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. 2)*
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)
JANUARY 4, 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
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CUSIP NO. F9798210 PAGE 2 OF 28
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1 NAME 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 SOURCES 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
--------------------------------------------------------------------------------
NUMBER OF
SHARES 7 SOLE VOTING POWER
BENEFICIALLY
OWNED BY 529,368
EACH ---------------------------------------------------------------
REPORTING 8 SHARED VOTING POWER
PERSON
WITH 32,922,715
--------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
529,368
---------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
32,922,715
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
33,452,083
--------------------------------------------------------------------------------
12 CHECK BOX IF THE 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
--------------------------------------------------------------------------------
SCHEDULE 13D
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CUSIP NO. F9798210 PAGE 3 OF 28
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1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
THE HON. CHARLES R. BRONFMAN, individually, as trustee under a certain
trust for the benefit of descendants of the late Samuel Bronfman 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 SOURCES 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
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY 496,933
OWNED BY --------------------------------------------------------------
EACH 8 SHARED VOTING POWER
REPORTING
PERSON 3,570,015
WITH --------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
496,933
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
3,570,015
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,066,948
--------------------------------------------------------------------------------
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*.
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
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CUSIP NO. F9798210 PAGE 4 OF 28
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1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
PHYLLIS LAMBERT, 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 SOURCES 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
SHARES 0
BENEFICIALLY --------------------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH
REPORTING 2,247,976
PERSON --------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,247,976
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,247,976
--------------------------------------------------------------------------------
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
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CUSIP NO. F9798210 PAGE 5 OF 28
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1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. 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 SOURCES 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
SHARES 163,392
BENEFICIALLY --------------------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH
REPORTING 192,000
PERSON --------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
163,392
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
192,000
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
355,392
--------------------------------------------------------------------------------
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
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CUSIP NO. F9798210 PAGE 6 OF 28
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1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. 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 SOURCES 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
SHARES 3,080,125
BENEFICIALLY --------------------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH
REPORTING 31,733,219
PERSON --------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
3,080,125
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
31,733,751
--------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
34,813,876
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.4%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
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CUSIP NO. F9798210 PAGE 7 OF 28
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1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. 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 SOURCES 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
SHARES 192
BENEFICIALLY --------------------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH
REPORTING 31,541,219
PERSON --------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
192
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
31,541,219
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
31,541,411
--------------------------------------------------------------------------------
12 CHECK BOX IF THE 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
--------------------------------------------------------------------------------
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP NO. F9798210 PAGE 8 OF 28
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1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. 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 SOURCES 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
SHARES 3,942,661
BENEFICIALLY --------------------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH
REPORTING 9,753,745
PERSON --------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
3,942,661
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
9,753,745
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
13,696,406
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.3%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP NO. F9798210 PAGE 9 OF 28
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1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. 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 SOURCES 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
SHARES 709,700
BENEFICIALLY --------------------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH
REPORTING 6,418,869
PERSON --------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
709,700
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
6,418,869
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,128,569
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.7%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
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CUSIP NO. F9798210 PAGE 10 OF 28
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1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. 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 SOURCES 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
SHARES 0
BENEFICIALLY --------------------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH
REPORTING 32,730,431
PERSON --------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
32,730,431
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
32,730,431
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.2%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP NO. F9798210 PAGE 11 OF 28
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1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. 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 SOURCES 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
SHARES 0
BENEFICIALLY --------------------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH
REPORTING 32,730,431
PERSON --------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
32,730,431
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
32,730,431
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.2%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP NO. F9798210 PAGE 12 OF 28
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1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. 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 SOURCES 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
