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* 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 the disclosures provided in a prior cover page.
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 ("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). Item 10.
Page 1 of 20 pages
Issuer: Portal Player, Inc. CUSIP No.: 736187204
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
J.P. Morgan Partners (BHCA), L.P.
13-3371826
Delaware
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Number of 5. Sole Voting Power 2,560,225 shares of Common Stock
Shares Beneficially
Owned by Each -------------------------------------------------------
Reporting Person 6. Shared Voting Power
With: -------------------------------------------------------
7. Sole Dispositive Power 2,560,225 shares of Common
Stock
-------------------------------------------------------
8.Shared Dispositive Power
--------------------------------------------------------------------------------
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10. Check box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |_|
11. Percent of Class Represented by Amount in Row (9) 11.1%
12. Type of Reporting Person (See Instructions)
PN
Page 2 of 20 pages
Issuer: Portal Player, Inc. CUSIP No.: 736187204
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
J.P. Morgan Partners Global Investors, L.P.
13-4197054
Delaware
--------------------------------------------------------------------------------
Number of 5. Sole Voting Power 229,704 shares of Common Stock
Shares Beneficially
Owned by Each -------------------------------------------------------
Reporting Person 6. Shared Voting Power
With: -------------------------------------------------------
7. Sole Dispositive Power 229,704 shares of Common
Stock
-------------------------------------------------------
8.Shared Dispositive Power
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10. Check box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |_|
11. Percent of Class Represented by Amount in Row (9) 1.0%
12. Type of Reporting Person (See Instructions)
PN
Page 3 of 20 pages
Issuer: Portal Player, Inc. CUSIP No.: 736187204
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
J.P. Morgan Partners Global Investors A, L.P.
26-0032493
Delaware
--------------------------------------------------------------------------------
Number of 5. Sole Voting Power 31,313 shares of Common
Shares Beneficially Stock
Owned by Each -------------------------------------------------------
Reporting Person 6. Shared Voting Power
With: -------------------------------------------------------
7. Sole Dispositive Power 31,313 shares of Common
Stock
-------------------------------------------------------
8. Shared Dispositive Power
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10. Check box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
11. Percent of Class Represented by Amount in Row (9) .1%
12. Type of Reporting Person (See Instructions)
PN
Page 4 of 20 pages
Issuer: Portal Player, Inc. CUSIP No.: 736187204
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
J.P. Morgan Partners Global Investors (Cayman), L.P.
13-4197057
4. Citizenship or Place of Organization Cayman Islands
--------------------------------------------------------------------------------
Number of 5. Sole Voting Power 116,587 shares of Common Stock
Shares Beneficially
Owned by Each -------------------------------------------------------
Reporting Person 6. Shared Voting Power
With: -------------------------------------------------------
7. Sole Dispositive Power 116,587 shares of Common
Stock
-------------------------------------------------------
8. Shared Dispositive Power
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10. Check box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |_|
11. Percent of Class Represented by Amount in Row (9) .5%
12. Type of Reporting Person (See Instructions)
PN
Page 5 of 20 pages
Issuer: Portal Player, Inc. CUSIP No.: 736187204
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
J.P. Morgan Partners Global Investors (Cayman) II, L.P.
26-0005546
4. Citizenship or Place of Organization Cayman Islands
--------------------------------------------------------------------------------
Number of 5. Sole Voting Power 12,992 shares of Common Stock
Shares Beneficially -------------------------------------------------------
Owned by Each 6. Shared Voting Power
Reporting Person -------------------------------------------------------
With: 7. Sole Dispositive Power 12,992 shares of Common Stock
-------------------------------------------------------
8. Shared Dispositive Power
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10. Check box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |_|
11. Percent of Class Represented by Amount in Row (9) .1%
12. Type of Reporting Person (See Instructions)
PN
Page 6 of 20 pages
Issuer: Portal Player, Inc. CUSIP No.: 736187204
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
J.P. Morgan Partners Global Investors (Selldown), L.P.
