Sec Form 13D Filing - BROOKFIELD Corp filing for Brookfield Business Partners L.P.Brookfield Business Partners L.P. - 2019-06-28

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SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

 

SCHEDULE 13D/A

 

(Amendment No. 3)

 

Under the Securities Exchange Act of 1934

BROOKFIELD BUSINESS PARTNERS L.P.

(Name of Issuer)

 

Limited Partnership Units

(Title of Class of Securities)

 

G16234109

(CUSIP Number)

 

Justin Beber

Brookfield Asset Management Inc.

Brookfield Place, Suite 300

181 Bay Street, P.O. Box 762

Toronto, Ontario M5J 2T3

Tel: (416)956-5182

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

June 28, 2019

(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 o.

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) 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 purposes of Section 18 of the Securities Exchange Act of 1934 (the “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).

 


 

CUSIP No.   G16234109

SCHEDULE 13D

 

 

 

1

Names of Reporting Persons
BROOKFIELD ASSET MANAGEMENT INC.

 

 

2

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x — Joint Filing

 

 

3

SEC Use Only

 

 

4

Source of Funds (See Instructions)
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
ONTARIO

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
94,489,751*

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
94,489,751*

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
94,489,751*

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13

Percent of Class Represented by Amount in Row (11)
63.1%**

 

 

14

Type of Reporting Person (See Instructions)
CO

 


* This amount includes 69,705,497 redemption-exchange units of Brookfield Business L.P. See Item 5.

** Based on the sum of 79,933,771 limited partnership units of the Brookfield Business Partners L.P. issued and outstanding as of June 28, 2019 and 69,705,497 redemption-exchange units of Brookfield Business L.P. beneficially owned by the reporting person.

 

2


 

CUSIP No.   G16234109

SCHEDULE 13D

 

 

 

1

Names of Reporting Persons
PARTNERS LIMITED

 

 

2

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x — Joint Filing

 

 

3

SEC Use Only

 

 

4

Source of Funds (See Instructions)
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
CANADA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
17,349

 

8

Shared Voting Power
95,985,220*

 

9

Sole Dispositive Power
17,349

 

10

Shared Dispositive Power
95,985,220*

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
96,002,569*

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13

Percent of Class Represented by Amount in Row (11)
64.2%**

 

 

14

Type of Reporting Person (See Instructions)
CO

 


* This amount includes 69,705,497 redemption-exchange units of Brookfield Business L.P. See Item 5.

** Based on the sum of 79,933,771 limited partnership units of the Brookfield Business Partners L.P. issued and outstanding as of June 28, 2019 and 69,705,497 redemption-exchange units of Brookfield Business L.P. beneficially owned by the reporting person.

 

3


 

CUSIP No.   G16234109

SCHEDULE 13D

 

 

 

1

Names of Reporting Persons
PARTNERS VALUE INVESTMENTS LP

 

 

2

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x — Joint Filing

 

 

3

SEC Use Only

 

 

4

Source of Funds (See Instructions)
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
ONTARIO

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
1,495,469

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
1,495,469

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
1,495,469

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13

Percent of Class Represented by Amount in Row (11)
1.9%*

 

 

14

Type of Reporting Person (See Instructions)
PN

 


* Based on a total of 79,933,771 limited partnership units of the Brookfield Business Partners L.P. issued and outstanding as of June 28, 2019.

 

4


 

CUSIP No.   G16234109

SCHEDULE 13D

 

 

 

1

Names of Reporting Persons
BROOKFIELD PRIVATE EQUITY DIRECT INVESTMENTS HOLDINGS LP

 

 

2

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x — Joint Filing

 

 

3

SEC Use Only

 

 

4

Source of Funds (See Instructions)
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
MANITOBA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
24,784,250

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
24,784,250

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
24,784,250

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13

Percent of Class Represented by Amount in Row (11)
31.0%*

 

 

14

Type of Reporting Person (See Instructions)
PN

 


* Based on a total of 79,933,771 limited partnership units of the Brookfield Business Partners L.P. issued and outstanding as of June 28, 2019.

 

5


 

CUSIP No.   G16234109

SCHEDULE 13D

 

 

 

1

Names of Reporting Persons
BROOKFIELD PRIVATE EQUITY GROUP HOLDINGS LP

 

 

2

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x — Joint Filing

 

 

3

SEC Use Only

 

 

4

Source of Funds (See Instructions)
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
MANITOBA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
35,481,195*

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
35,481,195*

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
35,481,195*

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13

Percent of Class Represented by Amount in Row (11)
30.7%**

 

 

14

Type of Reporting Person (See Instructions)
PN

 


* Represents redemption-exchange units of Brookfield Business L.P. See Item 5.

