1
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. 1)*
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)
MAY 29, 2001
--------------------------------------------------------------------
(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).
2
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 2 OF 29
--------------------- -------- --------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. 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 518,701
SHARES --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 32,922,715
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 518,701
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
32,922,715
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
33,441,416
---------------------------------------------------------------------
(12) CHECK BOX IF AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
---------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.3%
---------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
---------------------------------------------------------------------
3
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 3 OF 29
--------------------- -------- --------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
THE HON. CHARLES R. BRONFMAN, individually, as a manager of a certain
general partner of CRB Associates, Limited Partnership 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 478,479
SHARES --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 2,362,515
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 478,479
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
2,362,515
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,840,994
---------------------------------------------------------------------
(12) CHECK BOX IF AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
---------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.3%
---------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
---------------------------------------------------------------------
4
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 4 OF 29
--------------------- -------- --------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
SAMUEL BRONFMAN II, individually 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 155,392
SHARES --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 192,000
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 155,392
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
192,000
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
347,392
---------------------------------------------------------------------
(12) CHECK BOX IF 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
---------------------------------------------------------------------
5
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 5 OF 29
--------------------- -------- --------
(1) NAMES 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 3,443,458
SHARES --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 31,733,219
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 3,443,458
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
31,733,751
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
35,177,209
---------------------------------------------------------------------
(12) CHECK BOX IF AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
---------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.5%
---------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
---------------------------------------------------------------------
6
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 6 OF 29
--------------------- -------- --------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
MATTHEW BRONFMAN, 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
United States
---------------------------------------------------------------------
(7) SOLE VOTING POWER
NUMBER OF 192
SHARES --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 31,541,219
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 192
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
31,541,219
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
31,541,411
---------------------------------------------------------------------
(12) CHECK BOX IF AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
---------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.1%
---------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
---------------------------------------------------------------------
7
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 7 OF 29
--------------------- -------- --------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
STEPHEN R. BRONFMAN, as trustee under a certain trust 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 --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 18,461,906
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 0
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
18,461,906
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
18,461,906
---------------------------------------------------------------------
(12) CHECK BOX IF AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
---------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.8%
---------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
---------------------------------------------------------------------
8
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 8 OF 29
--------------------- -------- --------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
ELLEN J. BRONFMAN HAUPTMAN, 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
Canada
---------------------------------------------------------------------
(7) SOLE VOTING POWER
NUMBER OF 19,200
SHARES --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 17,374,530
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 19,200
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
17,374,530
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
17,393,730
---------------------------------------------------------------------
(12) CHECK BOX IF AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
---------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.7%
---------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
---------------------------------------------------------------------
9
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 9 OF 29
--------------------- -------- --------
(1) NAMES 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 --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 32,730,431
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 0
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
32,730,431
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
32,730,431
---------------------------------------------------------------------
(12) CHECK BOX IF AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
---------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.2%
---------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
---------------------------------------------------------------------
10
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 10 OF 29
--------------------- -------- --------
(1) NAMES 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 --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 32,730,431
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 0
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
32,730,431
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
32,730,431
---------------------------------------------------------------------
(12) CHECK BOX IF AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
---------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.2%
---------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
---------------------------------------------------------------------
11
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 11 OF 29
--------------------- -------- --------
(1) NAMES 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 --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 32,734,831
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 800
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
32,734,831
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
32,735,631
---------------------------------------------------------------------
(12) CHECK BOX IF AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
---------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.3%
---------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
---------------------------------------------------------------------
12
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 12 OF 29
--------------------- -------- --------
(1) NAMES 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
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 --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 18,461,430
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 0
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
18,461,430
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
18,461,430
---------------------------------------------------------------------
(12) CHECK BOX IF AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
---------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.8%
---------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
---------------------------------------------------------------------
13
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 13 OF 29
--------------------- -------- --------
(1) NAMES 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 --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 17,331,199
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 0
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
17,331,199
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
17,331,199
---------------------------------------------------------------------
(12) CHECK BOX IF AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
---------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.7%
---------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
---------------------------------------------------------------------
14
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 14 OF 29
--------------------- -------- --------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
STEVEN H. LEVIN, 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 --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 1,040,000
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 0
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
1,040,000
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,040,000
---------------------------------------------------------------------
(12) CHECK BOX IF 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
---------------------------------------------------------------------
15
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 15 OF 29
--------------------- -------- --------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
GUY P. LANDER, as a manager of a certain general partner of CRB
Associates, Limited Partnership 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 0
SHARES --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 1,040,000
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 0
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
1,040,000
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,040,000
---------------------------------------------------------------------
(12) CHECK BOX IF 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
---------------------------------------------------------------------
16
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 16 OF 29
--------------------- -------- --------
(1) NAMES 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 --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 15,456,000
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 0
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
15,456,000
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
15,456,000
---------------------------------------------------------------------
(12) CHECK BOX IF AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
---------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.5%
---------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
---------------------------------------------------------------------
17
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 17 OF 29
--------------------- -------- --------
(1) NAMES 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 --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 15,456,000
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 0
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
15,456,000
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
15,456,000
---------------------------------------------------------------------
(12) CHECK BOX IF AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
---------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.5%
---------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
---------------------------------------------------------------------
18
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 18 OF 29
--------------------- -------- --------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
BRUCE I. JUDELSON, individually, as a manager of a certain general
partner of CRB Associates, Limited Partnership 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 242,368
SHARES --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 16,496,000
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 242,368
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
16,496,000
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
16,738,368
---------------------------------------------------------------------
(12) CHECK BOX IF AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
---------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.7%
---------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
---------------------------------------------------------------------
19
SCHEDULE 13D
CUSIP NO. F9798210 PAGE 19 OF 29
--------------------- -------- --------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
ANDELL INVESTMENTS (LUXEMBOURG) S.A.R.L., a corporation organized
under the laws of Luxembourg.
