SC 13D/A
|
|
|
|
OMB APPROVAL |
|
|
OMB Number: 3235-0145
|
|
|
Expires: February 28, 2009 |
|
|
Estimated average burden
hours per response ... 14.5 |
|
|
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 2)
Macquarie Infrastructure Company LLC
(Name of Issuer)
Limited Liability Company Interests
(Title of Class of Securities)
55608B105
(Cusip Number)
Heidi Mortensen
Macquarie Infrastructure Management (USA) Inc.
125 West 55th Street
New York, NY 10019
Telephone: (212) 231-1000
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
Copy to:
Antonia E. Stolper
Shearman & Sterling LLP
599 Lexington Avenue
New York, New York 10022
Telephone: (212) 848-4000
December 1, 2007
(Date of Event Which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition
that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e),
240.13d-l(f) or 240.13d-l(g), check the following box. o
The information required in the remainder of this cover page shall not be deemed to be filed for
the purpose of Section 18 of the Securities Exchange Act of 1934 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).
|
|
|
|
|
|
1 |
|
Name of Reporting Person:
Macquarie Infrastructure Management (USA) Inc.
I.R.S. Identification Nos. of above persons (entities only): |
|
|
|
|
|
|
2 |
|
Check the Appropriate Box if a Member of a Group (See Instructions):
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC Use Only: |
|
|
|
|
|
|
|
4 |
|
Source of Funds (See Instructions): |
|
|
|
OO |
|
|
|
5 |
|
Check if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e): |
|
|
|
o |
|
|
|
6 |
|
Citizenship or Place of Organization: |
|
|
|
Delaware
|
|
|
|
|
|
7 |
|
Sole Voting Power: |
|
|
|
Number of |
|
3,173,123 |
|
|
|
|
Shares |
8 |
|
Shared Voting Power: |
Beneficially |
|
|
Owned by |
|
0 |
|
|
|
|
Each |
9 |
|
Sole Dispositive Power: |
Reporting |
|
|
Person |
|
0 |
|
|
|
|
With |
10 |
|
Shared Dispositive Power: |
|
|
|
|
|
3,173,123 |
|
|
|
11 |
|
Aggregate Amount Beneficially Owned by Each Reporting Person: |
|
|
|
3,173,123 |
|
|
|
12 |
|
Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions): |
|
|
|
þ
|
|
|
|
13 |
|
Percent of Class Represented by Amount in Row (11): |
|
|
|
7.1% |
|
|
|
14 |
|
Type of Reporting Person (See Instructions): |
|
|
|
CO |
ii
|
|
|
|
|
|
1 |
|
Name of Reporting Person:
Macquarie Group Limited
I.R.S. Identification Nos. of above persons (entities only): |
|
|
|
|
|
|
2 |
|
Check the Appropriate Box if a Member of a Group (See Instructions):
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC Use Only: |
|
|
|
|
|
|
|
4 |
|
Source of Funds (See Instructions): |
|
|
|
AF |
|
|
|
5 |
|
Check if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e): |
|
|
|
o |
|
|
|
6 |
|
Citizenship or Place of Organization: |
|
|
|
Australia
|
|
|
|
|
|
7 |
|
Sole Voting Power: |
|
|
|
Number of |
|
0 |
|
|
|
|
Shares |
8 |
|
Shared Voting Power: |
Beneficially |
|
|
Owned by |
|
0 |
|
|
|
|
Each |
9 |
|
Sole Dispositive Power: |
Reporting |
|
|
Person |
|
0 |
|
|
|
|
With |
10 |
|
Shared Dispositive Power: |
|
|
|
|
|
3,192,247 |
|
|
|
11 |
|
Aggregate Amount Beneficially Owned by Each Reporting Person: |
|
|
|
3,192,247 |
|
|
|
12 |
|
Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions): |
|
|
|
o
|
|
|
|
13 |
|
Percent of Class Represented by Amount in Row (11): |
|
|
|
7.1% |
|
|
|
14 |
|
Type of Reporting Person (See Instructions): |
|
|
|
CO |
iii
|
|
|
|
|
|
1 |
|
Name of Reporting Person:
Macquarie Group Services Australia Pty Limited
I.R.S. Identification Nos. of above persons (entities only): |
|
|
|
|
|
|
2 |
|
Check the Appropriate Box if a Member of a Group (See Instructions):
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC Use Only: |
|
|
|
|
|
|
|
4 |
|
Source of Funds (See Instructions): |