** Based on the sum of 79,933,771 limited partnership units of the Brookfield Business Partners L.P. issued and outstanding as of June 28, 2019 and 35,481,195 redemption-exchange units of Brookfield Business L.P. beneficially owned by the reporting person.

 

6


 

CUSIP No.   G16234109

SCHEDULE 13D

 

 

 

1

Names of Reporting Persons
BUSC FINANCE LLC

 

 

2

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x — Joint Filing

 

 

3

SEC Use Only

 

 

4

Source of Funds (See Instructions)
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
DELAWARE

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
17,087,279*

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
17,087,279*

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
17,087,279*

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13

Percent of Class Represented by Amount in Row (11)
17.6%**

 

 

14

Type of Reporting Person (See Instructions)
OO

 


* Represents redemption-exchange units of Brookfield Business L.P. See Item 5.

** Based on the sum of 79,933,771 limited partnership units of the Brookfield Business Partners L.P. issued and outstanding as of June 28, 2019 and 17,087,279 redemption-exchange units of Brookfield Business L.P. beneficially owned by the reporting person.

 

7


 

CUSIP No.   G16234109

SCHEDULE 13D

 

 

Explanatory Note

 

This Amendment No. 3 (this “Amendment No. 3”) to Schedule 13D is being filed to reflect the closing on June 28, 2019 of the previously announced equity offering of limited partnership units (the “Units”) of Brookfield Business Partners LP (“BBU”), together with a concurrent private placement (the “Private Placement”) to Brookfield Asset Management Inc. (“BAM”) of 6,610,000 redeemable-exchangeable units (“REUs”) of Brookfield Business L.P. (“Holding LP”), which are exchangeable for Units of BBU under certain circumstances and a concurrent private placement to OMERS, the pension plan for Ontario’s municipal employees, of 5,077,000 Units.

 

Unless otherwise indicated, all references to “$” in this Schedule 13D are to U.S. dollars.

 

Information reported in the original Schedule 13D remains in effect except to the extent that it is amended or superseded by information contained in this Amendment No. 3.

 

Item 2. Identity and Background

 

Item 2 of Schedule 13D is hereby amended and supplemented as follows:

 

Schedule I hereto, with respect to BAM, Schedule II hereto, with respect to Partners Limited (“Partners”), Schedule III hereto, with respect to Partners Value Investments LP (“PVI”), Schedule IV hereto, with respect to Brookfield Private Equity Direct Investments Holdings LP (“BPED”), Schedule V hereto, with respect to Brookfield Private Equity Group Holdings LP (“BPEG”), and Schedule VI hereto, with respect to BUSC Finance LLC (“BUSC Finco”), and together with BAM, Partners, PVI, BPED and BPEG, the “Reporting Persons”), set forth a list of all the directors and executive officers or persons holding equivalent positions (the “Scheduled Persons”) of each such Reporting Persons and the principal business address of each Scheduled Person.

 

To the Reporting Persons’ knowledge, none of the Scheduled Persons listed on Schedules I through VI have been, during the last five years, (i) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), or (ii) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

 

Item 3.  Source and Amount of Funds or Other Consideration

 

Item 3 of Schedule 13D is hereby amended and supplemented as follows:

 

In connection with the Private Placement, BAM and Holding LP entered into a subscription agreement, dated as of June 20, 2019 (the “Subscription Agreement”), which provided for the purchase by BAM and its affiliates of 6,610,000 REUs, deliverable at closing on June 28, 2019.

 

Item 4.  Purpose of Transaction

 

Item 4 of Schedule 13D is hereby supplemented as follows:

 

The Subscription Agreement provided for the purchase by BAM and its affiliates of 6,610,000 REUs for the purpose of increasing its investment in BBU.