---------------------------------------------------------------------
(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
Luxembourg
---------------------------------------------------------------------
(7) SOLE VOTING POWER
NUMBER OF 0
SHARES --------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
OWNED BY 10,000,000
EACH --------------------------------------------------------
REPORTING (9) SOLE DISPOSITIVE POWER
PERSON WITH 0
--------------------------------------------------------
(10) SHARED DISPOSITIVE POWER
10,000,000
--------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,000,000
---------------------------------------------------------------------
(12) CHECK BOX IF 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*
CO
---------------------------------------------------------------------
20
PAGE 20 OF 29
-------- --------
This Statement on Schedule 13D, as amended by this Amendment No. 1 (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
==============================================================================
GUY P. LANDER Resident Counsel of Davies Ward United States
430 Park Avenue Phillips & Vineberg (attorneys)
10th Floor
New York, NY
USA 10022
-------------------------------------------------------------------------------
ANDELL INVESTMENTS Luxembourg company Luxembourg
(LUXEMBOURG) S.A.R.L.
-------------------------------------------------------------------------------
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 31,541,219 Vivendi Universal American
Depositary Shares ("ADSs"), or approximately 3.1% 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
21
PAGE 21 OF 29
-------- --------
99% general partnership interest and the children of Edgar M. Bronfman,
including Samuel Bronfman II, Edgar Bronfman, Jr. and Matthew Bronfman, 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 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") and The Charles R. Bronfman Discretionary Trust (the
"CRBDT"), trusts for the benefit of Charles R. Bronfman and his descendants, own
directly (and, in the case of the CRBFT, indirectly) 5,456,000 ADSs, 16,291,199
Exchangeable Shares and 242,208 ADSs, or approximately 0.5%, 1.6% and less than
0.1% of the Ordinary Shares, respectively. The CRBFT is the sole shareholder of
Columbus Capital Corporation ("Columbus"), which owns directly 8,623,038
Exchangeable Shares, and Columbus is the sole shareholder of 2060353 Canada
Inc., which owns directly 7,668,161 Exchangeable Shares. The C.BFT holds 60% of
the capital stock of Andell Investments (Luxembourg) S.a.r.l., a corporation
organized under the laws of Luxembourg ("Andell"), which owns directly
10,000,000 ADSs, or approximately 1.0% of the Ordinary Shares. 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. Bruce I. Judelson is the
trustee of the CRBDT.
CRB Associates, Limited Partnership, a Connecticut limited partnership
("CRB Associates"), owns directly 1,040,000 ADSs, or approximately 0.1% of the
outstanding Ordinary Shares. The general partners of CRB Associates are the
CRBFT, which holds a 51.04% general partnership interest, and Claridge Israel
LLC ("Claridge Israel"), which holds a 48% general partnership interest. A
corporation owned by a trust for the benefit of Stephen R. Bronfman holds a
0.96% limited partnership interest in CRB Associates. Charles R. Bronfman, Bruce
I. Judelson and Guy P. Lander are the managers of Claridge Israel, and The
Charles Bronfman Trust (the "CBT") and The Charles R. Bronfman Trust (the
"CRBT") are the members of Claridge Israel. Neither the CBT nor the CRBT owns
any Vivendi Universal Securities directly. Bruce I. Judelson, Steven H. Levin
and Guy P. Lander are the trustees of the CBT and of the CRBT, which are trusts
for the benefit of Charles R. Bronfman and his descendants.
