SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Amendment No. 7)
Under the Securities Exchange Act of 1934*
NYFIX, Inc.
(Name of Issuer)
Common Stock, Par Value $0.001 Per Share
(Title of Class of Securities)
670712108
(CUSIP Number)
Scott A. Arenare, Esq.
Managing Director and General Counsel
Warburg Pincus LLC
466 Lexington Avenue
New York, NY 10017
(212) 878-0600
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
With a copy to:
William H. Gump, Esq.
Steven J. Gartner, Esq.
Willkie Farr & Gallagher LLP
787 Seventh Avenue
New York, NY 10019
(212) 728-8000
June 30, 2009
(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 ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-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 240.13d-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
CUSIP No. - 670712108
Page 3 of 13 pages
------------- ------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Warburg Pincus Private Equity IX, L.P. IRS # 20-2975990
------------- ------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [X]
------------- ------------------------------------------------------------------
3 SEC USE ONLY
------------- ------------------------------------------------------------------
4 SOURCE OF FUNDS
N/A
------------- ------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) OR 2(e)
[ ]
------------- ------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
-------------------------- ----------- -----------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF ----------- -----------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,625,227
EACH ----------- -----------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
----------- -----------------------------------------
10 SHARED DISPOSITIVE POWER
21,625,227
------------- ------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
21,625,227
------------- ------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
[ ]
------------- ------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
38.6%
------------- ------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
------------- ------------------------------------------------------------------
|
SCHEDULE 13D
CUSIP No. - 670712108
Page 4 of 13 pages
------------- ------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Warburg Pincus IX, LLC IRS # 20-2975945
------------- ------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [X]
------------- ------------------------------------------------------------------
3 SEC USE ONLY
------------- ------------------------------------------------------------------
4 SOURCE OF FUNDS
N/A
------------- ------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) OR 2(e)
[ ]
------------- ------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
-------------------------- ----------- -----------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF ----------- -----------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,625,227
EACH ----------- -----------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
----------- -----------------------------------------
10 SHARED DISPOSITIVE POWER
21,625,227
------------- ------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
21,625,227
------------- ------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
[ ]
------------- ------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
38.6%
------------- ------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
------------- ------------------------------------------------------------------
|
SCHEDULE 13D
CUSIP No. - 670712108
Page 5 of 13 pages
------------- ------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Warburg Pincus Partners, LLC IRS # 13-4069737
------------- ------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [X]
------------- ------------------------------------------------------------------
3 SEC USE ONLY
------------- ------------------------------------------------------------------
4 SOURCE OF FUNDS
N/A
------------- ------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) OR 2(e)
[ ]
------------- ------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
-------------------------- ----------- -----------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF ----------- -----------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,625,227
EACH ----------- -----------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
----------- -----------------------------------------
10 SHARED DISPOSITIVE POWER
21,625,227
------------- ------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
21,625,227
------------- ------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
[ ]
------------- ------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
38.6%
------------- ------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
------------- ------------------------------------------------------------------
|
SCHEDULE 13D
CUSIP No. - 670712108
Page 6 of 13 pages
------------- ------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Warburg Pincus LLC IRS # 13-3536050
------------- ------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [X]
------------- ------------------------------------------------------------------
3 SEC USE ONLY
------------- ------------------------------------------------------------------
4 SOURCE OF FUNDS
N/A
------------- ------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) OR 2(e)
[ ]
------------- ------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
-------------------------- ----------- -----------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF ----------- -----------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,625,227
EACH ----------- -----------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
----------- -----------------------------------------
10 SHARED DISPOSITIVE POWER
21,625,227
------------- ------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
21,625,227
------------- ------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
[ ]
------------- ------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
38.6%
------------- ------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
------------- ------------------------------------------------------------------
|
SCHEDULE 13D
CUSIP No. - 670712108
Page 7 of 13 pages
------------- ------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Warburg Pincus & Co. IRS # 13-6358475
------------- ------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [X]
------------- ------------------------------------------------------------------
3 SEC USE ONLY
------------- ------------------------------------------------------------------
4 SOURCE OF FUNDS
N/A
------------- ------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) OR 2(e)
[ ]
------------- ------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
-------------------------- ----------- -----------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF ----------- -----------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,625,227
EACH ----------- -----------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
----------- -----------------------------------------
10 SHARED DISPOSITIVE POWER
21,625,227
------------- ------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
21,625,227
------------- ------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
[ ]
------------- ------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
38.6%
------------- ------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
------------- ------------------------------------------------------------------
|
SCHEDULE 13D
CUSIP No. - 670712108
Page 8 of 13 pages
------------- ------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Charles R. Kaye
------------- ------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [X]
------------- ------------------------------------------------------------------
3 SEC USE ONLY
------------- ------------------------------------------------------------------
4 SOURCE OF FUNDS
N/A
------------- ------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) OR 2(e)
[ ]
------------- ------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
-------------------------- ----------- -----------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF ----------- -----------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,625,227
EACH ----------- -----------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
----------- -----------------------------------------
10 SHARED DISPOSITIVE POWER
21,625,227
------------- ------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
21,625,227
------------- ------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
[ ]
------------- ------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
38.6%
------------- ------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
------------- ------------------------------------------------------------------
|
SCHEDULE 13D
CUSIP No. - 670712108
Page 9 of 13 pages
------------- ------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Joseph P. Landy
------------- ------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [X]
------------- ------------------------------------------------------------------
3 SEC USE ONLY
------------- ------------------------------------------------------------------
4 SOURCE OF FUNDS
N/A
------------- ------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) OR 2(e)
[ ]
------------- ------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
-------------------------- ----------- -----------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF ----------- -----------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,625,227
EACH ----------- -----------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
----------- -----------------------------------------
10 SHARED DISPOSITIVE POWER
21,625,227
------------- ------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
21,625,227
------------- ------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
[ ]
------------- ------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
38.6%
------------- ------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
------------- ------------------------------------------------------------------
|
This Amendment No. 7 to Schedule 13D (this "Amendment No. 7") is being
filed with respect to the Common Stock of NYFIX, Inc., a Delaware corporation
(the "Issuer"), to amend the Schedule 13D filed on October 19, 2006 (as amended
by Amendment No. 1 thereto filed on May 10, 2007, Amendment No. 2 thereto filed
on July 3, 2007, Amendment No. 3 thereto filed on January 4, 2008, Amendment No.