 

8


 

CUSIP No.   G16234109

SCHEDULE 13D

 

 

Item 5. Interest in Securities of the Issuer

 

Item 5(a)-(b) of Schedule 13D are hereby amended as follows:

 

(a)-(b) As of the date hereof, BAM may be deemed to be the beneficial owner of 24,784,254 Units and Partners may be deemed to be the beneficial owner of 26,297,072 Units, and such Units each constitutes approximately 31.0% and 32.9%, respectively, of the issued and outstanding Units based on the number of Uni ts outstanding as of June 28, 2019. As of the date hereof, PVI may be deemed to be the beneficial owner of 1,495,469 Units, and such Units constitute approximately 1.9% of the issued and outstanding Units as of June 28, 2019. In addition, BAM holds directly, and indirectly through BPEG and BUSC Finco, an aggregate of 69,705,497 REUs. Such REUs held directly and indirectly by BAM represent 100% of the REUs of Holding LP and approximately 46.6% of the Units assuming that all of the REUs of Holding LP were exchanged for Units pursuant to the redemption-exchange mechanism. Assuming that all of the REUs of Holding LP were exchanged for Units pursuant to the redemption-exchange mechanism, as of the date hereof, BAM may be deemed to be the beneficial owner of 94,489,751 Units and Partners may be deemed to be the beneficial owner of 96,002,569 Units, and such Units would constitute approximately 63.1% and 64.2%, respectively, of the issued and outstanding Units based on the number of Units outstanding as of June 28, 2019. The REUs of Holding LP and the redemption-exchange mechanism are more fully described in BBU’s Annual Report on Form 20-F for the year ended December 31, 2018.

 

The Units deemed to be beneficially owned by BAM include 24,784,250 Units beneficially owned by BPED, 35,481,195 REUs of Holding LP beneficially owned by BPEG, and 17,087,279 REUs of Holding LP beneficially owned by BUSC Finco. The Units deemed to be beneficially owned by Partners include 17,349 Units directly beneficially owned by Partners, together with the Units deemed to be beneficially owned by PVI and the Units deemed to be beneficially owned by BAM. Partners may be deemed to have shared power with each of BAM and PVI to vote or direct the vote of the Units beneficially owned by it or to dispose of such Units other than 17,349 Units with respect to which Partners has sole voting and investment power.

 

Item 7.  Material to be Filed as Exhibits.

 

Exhibit 1

 

Joint Filing Agreement, dated June 28, 2019, among Brookfield Asset Management Inc., Partners Limited, Partners Value Investments LP, Brookfield Private Equity Direct Investments Holdings LP, Brookfield Private Equity Group Holdings LP, and BUSC Finance LLC.

 

 

 

Exhibit 2

 

Subscription Agreement, dated June 20, 2019, by and between Brookfield Asset Management Inc. and Brookfield Business L.P.

 

9


 

CUSIP No.   G16234109

SCHEDULE 13D

 

 

SIGNATURES

 

After reasonable inquiry and to the best of the undersigned’s knowledge and belief, each of the undersigned certifies as to itself that the information set forth in this statement is true, complete and correct.

 

Dated: June 28, 2019

 

 

BROOKFIELD ASSET MANAGEMENT INC.

 

 

 

By:

/s/ Justin Beber

 

 

Name: Justin Beber

 

 

Title: Managing Partner

 

 

 

PARTNERS LIMITED

 

 

 

By:

/s/ Brian Lawson

 

 

Name: Brian Lawson

 

 

Title: President

 

 

 

PARTNERS VALUE INVESTMENTS LP, by its general partner, PVI MANAGEMENT INC.

 

 

 

By:

/s/ Leslie Yuen

 

 

Name: Leslie Yuen

 

 

Title: Director, Finance

 

 

 

BROOKFIELD PRIVATE EQUITY GROUP HOLDINGS LP, by its general partner, BROOKFIELD PRIVATE EQUITY INC.

 

 

 

By:

/s/ A.J. Silber

 

 

Name: A.J. Silber

 

 

Title: Director

 

 

 

BROOKFIELD PRIVATE EQUITY DIRECT INVESTMENTS HOLDINGS LP, by its general partner, BROOKFIELD PRIVATE EQUITY INC.

 

 

 

By:

/s/ A.J. Silber

 

 

Name: A.J. Silber

 

 

Title: Director

 

 

 

BUSC FINANCE LLC

 

 

 

By:

/s/ Josh Zinn

 

 

Name: Josh Zinn

 

 

Title: Vice-President

 

10


 

SCHEDULE I

 

BROOKFIELD ASSET MANAGEMENT INC.

 

Name and Position of
Officer or Director

 

Principal Business
Address

 

Principal Occupation or
Employment

 

Citizenship

 

 

 

 

 

 

 

M. Elyse Allan, Director

 

181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada

 

Former President and Chief Executive Officer of General Electric Co.

 

U.S.A. and Canada

 

 

 

 

 

 

 

Jeffrey M. Blidner, Vice Chairman and Director

 

181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada

 

Vice Chairman of BAM

 

Canada

 

 

 

 

 

 

 

Angela F. Braly, Director

 

181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada

 

Former Chair, President and Chief Executive Officer of WellPoint Inc.