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 1,086,900 ADSs, or approximately 0.1% of the Ordinary
Shares. 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, owns directly 43,331 ADSs, which
represent less than 0.1% of the Ordinary Shares. The Samuel Bronfman Foundation,
a charitable foundation, the trustees of
22
PAGE 22 OF 29
-------- --------
which include Edgar M. Bronfman, Charles R. Bronfman, Samuel Bronfman II and
Edgar Bronfman, Jr., owns directly 192,000 ADSs, which represent 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, 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 517,813 ADSs; Charles R. Bronfman owns directly
800 ADSs and holds currently exercisable options to acquire 477,679 ADSs; Samuel
Bronfman II owns directly 192 ADSs and holds currently exercisable options to
acquire 155,200 ADSs; Edgar Bronfman, Jr. owns directly 792 ADSs, holds
currently exercisable options to acquire 3,442,666 ADSs and, through an
investment in the Joseph E. Seagram & Sons, Inc. 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 19,200
ADSs; 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, through an Individual Retirement Account, 160 ADSs. Except with respect to
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, and the spouse of Charles R. Bronfman owns indirectly 9,600 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
CRBDT, 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 directly owned by such trust. 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 Andell is reported in the Schedule 13D as
being shared with the C.BFT, its 60% shareholder.
Each person identified in the Schedule 13D expressly disclaims any
beneficial interest in the Vivendi Universal Securities, except for those ADSs
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 ADSs or Exchangeable
Shares.
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 71,703,859 Vivendi Universal Securities, which
represent an aggregate of approximately 7.1% of the Ordinary Shares.
23
PAGE 23 OF 29
-------- --------
Percentages set forth on such cover pages and in this Item 5 were
calculated based on 1,106,178,468 outstanding Ordinary Shares as of May 29,
2001, as disclosed in the Vivendi Universal press release attached as Exhibit 2
hereto, less 98,985,496 Ordinary Shares, which represents the number of Ordinary
Shares that Vivendi Universal has advised the Reporting Persons are held in
treasury by Vivendi Universal, including the Ordinary Shares corresponding to
the ADSs acquired by Vivendi Universal in the transaction described below under
"Recent Transactions." 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 April 26, 2001, the C.BFT and the CB Family Trust transferred
6,000,000 ADSs and 4,000,000 ADSs, respectively, to Andell in exchange for 60%
and 40%, respectively, of the share capital of Andell and a 448,137,000 euro 2%
Demand Promissory Note and a 298,758,000 euro 2% Demand Promissory Note,
respectively. After giving effect to such transaction, the CB Family Trust no
longer directly owned any Vivendi Universal Securities.
On May 9, 2001, The Claridge Foundation sold an aggregate of 10,500
ADSs in open market sales effected through brokerage transactions by Bear,
Stearns & Co. Inc. ("Bear Stearns") on the New York Stock Exchange at a price
per ADS (excluding brokerage commissions) of $67.50 for 10,000 of such ADSs and
of $67.60 for 500 of such ADSs.
On May 10, 2001, The Claridge Foundation sold an aggregate of 26,600
ADSs in open market sales effected through brokerage transactions by Bear
Stearns on the New York Stock Exchange at a blended price per ADS (excluding
brokerage commissions) of $67.71.
On May 11, 2001, Bronfman Associates transferred an aggregate of
997,260 ADSs to the EMBT, which then transferred 199,452 ADSs to each of Adam R.
Bronfman, Samuel Bronfman II, Sara R. Bronfman, Clare W. Bronfman and Holly B.
Lev. Each of Adam R. Bronfman, Samuel Bronfman II, Sara R. Bronfman, Clare W.
Bronfman and Holly B. Lev then transferred the 199,452 ADSs received from the
EMBT to The Adam R. Bronfman 2001 Charitable Remainder Unitrust, The Samuel
Bronfman II 2001 Charitable Remainder Unitrust, The Sara R. Bronfman 2001
Charitable Remainder Unitrust, The Clare W. Bronfman 2001 Charitable Remainder
Unitrust and The Holly B. Lev 2001 Charitable Remainder Unitrust (collectively,
the "CRUTs"), respectively, on May 11, 2001, except that Clare W. Bronfman
transferred such ADSs to The Clare W. Bronfman 2001 Charitable Remainder
Unitrust on May 14, 2001.
