SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
Warburg Pincus Private Equity IX, L.P.

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
06/21/2010
3. Issuer Name and Ticker or Trading Symbol
Vringo Inc [ VRNG ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock, par value $0.01 per share 840,116 D(1)(2)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
Warburg Pincus Private Equity IX, L.P.

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Warburg Pincus IX LLC

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Warburg Pincus Partners LLC

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
1. Name and Address of Reporting Person*
WARBURG PINCUS LLC

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
1. Name and Address of Reporting Person*
WARBURG PINCUS & CO

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
1. Name and Address of Reporting Person*
KAYE CHARLES R

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
1. Name and Address of Reporting Person*
LANDY JOSEPH

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
Explanation of Responses:
1. See Exhibit 99.1; Note 1.
2. See Exhibit 99.1; Note 2.
Remarks:
Exhibit List: Exhibit 99.1 - Explanation of Responses Exhibit 99.2 - Joint Filer Information Exhibit 99.3 - Joint Filers' Signatures
WARBURG PINCUS PRIVATE EQUITY IX, L.P. By: Warburg Pincus IX, LLC, its General Partner By: Warburg Pincus Partners, LLC, its Sole Member By: Warburg Pincus & Co., its Managing Member Name: Scott A. Arenare Title: Partner 06/21/2010
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Exhibit 99.1

 

Designated Filer:

Warburg Pincus Private Equity IX, L.P.

Issuer & Ticker Symbol:

Vringo, Inc. (VRNG)

Date of Event Requiring Statement:

June 21, 2010

 

Explanation of Responses:

 

(1)           This Form 3 is filed on behalf of  Warburg Pincus Private Equity IX, L.P., a Delaware limited partnership (“WP IX”), Warburg Pincus IX, LLC, a New York limited liability company (“WP IX LLC”), Warburg Pincus Partners, LLC, a New York limited liability company (“WPP LLC”), Warburg Pincus LLC, a New York limited liability company (“WP LLC”), Warburg Pincus & Co., a New York general partnership (“WP”), and Messrs. Charles R. Kaye and Joseph P. Landy (collectively, the “Reporting Persons”).

 

(2)           WP IX is the direct record owner of 840,116 shares of Common Stock, par value $0.01 per share (the “Common Stock”), of Vringo, Inc. (the “Issuer”).  The sole general partner of WP IX is WP IX LLC.  WPP LLC is the sole member of WP IX LLC.  WP is the managing member of WPP LLC.  WP LLC manages WP IX.  Charles R. Kaye and Joseph P. Landy are each Managing General Partners of WP and Co-Presidents and Managing Members of WP LLC.  By reason of the provisions of Rule 16a-1 of the Securities Exchange Act of 1934, as amended, WP, WP LLC, WPP LLC, WPIX LLC, Mr. Kaye and Mr. Landy may be deemed to be the beneficial owners of any securities that may be deemed to be beneficially owned by WP IX.  Each of WP, WP LLC, WPP LLC, WP IX LLC, Mr. Kaye and Mr. Landy disclaims beneficial ownership of all shares of Common Stock except to the extent of any indirect pecuniary interest therein.

 


Exhibit 99.2

 

Designated Filer:

Warburg Pincus Private Equity IX, L.P.

Issuer & Ticker Symbol:

Vringo, Inc. (VRNG)

Date of Event Requiring Statement:

June 21, 2010

 

Joint Filer Information

 

Joint Filers:

 

 

 

1. Name:

Warburg Pincus & Co.

Address:

450 Lexington Avenue

 

New York, NY 10017

 

 

2. Name:

Warburg Pincus IX, LLC

Address:

C/O Warburg Pincus LLC

 

450 Lexington Avenue

 

New York, NY 10017

 

 

3. Name:

Warburg Pincus Partners, LLC

Address:

C/O Warburg Pincus LLC

 

450 Lexington Avenue

 

New York, NY 10017

 

 

4. Name:

Warburg Pincus LLC

Address:

450 Lexington Avenue

 

New York, NY 10017

 

 

5. Name:

Charles R. Kaye

Address:

C/O Warburg Pincus LLC

 

450 Lexington Avenue

 

New York, NY 10017

 

 

6. Name:

Joseph P. Landy

Address:

C/O Warburg Pincus LLC

 

450 Lexington Avenue

 

New York, NY 10017

 


Exhibit 99.3

 

Designated Filer:

Warburg Pincus Private Equity IX, L.P.

Issuer & Ticker Symbol:

Vringo, Inc. (VRNG)

Date of Event Requiring Statement:

June 21, 2010

 

Joint Filers’ Signatures

 

WARBURG PINCUS & CO.

 

By:

/s/ Scott A. Arenare

 

Date: June 21, 2010

 

Name: Scott A. Arenare

 

 

 

Title: Partner

 

 

 

 

 

 

 

 

 

 

WARBURG PINCUS IX, LLC

 

 

By: Warburg Pincus Partners, LLC, its Sole Member,

 

 

By: Warburg Pincus & Co., its Managing Member

 

 

 

 

 

 

 

 

 

 

By:

/s/ Scott A. Arenare

 

Date: June 21, 2010

 

Name: Scott A. Arenare

 

 

 

Title: Partner

 

 

 

 

 

 

 

 

 

 

WARBURG PINCUS PARTNERS, LLC

 

 

By: Warburg Pincus & Co., its Managing Member

 

 

 

 

 

 

 

 

By:

/s/ Scott A. Arenare

 

Date: June 21, 2010

 

Name: Scott A. Arenare

 

 

 

Title: Partner

 

 

 

 

 

 

 

 

 

 

WARBURG PINCUS LLC

 

 

 

 

 

 

 

 

By:

/s/ Scott A. Arenare

 

Date: June 21, 2010

 

Name: Scott A. Arenare

 

 

 

Title: Managing Director

 

 

 

 

 

 

 

 

 

 

By:

/s/ Scott A. Arenare

 

Date: June 21, 2010

 

Name: Charles R. Kaye

 

 

 

By: Scott A. Arenare, Attorney-in-Fact*

 

 

 

 

 

 

 

 

 

 

By:

/s/ Scott A. Arenare

 

Date: June 21, 2010

 

Name: Joseph P. Landy

 

 

 

By: Scott A. Arenare, Attorney-in-Fact**

 

 

 



 


*                                         Power of Attorney given by Mr. Kaye was previously filed with the SEC on March 2, 2006, as an exhibit to a Schedule 13D filed by Building Products, LLC with respect to Builders FirstSource, Inc.

 

**                                  Power of Attorney given by Mr. Landy was previously filed with the SEC on March 2, 2006, as an exhibit to a Schedule 13D filed by Building Products, LLC with respect to Builders FirstSource, Inc.