 

U.S.A.

 

 

 

 

 

 

 

Jack L. Cockwell, Director

 

c/o 51 Yonge Street, Suite 400, Toronto, Ontario M5E 1J1, Canada

 

Corporate Director

 

Canada

 

 

 

 

 

 

 

Marcel R. Coutu, Director

 

c/o Suite 1700, 335 — 8th Ave. S.W., Calgary, Alberta T2P 1C9 Canada

 

Former President and Chief Executive Officer of Canadian Oil Sands Limited

 

Canada

 

 

 

 

 

 

&# xA0;

Murilo Ferreira, Director

 

Rua General Venãncio Flores, 50 Cob 01, Leblon Rio de Janeiro

 

Former Chief Executive Officer of Vale SA

 

Brazil

 

 

 

 

 

 

 

J. Bruce Flatt, Director and Managing Partner and Chief Executive Officer

 

181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada

 

Managing Partner and Chief Executive Officer of BAM

 

Canada

 

 

 

 

 

 

 

Robert J. Harding, Director

 

c/o 181 Bay Street, Suite 300, Brookfield Place, Toronto, Ontario M5J 2T3, Canada

 

Former Chair of BAM

 

Canada

 

 

 

 

 

 

 

Maureen Kempston Darkes, Director

 

10 Avoca Avenue, Unit 1904, Toronto, Ontario M4T 2B7

 

Corporate Director and former President, Latin America, Africa and Middle East, General Motors Corporation

 

Canada

 

 

 

 

 

 

 

Brian W. Kingston,
Managing Partner

 

250 Vesey Street, 15th Floor, New York, NY 10281-1023 U.S.A.

 

Managing Partner of BAM

 

Canada

 

 

 

 

 

 

 

Brian D. Lawson, Director, Managing Partner and Chief Financial Officer

 

181 Bay Street, Suite300
Toronto, Ontario M5J 2T3, Canada

 

Director, Managing Partner and Chief Financial Officer of BAM

 

Canada

 

 

 

 

 

 

 

Cyrus Madon, Managing Partner

 

181 Bay Street, Suite300 Toronto, Ontario M5J 2T3, Canada

 

Managing Partner of BAM

 

Canada

 

11


 

Frank J. McKenna, Director

 

TD Bank Group, P.O. Box 1, TD Centre, 66
Wellington St. West, 4th Floor, TD Tower,
Toronto, Ontario M5K 1A2, Canada

 

Chair of BAM and Deputy Chair of TD Bank Group

 

Canada

 

 

 

 

 

 

 

Rafael Miranda, Director

 

C/Principe de Viana 9
28023 Madrid, Spain

 

Corporate Director and Former Chief Executive Officer of Endesa, S.A.

 

Spain

 

 

 

 

 

 

 

Timothy Price, Director

 

c/o 51 Yonge Street, Suite 400, Toronto, Ontario M5E 1J1, Canada

 

Chairman, Brookfield Funds

 

Canada

 

 

 

 

 

 

 

Lord Augustine Thomas O’Donnell, Director

 

Frontier Economics
71 High Holborn, London U.K.
WC1V 6DA

 

Chairman of Frontier Economics and senior advisor to Brookfield in Europe

 

United Kingdom

 

 

 

 

 

 

 

Lori Pearson, Managing Partner and Chief Operating Officer

 

181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada

 

Managing Partner and Chief Operating Officer of BAM

 

Canada

 

 

 

 

 

 

 

Samuel J.B. Pollock, Managing Partner

 

181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada

 

Managing Partner of BAM

 

Canada

 

 

 

 

 

 

 

Seek Ngee Huat, Director

 

501 Orchard Road, #08 — 01 Wheelock Place, Singapore 238880

 

Former Chair of the Latin American Business Group, Government of Singapore Investment Corporation

 

Singapore

 

 

 

 

 

 

 

Sachin G. Shah, Managing Partner

 

181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada

 

Managing Partner of BAM

 

Canada

 

 

 

 

 

 

 

Diana L. Taylor, Director

 

c/o Bloomberg Philanthropies
25 East 78th Street
New York, N.Y. 10075

 

Former Vice Chair, Solera Capital LLC

 

U.S.A. and Canada

 

 

 

 

 

 

 

Justin Beber, Managing Partner, Head of Corporate Strategy and Chief Legal Officer

 

181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada

 