SHARES 800
BENEFICIALLY --------------------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH
REPORTING 32,734,831
PERSON --------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
800
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
32,734,831
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
32,735,631
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.2%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP NO. F9798210 PAGE 13 OF 28
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1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. 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 SOURCES 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
SHARES 0
BENEFICIALLY --------------------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH
REPORTING 7,505,769
PERSON --------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
7,505,769
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,505,769
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.7%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP NO. F9798210 PAGE 14 OF 28
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1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
ROBERT S. VINEBERG, 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 SOURCES 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
SHARES 0
BENEFICIALLY --------------------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH
REPORTING 8,623,038
PERSON --------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
8,623,038
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,623,038
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.8%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
--------------------------------------------------------------------------------
CUSIP NO. F9798210 PAGE 15 OF 28
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1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
E. LEO KOLBER, 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 SOURCES 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
SHARES 0
BENEFICIALLY --------------------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH
REPORTING 2,247,500
PERSON --------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
0
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,247,500
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,247,500
--------------------------------------------------------------------------------
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. F9798210 PAGE 16 OF 28
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
SAMUEL MINZBERG, 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 SOURCES 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
SHARES 750
BENEFICIALLY --------------------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH
REPORTING 2,247,500
PERSON --------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
750
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,247,500
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,248,250
--------------------------------------------------------------------------------
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. F9798210 PAGE 17 OF 28
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
BRUCE I. JUDELSON, 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 SOURCES 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
SHARES 242,368
BENEFICIALLY --------------------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH
REPORTING 0
PERSON --------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
242,368
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
242,368
--------------------------------------------------------------------------------
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 18 of 28
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. 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 10,000,000
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
0
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 10,000,000
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
0
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,000,000
________________________________________________________________________________
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
________________________________________________________________________________
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.0%
________________________________________________________________________________
14 TYPE OF REPORTING PERSON*
CO
________________________________________________________________________________
PAGE 19 OF 28
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
------------------------- -------------------------------- -----------
PHYLLIS LAMBERT Architect Canada
Canadian Centre for Architecture
1920 Baile Street
Montreal, Quebec
Canada H3H 2S2
E. LEO KOLBER Member of the Canadian Senate Canada
1170 Peel Street
8th Floor
Montreal, Quebec
Canada H3B 4P2
SAMUEL MINZBERG President and Chief Executive Officer of Canada
1170 Peel Street Claridge Inc.
8th Floor
Montreal, Quebec
Canada H3B 4P2
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.
PAGE 20 OF 28
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 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 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 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 (in the case of the CRBDT)
or indirectly (in the case of the CRBFT) 6,373,038 Exchangeable Shares and
242,208 ADSs, or approximately 0.6% and less than 0.1% of the Ordinary Shares,
respectively. The CRBFT is the sole voting shareholder of Esarbee Investments
Limited, a corporation existing under the laws of Canada, which owns directly
6,373,038 Exchangeable Shares. 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.
The Stephen Rosner Bronfman Substitute Trust (the "SRBST"), a
trust for the benefit of Stephen R. Bronfman and his descendants, is the sole
shareholder of Stepworth Holdings Inc., a corporation existing under the laws of
Canada, which owns directly 2,247,500 Exchangeable Shares, or approximately 0.2%
of the Ordinary Shares. Charles R. Bronfman, Phyllis Lambert, Stephen R.
Bronfman, E. Leo Kolber, Robert S. Vineberg and Samuel Minzberg are the trustees
of the SRBST. Claridge SRB Investments Inc., a corporation existing under the
laws of Canada ("SRB Investments"), owns directly 2,668,161 ADSs and 1,274,500
Ordinary Shares, or an aggregate of approximately 0.4% of the Ordinary Shares.
Stephen R. Bronfman is the sole shareholder of SRB Investments.
CRB Associates, Limited Partnership, a Connecticut limited
partnership ("CRB Associates"), owns directly 2,500 Exchangeable 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.
PAGE 21 OF 28
Bronfman holds a 1.8% limited partnership interest in CRB Associates.
Andell Investments (Luxembourg) S.a.r.l., a corporation
organized under the laws of Luxembourg ("Andell"), owns directly 10,000,000
ADSs, or approximately 1.0% of the Ordinary Shares. Each of the C. Bronfman
Family Trust (the "C.BFT") and the CB Family Trust ("CB FT") holds 40% of the
capital stock of Andell, and The Charles Bronfman Trust (the "CBT") holds 20% of
the capital stock of Andell. The C.BFT, CB FT and the CBT are trusts for the
benefit of Charles R. Bronfman and his descendants.
Edgar M. Bronfman, Charles R. Bronfman and Phyllis Lambert 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 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 Phyllis Lambert and 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, Phyllis Lambert 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 528,480 ADSs; Charles R. Bronfman owns directly
800 ADSs and holds currently exercisable options to acquire 496,133 ADSs; Samuel
Bronfman II owns directly 192 ADSs and holds currently exercisable options to
acquire 163,200 ADSs; Edgar Bronfman, Jr. owns directly 792 ADSs, holds
currently exercisable options to acquire 3,079,333 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
690,500 Ordinary Shares and 19,200 ADSs; John S. Weinberg owns directly 800
ADSs; and Samuel Minzberg owns directly 750 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
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, and the spouse of Charles R. Bronfman owns indirectly 9,600
ADSs.