|
|
|
WC |
|
|
|
5 |
|
Check if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e): |
|
|
|
o |
|
|
|
6 |
|
Citizenship or Place of Organization: |
|
|
|
Australia
|
|
|
|
|
|
7 |
|
Sole Voting Power: |
|
|
|
Number of |
|
19,124 |
|
|
|
|
Shares |
8 |
|
Shared Voting Power: |
Beneficially |
|
|
Owned by |
|
0 |
|
|
|
|
Each |
9 |
|
Sole Dispositive Power: |
Reporting |
|
|
Person |
|
0 |
|
|
|
|
With |
10 |
|
Shared Dispositive Power: |
|
|
|
|
|
19,124 |
|
|
|
11 |
|
Aggregate Amount Beneficially Owned by Each Reporting Person: |
|
|
|
19,124 |
|
|
|
12 |
|
Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions): |
|
|
|
o
|
|
|
|
13 |
|
Percent of Class Represented by Amount in Row (11): |
|
|
|
0.04% |
|
|
|
14 |
|
Type of Reporting Person (See Instructions): |
|
|
|
CO |
iv
TABLE OF CONTENTS
|
|
|
|
|
|
|
Page |
|
Item 1. Security and Issuer |
|
|
1 |
|
|
|
|
|
|
Item 2. Identity and Background |
|
|
1 |
|
|
|
|
|
|
Item 3. Source and Amount of Funds or Other Consideration |
|
|
2 |
|
|
|
|
|
|
Item 4. Purpose of Transaction |
|
|
2 |
|
|
|
|
|
|
Item 5. Interest in Securities of the Issuer |
|
|
3 |
|
|
|
|
|
|
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities
of the Issuer |
|
|
3 |
|
|
|
|
|
|
Item 7. Material to Be Filed as Exhibits |
|
|
3 |
|
|
|
|
|
|
Signatures |
|
|
|
|
|
|
|
|
|
SCHEDULE I |
|
|
|
|
SCHEDULE II |
|
|
|
|
SCHEDULE III |
|
|
|
|
EXHIBIT A |
|
|
|
|
v
This Amendment No. 1 amends the Report on Schedule 13D filed by Macquarie Infrastructure Management
(USA) Inc., a corporation organized under the laws of Delaware (MIMUSA) on July 5, 2007
and the Report on Schedule 13D filed by Macquarie Bank Limited, a company formed under the laws of
Australia (MBL) on August 17, 2007, as amended by the Schedule 13D/A filed by MIMUSA and
MBL on October 12, 2007 (together, the Schedule 13D). Unless indicated otherwise, all items left
blank remain unchanged and any items which are reported are deemed to amend and supplement the
existing items in the Schedule 13D.
Item 1. Security and Issuer
Item 2. Identity and Background
The response set forth in Item 2 of the Schedule 13D is hereby amended and restated in its
entirety.
This statement on Schedule 13D is being filed by MIMUSA, Macquarie Group Limited (MGL), a
company formed under the laws of Australia, and Macquarie Group Services Australia Pty Limited
(MGSA), a company formed under the laws of Australia.
MIMUSA has its principal offices at 125 West 55th Street, New York, New York, 10019.
MGL and MGSA have their principal offices at No. 1 Martin Place, Sydney, New South Wales 2000,
Australia.
MGSA is a direct wholly owned subsidiary of MGL. MIMUSA is an indirect wholly owned subsidiary of
MGL. MIMUSA is 100% directly owned by Macquarie Capital Funds Inc. (MCFI), a Delaware
corporation, which is 100% directly owned by Macquarie Holdings (U.S.A.) Inc. (MHUSA), a
Delaware corporation. MHUSA is a direct wholly owned subsidiary of Macquarie Equities (US) Holdings
Pty Limited, a company formed under the laws of Australia (MEQH). MEQH is a direct wholly
owned subsidiary of Macquarie Group (US) Holdings No.1 Pty Ltd, a company formed under the laws of
Australia (MGUSH1). MGUSH1 is a direct wholly owned subsidiary of Macquarie Capital
International Holdings Pty Ltd (f/k/a Macquarie Group International Holdings Pty Ltd)
(MCIHL), a company formed under the laws of Australia, which is in turn a wholly owned
direct subsidiary of Macquarie Capital Group Pty Ltd, a company formed under the laws of Australia
(MCGL). MCGL is a direct wholly owned subsidiary of Macquarie Financial Holdings
Limited, a company formed under the laws of Australia (MFHL). MFHL is a direct wholly
owned subsidiary of MGL, the ultimate controlling entity of MIMUSA.