56-2489868
Organization Delaware
--------------------------------------------------------------------------------
Number of 5. Sole Voting Power 86,322 shares of Common Stock
Shares Beneficially -------------------------------------------------------
Owned by Each 6. Shared Voting Power
Reporting Person -------------------------------------------------------
With: 7. Sole Dispositive Power 86,322 shares of Common Stock
-------------------------------------------------------
8. Shared Dispositive Power
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10. Check box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |_|
11. Percent of Class Represented by Amount in Row (9) .4%
12. Type of Reporting Person (See Instructions)
PN
Page 7 of 20 pages
Issuer: Portal Player, Inc. CUSIP No.: 736187204
Item 1.
(a) Name of Issuer:
(b) Address of Issuer's Principal Executive Offices:
3255 Scott Boulevard, Bld. 1 Santa Clara, CA 05054
Item 2.
(a) Name of Person Filing:
J.P. Morgan Partners (BHCA), L.P. ("JPMP (BHCA)")
J.P. Morgan Partners Global Investors, L.P. ("JPMP Global")
J.P. Morgan Partners Global Investors A, L.P. ("JPMP Global
A")
J.P. Morgan Partners Global Investors (Cayman), L.P. ("JPMP
Cayman")
J.P. Morgan Partners Global Investors (Cayman) II, L.P. ("JPMP
Cayman II")
J.P. Morgan Partners Global Investors (Selldown), L.P. ("JPMP
Selldown")
Supplemental information relating to the ownership and control of the person filing this statement is included in Exhibit 2(a) attached hereto.
See also supplemental information relating to principal business office is included in Exhibit 2(a) attached hereto.
(b) Citizenship:
Each Reporting Person is a Delaware limited partnership, other than JPMP Cayman and JPMP Cayman II which are Cayman Islands partnerships.
(c) Title of Class of Securities (of Issuer):
(d) CUSIP Number:
736187204
Item 3. If this statement is filed pursuant to ss.ss. 240. 13d-1(b) or 240.
13d-2(b) or (c), check whether the person filing is a:
Not applicable.
Item 4. Ownership
Issuer: Portal Player, Inc. CUSIP No.: 736187204
Item 5.
(a) Amount Beneficially Owned:
JPMP (BHCA): 2,560,225
JPMP Global: 229,704
JPMP Global A: 31,313
JPMP Cayman: 116,587
JPMP Cayman IV: 12,992
JPMP Selldown: 86,332
(b) Percent of Class:
JPMP (BHCA): 11.1% (as of December 31, 2004)
JPMP Global: 1.0% (as of December 31, 2004)
JPMP Global A: .1% (as of December 31, 2004)
JPMP Cayman: .5% (as of December 31, 2004)
JPMP Cayman II .1% (as of December 31, 2004)
JPMP Selldown .4% (as of December 31, 2004)
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(c) Number of shares as to which such person has:
(i) JPMP (BHCA): 2,560,225
JPMP Global: 229,704
JPMP Global A: 31,313
JPMP Cayman: 116,587
JPMP Cayman IV: 12,992
JPMP Selldown: 86,332
(ii) Not applicable
(iii) JPMP (BHCA): 2,560,225
JPMP Global: 229,704
JPMP Global A: 31,313
JPMP Cayman: 116,587
JPMP Cayman IV: 12,992
JPMP Selldown: 86,332
(iv) Not applicable
Item 6. Ownership of Five Percent or Less of a Class
Not applicable
Item 7. Ownership of More than Five Percent on Behalf of Another Person
Not applicable.
Item 8. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company
Not applicable.
Item 9. Identification and Classification of Members of the Group
Issuer: Portal Player, Inc. CUSIP No.: 736187204
Not applicable.
Item 10. Notice of Dissolution of Group
Not applicable.
Item 11. Certification
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Not applicable
Page 10 of 20 pages
Issuer: Portal Player, Inc. CUSIP No.: 736187204
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: February 14, 2005
/s/ Jeffrey C. Walker
By: ---------------------
Name: Jeffrey C. Walker
Title: President
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/s/ Jeffrey C. Walker
By: ---------------------
Name: Jeffrey C. Walker
Title: President
|
Issuer: Portal Player, Inc. CUSIP No.: 736187204
J.P. MORGAN PARTNERS GLOBAL
INVESTORS (CAYMAN), L.P.