On May 25, 2001, Edgar M. Bronfman transferred 91,880 ADSs owned
directly by him to The Senior 2001 Revocable Trust Agreement (the "Senior 2001
Trust"), and Bronfman Associates transferred 131,000 ADSs to the EMBT, which
then transferred such ADSs to Edgar M. Bronfman, who then transferred such ADSs
to the Senior 2001 Trust. Also on May 25, 2001, Bronfman Associates transferred
15,230 ADSs to the EMBT, which then transferred such ADSs to Adam R. Bronfman.
On May 29, 2001, Vivendi Universal acquired an aggregate of 16,900,000
ADSs from the entities listed below (each, a "Selling Party"). The purchase
price for all such acquisitions was 74.9228 euros per ADS, except that Vivendi
Universal paid 76.9414 euros per ADS in the transaction involving The Claridge
Foundation.
24
PAGE 24 OF 29
-------- --------
Number of
Selling Party ADSs Sold
-------------------------------------------------------------------------------
Bronfman Associates 14,179,860
The Adam R. Bronfman 2001 Charitable Remainder Unitrust 199,452
The Samuel Bronfman II 2001 Charitable Remainder Unitrust 199,452
The Sara R. Bronfman 2001 Charitable Remainder Unitrust 199,452
The Clare W. Bronfman 2001 Charitable Remainder Unitrust 199,452
The Holly B. Lev 2001 Charitable Remainder Unitrust 199,452
The Senior 2001 Revocable Trust Agreement 222,880
The Claridge Foundation 1,500,000
After giving effect to the sales to Vivendi Universal, none of the CRUTs or the
Senior 2001 Trust owned any Vivendi Universal Securities. The sales are
described in the Vivendi Universal press release attached hereto as Exhibit 2.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER.
Item 6 is hereby supplemented as follows:
In connection with the sale of ADSs to Vivendi Universal on May 29,
2001 reported in the last paragraph of Item 5, each Selling Party (other than
The Claridge Foundation) agreed with Vivendi Universal that, from May 29, 2001
until December 31, 2001, it shall not sell or otherwise transfer any ADSs held
by such Selling Party (whether by actual disposition or effective economic
disposition due to cash settlement or otherwise), subject to certain specified
exceptions.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
EXHIBITS:
1. Joint Filing Agreement among each of the Reporting Persons.
2. Press Release dated May 29, 2001.
3. Purchase Agreement dated May 29, 2001 among Vivendi Universal and the
Selling Parties.
4. Powers of Attorney.
25
PAGE 25 OF 29
-------- --------
SIGNATURES
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: May 30, 2001
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/ Matthew Bronfman
------------------------------
Matthew Bronfman
Attorney-in-Fact (Pursuant to a Power of
Attorney previously filed with the Securities
and Exchange Commission)
THE HON. CHARLES R. BRONFMAN, individually, as a
manager of a certain general partner of CRB
Associates, Limited Partnership 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 and as trustee of
a certain charitable foundation
By: /s/ Matthew Bronfman
------------------------------
Matthew Bronfman
Attorney-in-Fact (Pursuant to a Power of
Attorney previously filed with the Securities
and Exchange Commission)
26
PAGE 26 OF 29
-------- --------
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/ Matthew Bronfman
------------------------------
Matthew Bronfman
Attorney-in-Fact (Pursuant to a Power of
Attorney previously filed with the Securities
and Exchange Commission)
MATTHEW BRONFMAN, individually and
as trustee under a certain trust for
the benefit of descendants of the
late Samuel Bronfman
/s/ Matthew Bronfman
---------------------------
MATTHEW BRONFMAN
STEPHEN R. BRONFMAN, as trustee under a certain
trust for the benefit of descendants of the late
Samuel Bronfman and as director 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)
ELLEN J. BRONFMAN HAUPTMAN, 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/ Michel Boucher
------------------------------
Michel Boucher
Attorney-in-Fact (Pursuant to a Power of
Attorney previously filed with the Securities
and Exchange Commission)
27
PAGE 27 OF 29
-------- --------
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)
ARNOLD M. LUDWICK, as trustee under a certain trust
for the benefit of descendants of the late Samuel
Bronfman and as a director 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)
28
PAGE 28 OF 29
-------- --------
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)
STEVEN H. LEVIN, 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)
GUY P. LANDER, as a manager of a certain general
partner of CRB Associates, Limited Partnership 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
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)
29
PAGE 29 OF 29
-------- --------
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, as a manager of a
certain general partner of CRB Associates, Limited
Partnership and as a 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)
ANDELL INVESTMENTS (LUXEMBOURG) S.A.R.L.
By: /s/ Michel Boucher
------------------------------
Michel Boucher
Attorney-in-Fact