MEQH, MGUSH1, MCIHL, MCGL and MFHL have their principal offices at No. 1 Martin Place, Sydney, New
South Wales 2000, Australia. MCFI and MHUSA have their principal offices at 125 West
55th Street, New York, New York, 10019, United States.
The directors and executive officers of MIMUSA, MGSA and MGL are set forth on Schedules I, II and
III attached hereto, respectively. Schedules I, II and III set forth the following information with
respect to each such person:
1
(i) name;
(ii) business address (or residence address where indicated);
(iii) present principal occupation or employment and the name, principal business and
address of any corporation or other organization in which such employment is conducted; and
(iv) citizenship.
During the last five years, none of MIMUSA, MGSA, MGL, MEQH, MGUSH1, MGIHL, MHUSA or MCFI, nor any
person named in Schedules I, II and III, 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 was or is subject
to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating
activities subject to, federal or state securities laws or finding any violation with respect to
such laws.
Item 3. Source and Amount of Funds or Other Consideration
The response set forth in Item 3 of the Schedule 13D is hereby amended and supplemented by the
following information.
On December, 1 2007 administration of the Director Profit Share (DPS) Plan transferred
from MBL to MGSA. The 19,124 LLC Interests which consist of shares were transferred from MBL to
MGSA as part of this transfer.
Item 4. Purpose of Transaction
The response set forth in Item 4 of the Schedule 13D is hereby amended and supplemented by the
following information.
The Macquarie Group has restructured its businesses into separate banking and non-banking groups to
allow flexibility to continue to develop its growth strategies particularly in international
markets.
As a result of this restructure administration and operation of the DPS Plan has been transferred
from MBL to MGSA. All assets under the DPS Plan were transferred to MGSA including the 19,124 LLC
Interests consisting of shares previously held by MBL to hedge its obligations under the DPS plan.
MIMUSA and MGSA, as subsidiaries of MGL, may each be deemed to beneficially own the LLC Interests
owned by the other. Both MIMUSA and MGSA disclaim such beneficial ownership and the information in
this Schedule 13D shall not be construed as an admission that either, for the purposes of Section
13(d) or 13(g) of the Securities Exchange Act of 1934, as amended, is the beneficial owner of any
of the LLC Interests owned by the other.
2
Except as set forth above and in the Schedule 13D, none of MIMUSA, MGL or MGSA has formulated any
plans or proposals which relate to or would result in: (a) the acquisition by any person of
additional securities of the Issuer or the disposition of securities of the Issuer, (b) an
extraordinary corporate transaction involving the Issuer or any of its subsidiaries, (c) a sale or
transfer of a material amount of the assets of the Issuer or any of its subsidiaries, (d) any
change in the present board of directors or management of the Issuer, (e) any material change in
the Issuers capitalization or dividend policy, (f) any other material change in the Issuers
business or corporate structure, (g) any change in the Issuers organizational documents or other
or instrument corresponding thereto or other action which may impede the acquisition of control of
the Issuer by any person, (h) causing a class of securities of the issuer to be delisted from a
national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation
system of a registered national securities association, (i) a class of equity securities of the
Issuer becoming eligible for termination of registration or (j) any action similar to any of those
enumerated above.
Item 5. Interest in Securities of the Issuer
(a)(b) Please refer to the schedules preceding the table of contents of this Schedule 13D for each
of MIMUSA, MGSA and MGL.
(c) Except as disclosed above, none of MIMUSA, MGSA nor MGL has effected any transaction in the LLC
Interests during the past 60 days.
(d) Not applicable.
(e) Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of
the Issuer
Item 7. Material to Be Filed as Exhibits
The response set forth in Item 7 of the Schedule 13D is hereby amended and supplemented by the
following information.