By: JPMP Global Investors, L.P.,
its General Partner
By: JPMP Capital Corp.,
its General Partner
/s/ Jeffrey C. Walker
By: ---------------------
Name: Jeffrey C. Walker
Title: President
J.P. MORGAN PARTNERS GLOBAL
INVESTORS (CAYMAN) II, L.P.
By: JPMP Global Investors, L.P.,
its General Partner
By: JPMP Capital Corp.,
its General Partner
/s/ Jeffrey C. Walker
By: ---------------------
Name: Jeffrey C. Walker
Title: President
J.P. MORGAN PARTNERS GLOBAL
INVESTORS (SELLDOWN), L.P.
By: JPMP Global Investors, L.P.,
its General Partner
By: JPMP Capital Corp.,
its General Partner
/s/ Jeffrey C. Walker
By: ---------------------
Name: Jeffrey C. Walker
Title: President
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Page 12 of 20 pages
Issuer: Portal Player, Inc. CUSIP No.: 736187204
Item 2. Identity and Background.
This statement is being filed by J.P. Morgan Partners (BHCA), L.P., a Delaware limited partnership (hereinafter referred to as "JPMP (BHCA)"), whose principal business office is located at 1221 Avenue of the Americas, New York, New York 10020. JPMP (BHCA) is engaged in the venture capital, private equity and leveraged buyout business. The general partner of JPMP (BHCA) is JPMP Master Fund Manager, L.P., a Delaware limited partnership (hereinafter referred to as "JPMP Master Fund"), whose principal business office is located at the same address as JPMP (BHCA), and is also engaged directly and indirectly (through affiliates) in the venture capital, private equity and leveraged buyout business. As general partner of JPMP (BHCA), JPMP Master Fund may be deemed to be the beneficial owner of the shares held by JPMP (BHCA).
This statement is also being filed by J.P. Morgan Partners Global Investors, L.P., a Delaware limited partnership ("JPMP Global"), whose principal place of business is located at the same address as JPMP (BHCA); J.P. Morgan Partners Global Investors A, L.P., a Delaware limited partnership ("JPMP Global A"), whose principal place of business is located at the same address as JPMP (BHCA); J.P. Morgan Partners Global Investors (Cayman), L.P., a limited partnership organized under the laws of the Cayman Islands ("JPMP Cayman"), whose principal place of business is located at the same address as JPMP (BHCA) and J.P. Morgan Partners Global Investors (Selldown), L.P., and collectively with JPMP Global, JPMP Global A, JPMP Cayman, JPMP Selldown the "Global Fund Entities"), whose principal place of business is located at the same address as JPMP (BHCA). Each of the Global Fund Entities is also engaged in the venture capital, private equity and leveraged buyout business. The general partner of each of the Global Fund Entities is J.P. Morgan Partners Global Investors, L.P., a Delaware limited partnership ("JPMP Investors"), whose principal place of business is located at the same address as JPMP (BHCA). JPMP Investors is engaged indirectly in the venture capital, private equity and leveraged buyout business as general partner of each of the Global Fund Entities. As general partner of each of the Global Fund Entities, JPMP Investors may be deemed to be the beneficial owner of the shares held by the Global Fund Entities.
The general partner of each of JPMP Master Fund and JPMP Investors, is JPMP Capital Corp., a New York corporation (hereinafter referred to as "JPMP Capital Corp."), whose principal business office is located at the same address as JPMP (BHCA), and is also engaged directly and indirectly (through affiliates) in the venture capital, private equity and leveraged buyout business. Set forth in Schedule A hereto and incorporated herein by reference are the names, business addresses, principal occupations and employments of each executive officer and director of JPMP Capital Corp. As general partner of each JPMP Master Fund and JPMP Investors, JPMP Capital Corp. may be deemed to be the beneficial owner of the shares held by JPMP (BHCA) and the Global Fund Entities.