PAGE 22 OF 28
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 (both directly and, in the case of the
CRBFT and the SRBST, indirectly as a sole shareholder of certain corporations
mentioned above) 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
held by Andell. 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 SRB Investments is reported in the Schedule 13D as being held by Stephen R.
Bronfman, its sole shareholder.
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 61,847,397 Vivendi Universal
Securities, which represent an aggregate of approximately 6.0% of the Ordinary
Shares.
Percentages set forth on such cover pages and in this Item 5
were calculated based on 1,085,297,393 outstanding Ordinary Shares, which
Vivendi Universal has advised the Reporting Persons represent the number of
outstanding Ordinary Shares as of January 7, 2002, less 52,536,672 Ordinary
Shares, which Vivendi Universal has advised the Reporting Persons represent
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 November 15, 2001, the C.BFT and Columbus Capital
Corporation ("Columbus") each sold 200,000 Ordinary Shares in market sales on
the Paris Bourse at a price per Ordinary Share of 60.1105 Euros.
On November 19, 2001, the C.BFT sold an aggregate of 950,000
Ordinary Shares in market sales on the Paris Bourse at a price per Ordinary
Share of 60.2252 Euros.
On November 20, 2001, the C.BFT sold an aggregate of 116,000
Ordinary Shares in market sales on the Paris Bourse at a price per Ordinary
Share of 60.0819 Euros.
PAGE 23 OF 28
On November 22, 2001, the C.BFT sold an aggregate of 310,000
Ordinary Shares in market sales on the Paris Bourse at a price per Ordinary
Share of 59.0482 Euros.
On November 23, 2001, the C.BFT sold an aggregate of 5,000
Ordinary Shares in market sales on the Paris Bourse at a price per Ordinary
Share of 59.3500 Euros.
In addition, on November 22, 2001, Columbus transferred
690,500 Ordinary Shares to Ellen J. Bronfman Hauptman in exchange for a
$39,983,490 Demand Promissory Note bearing interest at the U.S. prime rate less
2.75%. On November 30, 2001, Columbus transferred 2,668,161 ADSs and 1,274,500
Ordinary Shares to SRB Investments in exchange for an interest free
Cdn$313,881,827 Demand Promissory Note. After giving effect to such
transactions, Columbus no longer directly holds any Vivendi Universal
Securities.
On January 3, 2002, Claridge Properties Ltd. transferred
2,247,500 Exchangeable Shares to Stepworth Holdings Inc., a company owned by the
SRBST, in exchange for a Cdn$207,612,543 Demand Note bearing interest at 2% per
annum, and 2,500 Exchangeable Shares to CRB Associates in exchange for a
$144,625 Demand Note bearing interest at 2% per annum.
On January 4, 2002, Edgar Bronfman, Jr. exercised employee
stock options for 570,000 ADSs and sold the 570,000 ADSs at an average price of
$56.86 per ADS in market sales.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
EXHIBITS:
1. Joint Filing Agreement among each of the Reporting Persons.
2. Power of Attorney.
PAGE 24 OF 28
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: January 8, 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,
as trustee under a certain trust for the
benefit of descendants of the late Samuel
Bronfman 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)
PHYLLIS LAMBERT, 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
PAGE 25 OF 28
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)
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 and as
trustee under a certain trust for the
benefit of descendants of the late Samuel
Bronfman
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
------------------------------
Michel Boucher
Attorney-in-Fact (Pursuant to a Power
of Attorney previously filed with the
Securities and Exchange Commission)
PAGE 26 OF 28
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)
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 27 OF 28
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)
ROBERT S. VINEBERG, 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)
E. LEO KOLBER, as trustee under certain
trusts for the benefit of descendants of the
late Samuel Bronfman
By: /s/ Michel Boucher
------------------------------
Michel Boucher
Attorney-in-Fact
SAMUEL MINZBERG, 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
PAGE 28 OF 28
BRUCE I. JUDELSON, 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)
ANDELL INVESTMENTS (LUXEMBOURG) S.A.R.L.
By: /s/ Michel Boucher
------------------------------
Michel Boucher
Attorney-in-Fact