Managing Partner, Head of Corporate Strategy and Chief Legal Officer of BAM

 

Canada

 

12


 

SCHEDULE II

 

PARTNERS LIMITED

 

Name and Position of
Officer or Director

 

Principal Business
Address

 

Principal Occupation or
Employment

 

Citizenship

Jack. L. Cockwell, Director and Chairman

 

c/o 51 Yonge Street, Suite 400, Toronto, Ontario M5E 1J1, Canada

 

Corporate Director

 

Canada

 

 

 

 

 

 

 

Brian W. Kingston, Director

 

250 Vesey Street, 15th Floor, New York, NY 10281-1023 U.S.A.

 

Managing Partner of BAM

 

Canada

 

 

 

 

 

 

 

Brian D. Lawson, Director and President

 

Brookfield Asset Management Inc., 181 Bay Street, Brookfield Place, Suite 300, Toronto, Ontario
M5J 2T3, Canada

 

Director, Managing Partner and Chief Financial Officer of BAM

 

Canada

 

 

 

 

 

 

 

Timothy Price, Director

 

c/o 51 Yonge Street, Suite 400, Toronto, Ontario M5E 1J1, Canada

 

Chairman, Brookfield Funds

 

Canada

 

 

 

 

 

 

 

Cyrus Madon, Director

 

181 Bay Street, Suite 300 Toronto, Ontario M5J 2T3, Canada

 

Managing Partner of BAM

 

Canada

 

 

 

 

 

 

 

Samuel J.B. Pollock, Director

 

181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada

 

Managing Partner of BAM

 

Canada

 

 

 

 

 

 

 

Sachin G. Shah, Director

 

181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada

 

Managing Partner of BAM

 

Canada

 

 

 

 

 

 

 

Lisa Chu, Treasurer

 

181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada

 

Senior Vice President of BAM

 

Canada

 

 

 

 

 

 

 

Loretta Corso, Secretary

 

181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada

 

Administrator, Corporate Secretary of BAM

 

Canada

 

 

 

 

 

 

 

Brad Rusheleau, Assistant Secretary

 

181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada

 

Manager of BAM

 

Canada

 

13


 

SCHEDULE III

 

PVI MANAGEMENT INC., as General Partner of
PARTNERS VALUE INVESTMENTS LP

 

Name and Position of
Officer or Director

 

Principal Business
Address

 

Principal
Occupation or
Employment

 

Citizenship

 

 

 

 

 

 

 

James L.R. Kelly, Director

 

Hwy.#26, West at 7th Line,
P.O. Box 3394, Meaford, Ontario N4L 1A5

 

President at Earth Power Traction and Equipment Inc.

 

Canada

 

 

 

 

 

 

 

Edward C. Kress, Director

 

51 Yonge Street, Suite 400, Toronto, Ontario M5E 1J1

 

Corporate Director

 

Canada

 

 

 

 

 

 

 

Brian D. Lawson, Director, President and Chief Executive Officer

 

181 Bay Street, Brookfield Place, Suite 300, Toronto, Ontario M5J 2T3, Canada

 

Director, Managing Partner and Chief Financial Officer
of BAM

 

Canada

 

 

 

 

 

 

 

Frank N.C. Lochan, Chairman

 

15 Ennisclare Dr. E., Oakville, Ontario L6J 4N3

 

Corporate Director

 

Canada

 

 

 

 

 

 

 

Ralph J. Zarboni, Director

 

Rossiter Ventures Corporation
7357 Woodbine Ave., Suite 412
Markham, Ontario L3R 6L3

 

President of Rossiter Ventures Corporation

 

Canada

 

 

 

 

 

 

 

C. Leslie Yuen, Director, Finance

 

181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada

 

Director, Finance of BAM

 

Canada

 

 

 

 

 

 

 

Loretta Corso, Corporate Secretary

 

181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada

 

Administrator, Corporate Secretary of BAM

 

Canada

 

 

 

 

 

 

 

Bryan Sinclair, Senior Associate

 

Bay Adelaide Centre, 333 Bay Street, Suite 1610, Toronto, Ontario M5H 2R2

 

Vice President at Trisura Group Ltd.

 

Canada

 

14


 

SCHEDULE IV

 

BROOKFIELD PRIVATE EQUITY GROUP HOLDINGS LP, by its general partner, BROOKFIELD PRIVATE EQUITY INC.