JPMP Capital Corp. is a wholly owned subsidiary of JPMorgan Chase & Co., a Delaware corporation (hereinafter referred to as "JPMorgan Chase") which is engaged (primarily through subsidiaries) in the commercial banking business with its principal office located at 270 Park Avenue, New York, New York 10017. Set forth in Schedule B hereto and incorporated herein by reference are the names, business addresses, principal occupations and employments of each executive officer and director of JPMorgan Chase.
Page 13 of 20 pages
The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint acquisition statements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning him or it contained therein, but shall not be responsible for the completeness and accuracy of the information concerning the other, except to the extent that he or it knows or has reason to believe that such information is accurate.
Dated this 14 day of February, 2005.
/s/ Jeffrey C. Walker
By: ---------------------
Name: Jeffrey C. Walker
Title: President
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Issuer: Portal Player, Inc. CUSIP No.: 736187204
J.P, MORGAN PARTNERS GLOBAL
INVESTORS A, L.P.
By: JPMP Global Investors, L.P.,
its General Partner
By: JPMP Capital Corp.,
its General Partner
/s/ Jeffrey C. Walker
By: ---------------------
Name: Jeffrey C. Walker
Title: President
J.P. MORGAN PARTNERS GLOBAL
INVESTORS (CAYMAN), L.P.
By: JPMP Global Investors, L.P.,
its General Partner
By: JPMP Capital Corp.,
its General Partner
By: ---------------------
Name: Jeffrey C. Walker
Title: President
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/s/ Jeffrey C. Walker
By: ---------------------
Name: Jeffrey C. Walker
Title: President
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Page 15 of 20 pages
Issuer: Portal Player, Inc. CUSIP No.: 736187204
J.P. MORGAN PARTNERS GLOBAL
INVESTORS (SELLDOWN), L.P.
By: JPMP Global Investors, L.P.,
its General Partner
By: JPMP Capital Corp.,
its General Partner
By: ---------------------
Name: Jeffrey C. Walker
Title: President
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Page 16 of 20 pages
Issuer: Portal Player, Inc. CUSIP No.: 736187204
SCHEDULE A
JPMP CAPITAL CORP.
Executive Officers(1)
---------------------
Chief Executive Officer William B. Harrison**
President Jeffrey C. Walker*
Chief Investment Officer Arnold L. Chavkin*
Managing Director Srinivas Akkaraju*
Managing Director Christopher Albinson*
Managing Director Dr. Dana Beth Ardi*
Managing Director Richard Aube*
Managing Director Christopher C. Behrens*
Managing Director John Breckenridge*
Managing Director Julie Casella-Esposito*
Managing Director Rodney A. Ferguson*
Managing Director Cornell P. French*
Managing Director Michael R. Hannon*
Managing Director Matthew Lori*
Managing Director Jonathan R. Lynch*
Managing Director Bryan Martin*
Managing Director Sunil Mishra*
Managing Director Stephen P. Murray*
Managing Director Timothy Purcell*
Managing Director John Reardon*
Managing Director Faith Rosenfeld*
Managing Director Shahan D. Soghikian*
Managing Director William Stuck*
Managing Director Patrick J. Sullivan*
Managing Director Timothy J. Walsh*
Managing Director Richard D. Waters, Jr. *
Managing Director Damion E. Wicker, M.D.*
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Page 17 of 20 pages
Issuer: Portal Player, Inc. CUSIP No.: 736187204
Executive Officers(1)
---------------------
Chairman of the Board and Chief Executive Officer William B. Harrison Jr.*
President and Chief Operating Officer James Dimon*
Chief Information Officer Austin A. Adams*
Co-Chairman, Investment Bank Steven D. Black*
Chief Executive Officer, Card Services William I. Campbell*
Chief Financial Officer Michael J. Cavanagh*
Chairman, West Coast Region David A. Coulter*
Director of Human Resources, Head of Real Estate/
Facilities, General Services, Security John J. Farrell*
Co-General Counsel Joan Guggenheimer*
Director of Corporate Marketing and Communications Frederick W. Hill*
Head, Commercial Banking Samuel Todd Maclin*
Head, Strategy and Business Development Jay Mandelbaum*
Co-General Counsel William H. McDavid*
Chief Executive Officer, Treasury & Securities
Services Heidi Miller*
Head, Retail Financial Services Charles W. Scharf*
Executive Vice President, Card Services Richard J. Srednicki*
Head, Asset & Wealth Management James E. Staley*
Chief Risk Officer Don M. Wilson III*
Co-Chairman, Investment Bank William T. Winters*
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Page 18 of 20 pages
Issuer: Portal Player, Inc. CUSIP No.: 736187204
Directors(2)
------------
Name Principal Occupation or Employment;
Business or Residence Address
--------------------------------------------------------------------------------
Hans W. Becherer Retired Chairman of the Board and
Chief Executive Officer
Deere & Company
c/o JPMorgan Chase & Co.
