Boucher
Attorney-in-Fact (Pursuant to a
Power of Attorney previously filed
with the Securities and Exchange
Commission)
JAY H. RUBINSTEIN, as trustee under
a certain trust for the benefit of
descendants of the late Samuel
Bronfman
By: /s/ Michel Boucher
------------------------------
Michel Boucher
Attorney-in-Fact
GUY P. LANDER, as trustee under a
certain trust for the benefit of
descendants of the late Samuel
Bronfman
By: /s/ Michel Boucher
------------------------------
Michel Boucher
Attorney-in-Fact (Pursuant to a
Power of Attorney previously filed
with the Securities and Exchange
Commission)
Page 30 of 31
STEVEN H. LEVIN, as trustee under a
certain trust for the benefit of
descendants of the late Samuel
Bronfman
By: /s/ Michel Boucher
------------------------------
Michel Boucher
Attorney-in-Fact (Pursuant to a
Power of Attorney previously filed
with the Securities and Exchange
Commission)
TREVOR CARMICHAEL, as trustee under
a certain trust for the benefit of
descendants of the late Samuel
Bronfman
By: /s/ Michel Boucher
------------------------------
Michel Boucher
Attorney-in-Fact (Pursuant to a
Power of Attorney previously filed
with the Securities and Exchange
Commission)
NEVILLE LEROY SMITH, as trustee
under a certain trust for the
benefit of descendants of the late
Samuel Bronfman
By: /s/ Michel Boucher
------------------------------
Michel Boucher
Attorney-in-Fact (Pursuant to a
Power of Attorney previously filed
with the Securities and Exchange
Commission)
BRUCE I. JUDELSON, individually and
as trustee under certain trusts for
the benefit of descendants of the
late Samuel Bronfman
By: /s/ Michel Boucher
------------------------------
Michel Boucher
Attorney-in-Fact (Pursuant to a
Power of Attorney previously filed
with the Securities and Exchange
Commission)
Page 31 of 31
CODAN TRUST COMPANY LIMITED, as
trustee under a certain trust for
the benefit of descendants of the
late Samuel Bronfman
By: /s/ Michel Boucher
------------------------------
Michel Boucher
Attorney-in-Fact (Pursuant to a
Power of Attorney previously filed
with the Securities and Exchange
Commission)