 

 

Name and Position of
Officer or Director

 

Principal Business
Address

 

Principal Occupation or
Employment

 

Citizenship

 

 

 

 

 

 

 

Jaspreet Dehl, Director, Managing Partner and Secretary

 

181 Bay Street, Suite 300, Toronto, ON M5J 2T3

 

Managing Partner and Chief Financial Officer of BBU

 

Canada

 

 

 

 

 

 

 

David Nowak, Managing Partner

 

181 Bay Street, Suite 300, Toronto, ON M5J 2T3

 

Managing Partner

 

Canada

 

 

 

 

 

 

 

David Grosman, Director and Managing Director

 

181 Bay Street, Suite 300, Toronto, ON M5J 2T3

 

Managing Director

 

Canada

 

 

 

 

 

 

 

A.J. Silber, Director

 

181 Bay Street, Suite 300, Toronto, ON M5J 2T3

 

Vice President

 

Canada

 

 

 

 

 

 

 

Joseph Freedman, Senior Vice Chairman

 

181 Bay Street, Suite 300, Toronto, ON M5J 2T3

 

Senior Vice Chairman

 

Canada

 

 

 

 

 

 

 

Cyrus Madon, Managing Partner

 

181 Bay Street, Suite300, Toronto, ON M5J 2T3

 

Managing Partner of BAM

 

Canada

 

 

 

 

 

 

 

Ryan Szainwald, Managing Partner

 

181 Bay Street, Suite300, Toronto, ON M5J 2T3

 

Managing Partner

 

Canada

 

 

 

 

 

 

 

Anjali Mahtani, Vice President

 

181 Bay Street, Suite300, Toronto, ON M5J 2T3

 

Vice President

Canada

 

15


 

SCHEDULE V

 

BROOKFIELD PRIVATE EQUITY DIRECT INVESTMENTS HOLDINGS LP, by its general partner, BROOKFIELD PRIVATE EQUITY INC.

 

Name and Position of
Officer or Director

 

Principal Business
Address

 

Principal Occupation or
Employment

 

Citizenship

 

 

 

 

 

 

 

Jaspreet Dehl, Director, Managing Partner and Secretary

 

181 Bay Street, Suite 300, Toronto, ON M5J 2T3

 

Managing Partner and Chief Financial Officer

 

Canada

 

 

 

 

 

 

 

David Nowak, Managing Partner

 

181 Bay Street, Suite 300, Toronto, ON M5J 2T3

 

Managing Partner

 

Canada

 

 

 

 

 

 

 

David Grosman, Director and Managing Director

 

181 Bay Street, Suite 300, Toronto, ON M5J 2T3

 

Managing Director

 

Canada

 

 

 

 

 

 

 

A.J. Silber, Director

 

181 Bay Street, Suite 300, Toronto, ON M5J 2T3

 

Vice President

 

Canada

 

 

 

 

 

 

 

Joseph Freedman, Senior Vice Chairman

 

181 Bay Street, Suite 300, Toronto, ON M5J 2T3

 

Senior Vice Chairman

 

Canada

 

 

 

 

 

 

 

Cyrus Madon, Managing Partner

 

181 Bay Street, Suite300, Toronto, ON M5J 2T3

 

Managing Partner of BAM

 

Canada

 

 

 

 

 

 

 

Ryan Szainwald, Managing Partner

 

181 Bay Street, Suite300, Toronto, ON M5J 2T3

 

Managing Partner

 

Canada

 

 

 

 

 

 

 

Anjali Mahtani, Vice President

 

181 Bay Street, Suite300, Toronto, ON M5J 2T3

 

Vice President

 

Canada

 

16


 

SCHEDULE VI

 

BUSC FINANCE LLC

 

Name and Position of
Officer or Manager

 

Principal Business
Address

 

Principal Occupation or
Employment

 

Citizenship

 

 

 

 

 

 

 

Mark Srulowitz, President

 

250 Vesey Street, 15th Floor, New York, NY 10281-1023

 

Managing Partner

 

U.S.A.

 

 

 

 

 

 

 

Jordan Kolar, Manager and Vice President

 

250 Vesey Street, 15th Floor, New York, NY 10281-1023

 

Managing Director, Tax

 

U.S.A.

 

 

 

 

 

 

 

Josh Zinn, Manager and Vice President

 

250 Vesey Street, 15th Floor, New York, NY 10281-1023

 

Senior Vice President

 

Australia

 

 

 

 

 

 

 

Karly Dyck, Manager and Secretary

 

181 Bay Street, Suite300, Toronto, ON M5J 2T3

 

Senior Vice President

 

Canada

 

17