4 thereto filed on March 17, 2008, Amendment No. 5 thereto filed on July 2,
2008, Amendment No. 6 thereto filed on January 5, 2009 and this Amendment No. 7,
the "Schedule 13D"). Capitalized terms used but not defined herein have the
meaning ascribed thereto in the Schedule 13D.
Item 3. Source and Amount of Funds or Other Consideration
Item 3 of the Schedule 13D is hereby amended to add the following:
On June 30, 2009, 525,000 shares of Common Stock were issued to WP IX by
the Issuer in payment of a dividend on the Series B Preferred Stock held by WP
IX pursuant to the Certificate of Designations.
Item 5. Interest in Securities of the Issuer
Items 5(a) and (b) of the Schedule 13D are hereby amended and restated in
their entirety as follows:
(a) WP IX is the direct record owner of (i) 1,500,000 shares of Series B
Preferred Stock, (ii) a Warrant to purchase an aggregate of 2,250,000 shares of
Common Stock, subject to adjustment under certain circumstances, and (iii)
4,375,227 shares of Common Stock. Each share of Series B Preferred Stock is
convertible in whole or in part, at any time and from time to time into 10
shares of Common Stock, subject to adjustment under certain circumstances. The
Warrant is exercisable in whole or in part, at any time and from time to time,
until October 12, 2016.
Accordingly, as of June 30, 2009, WP IX is deemed to beneficially own an
aggregate of 21,625,227 shares of Common Stock, which represents approximately
38.6% of the outstanding shares of Common Stock in accordance with Rule
13d-3(d). This percentage is based on 38,709,688 shares of Common Stock
outstanding as of May 6, 2009, as disclosed in the Issuer's Quarterly Report on
Form 10-Q for the quarterly period ended March 31, 2009.
Due to their respective relationships with WP IX and each other, the
Reporting Persons may be deemed to beneficially own, in the aggregate,
21,625,227 shares of the Issuer's Common Stock, which represents 38.6% of the
outstanding shares of the Issuer's Common Stock.
Each of WP, WPP LLC, WP LLC, WP IX LLC, Mr. Kaye and Mr. Landy disclaim
beneficial ownership of the Common Stock.
(b) Each of the Reporting Persons is deemed to share with WP IX the power
to vote or to direct the vote and to dispose or to direct the disposition of
21,625,227 shares of the Issuer's Common Stock.
10
Item 5(c) of the Schedule 13D is hereby amended and restated in its
entirety as follows:
Except for the transaction described in Item 3 above, no other transactions
in shares of the Issuer's Common Stock were effected by the Reporting Persons
during the 60 days before the date of this Amendment No. 7.
[Remainder of page intentionally left blank]
11
SIGNATURES
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.
Dated: July 1, 2009
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
By: /s/ Scott A. Arenare
----------------------------------------------------
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
----------------------------------------------------
Name: Scott A. Arenare
Title: Partner
|
WARBURG PINCUS PARTNERS, LLC
By: Warburg Pincus & Co., its Managing Member
By: /s/ Scott A. Arenare
----------------------------------------------------
Name: Scott A. Arenare
Title: Partner
|
WARBURG PINCUS LLC
By: /s/ Scott A. Arenare
----------------------------------------------------
Name: Scott A. Arenare
Title: Managing Director
|
WARBURG PINCUS & CO.
By: /s/ Scott A. Arenare
----------------------------------------------------
|
12
Name: Scott A. Arenare
Title: Partner
By: /s/ Scott Arenare
-------------------------------------------------------
Name: Charles R. Kaye
By: Scott A. Arenare, Attorney-in-Fact*
By: /s/ Scott Arenare
-------------------------------------------------------
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.
13
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