270 Park Avenue
New York, New York 10017
--------------------------------------------------------------------------------
John H. Biggs Former Chairman and CEO
TIAA - CREF
c/o JPMorgan Chase & Co.
270 Park Avenue
New York, New York 10017
--------------------------------------------------------------------------------
Lawrence A. Bossidy Retired Chairman of the Board
Honeywell International Inc.
c/o JPMorgan Chase & Co.
270 Park Avenue
New York, New York 10017
--------------------------------------------------------------------------------
Stephen B. Burke President
Comcast Cable Communications, Inc.
c/o JPMorgan Chase & Co.
270 Park Avenue
New York, New York 10017
--------------------------------------------------------------------------------
James S. Crown President
Henry Crown and Company
c/o JPMorgan Chase & Co.
270 Park Avenue
New York, New York 10017
--------------------------------------------------------------------------------
James Dimon President and Chief Operating Officer
JPMorgan Chase & Co.
270 Park Avenue, 8th Floor
New York, New York 10017-2070
--------------------------------------------------------------------------------
Ellen V. Futter President and Trustee
American Museum of Natural History
c/o JPMorgan Chase & Co.
270 Park Avenue
New York, New York 10017
--------------------------------------------------------------------------------
William H. Gray, III Retired President and Chief
Executive Officer
The College Fund/UNCF
c/o JPMorgan Chase & Co.
270 Park Avenue
New York, New York 10017
--------------------------------------------------------------------------------
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Page 19 of 20 pages
Issuer: Portal Player, Inc. CUSIP No.: 736187204
Name Principal Occupation or Employment;
Business or Residence Address
--------------------------------------------------------------------------------
William B. Harrison, Jr. Chairman of the Board and Chief
Executive Officer
JPMorgan Chase & Co.
270 Park Avenue, 8th Floor
New York, New York 10017-2070
--------------------------------------------------------------------------------
Laban P. Jackson, Jr. Chairman and Chief Executive Officer
Clear Creek Properties, Inc.
c/o JPMorgan Chase & Co.
270 Park Avenue
New York, New York 10017
--------------------------------------------------------------------------------
Lee R. Raymond Chairman of the Board and Chief
Executive Officer
Exxon Mobil Corporation
c/o JPMorgan Chase & Co.
270 Park Avenue
New York, New York 10017
--------------------------------------------------------------------------------
John W. Kessler Owner
John W. Kessler Company
c/o JPMorgan Chase & Co.
270 Park Avenue
New York, New York 10017
--------------------------------------------------------------------------------
Robert I. Lipp Chairman
The St. Paul Travelers
Companies, Inc.
c/o JPMorgan Chase & Co.
270 Park Avenue
New York, New York 10017
--------------------------------------------------------------------------------
Richard A. Monoogian Chairman and Chief Executive
Officer
Masco Corporation
c/o JPMorgan Chase & Co.
270 Park Avenue
New York, New York 10017
--------------------------------------------------------------------------------
David C. Novak Chairman and Chief Executive
Officer
Yum! Brands, Inc.
c/o JPMorgan Chase & Co.
270 Park Avenue
New York, New York 10017
--------------------------------------------------------------------------------
John R. Stafford Retired Chairman of the Board
Wyeth
c/o JPMorgan Chase & Co.
270 Park Avenue
New York, New York 10017
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Page 20 of 20 pages
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