3
Signatures
After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies
that the information set forth in this Statement is true, complete and correct.
|
|
|
|
|
December 18, 2007 |
MACQUARIE INFRASTRUCTURE MANAGEMENT (USA) INC.
|
|
|
By: |
/s/ Peter Stokes
|
|
|
|
Name: |
Peter Stokes |
|
|
|
Title: |
President and Chief Executive Officer |
|
4
After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies
that the information set forth in this Statement is true, complete and correct.
|
|
|
|
|
December 18, 2007 |
MACQUARIE GROUP SERVICES AUSTRALIA PTY LIMITED
|
|
|
By: |
/s/ Michael Panikian
|
|
|
|
Michael Panikian |
|
|
|
Company Secretary |
|
5
After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies
that the information set forth in this Statement is true, complete and correct.
|
|
|
|
|
December 18, 2007 |
MACQUARIE GROUP LIMITED
|
|
|
By: |
/s/ Dennis Leong
|
|
|
|
Dennis Leong |
|
|
|
Company Secretary |
|
6
SCHEDULE I
The name and present principal occupation of each of the executive officers and directors of
Macquarie Infrastructure Management (USA) Inc. are set forth below. Unless otherwise noted, each of
these persons is an Australian citizen and has as his/her business address 125 West 55th
Street, New York, New York, 10019, United States.
|
|
|
|
|
|
|
Position with Reporting |
|
|
Name |
|
Person |
|
Principal Occupation |
Peter Stokes
|
|
Director, President and
Chief Executive Officer
|
|
Chief Executive
Officer of the Issuer |
|
|
|
|
|
Stephen Mentzines
|
|
Director
|
|
Executive Director |
|
|
|
|
|
Alan Stephen Peet
|
|
Director and Vice President
|
|
Division Director |
|
|
|
|
|
Kathleen Hahn
|
|
Treasurer
|
|
Head of Corporate
Affairs Group -
Americas |
|
|
|
|
|
Christine Rivera
(US Citizen)
|
|
Secretary
|
|
Attorney and Company
Secretary |
7
SCHEDULE II
The name and present principal occupation of each of the directors (Board Members) of Macquarie
Group Services Australia Pty Limited are set forth below. Unless otherwise noted, each of these
persons is an Australian citizen and has as his/her business address No. 1 Martin Place, Sydney,
New South Wales 2000, Australia.
|
|
|
|
|
|
|
|
|
Name |
|
Principal Occupation |
|
Country of citizenship (if not Australia) |
Board Members
|
|
W. Richard Sheppard
|
|
Deputy Managing
Director of
Macquarie Group
Limited |
|
|
|
|
|
|
|
|
|
|
|
Gregory C. Ward
|
|
Chief Financial
Officer of
Macquarie Group
Limited |
|
|
|
|
|
|
|
|
|
|
|
Stuart J. Dyson
|
|
Financial
Controller of
Macquarie Group
Limited |
|
|
8
SCHEDULE III
The name and present principal occupation of each of the directors (Board Members) of Macquarie
Group Limited are set forth below. Unless otherwise noted, each of these persons is an Australian
citizen and has as his/her business address No. 1 Martin Place, Sydney, New South Wales 2000,
Australia.
|
|
|
|
|
|
|
|
|
Name |
|
Principal Occupation |
|
Country of citizenship (if not Australia) |
Board Members
|
|
David S. Clarke
|
|
Non-executive Chairman |
|
|
|
|
|
Allan E. Moss
|
|
Managing Director and
Chief Executive
Officer |
|
|
|
|
|
Laurence G. Cox
|
|
Executive Director |
|
|
|
|
|
Peter M. Kirby
|
|
Non-executive Director |
|
|
|
|
|
Catherine B.
Livingstone
|
|
Non-executive Director |
|
|
|
|
|
H. Kevin McCann
|
|
Non-executive Director |
|
|
|
|
|
John R. Niland
|
|
Non-executive Director |
|
|
|
|
|
Helen M. Nugent
|
|
Non-executive Director |
|
|
|
|
|
Peter H. Warne
|
|
Non-executive Director |
|
|
|
|
|
|
|
|
|
Executive Committee
Members
|
|
Allan E. Moss
|
|
Managing Director and
Chief Executive
Officer |
|
|
|
|
|
Andrew J. Downe
|
|
Executive Director |
|
|
|
|
|
Gregory C. Ward
|
|
Chief Financial Officer |
|
|
|
|
|
J. Kimberley Burke
|
|
Executive Director |
|
|
|
|
|
Michael Carapiet
|
|
Executive Director |
|
|
|
|
|
Nicholas W. Moore
|
|
Executive Director |
|
|
|
|
|
Nicholas R. Minogue
|
|
Executive Director |
|
|
|
|
|
Peter J. Maher
|
|
Executive Director |
|
|
|
|
|
W. Richard Sheppard
|
|
Deputy Managing Director |
|
|
9