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) (Amendment No.18)/1/ PHILADELPHIA SUBURBAN CORPORATION - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.50 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 718009-6-08 ----------- (CUSIP Number) Francois Jobard Michel Avenas Vivendi c/o Vivendi North America Management 42 Avenue de Friedland 75380 Services, Inc. Paris, Cedex 08, France 800 Third Avenue 3314-924-4924 New York, New York 10022 212-753-2000 Roger H. Kimmel, Esq. Latham & Watkins 885 Third Avenue New York, New York 10022 (212) 906-1200 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 25, 1999 ------------------------ (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), Rule 13d-1(f) or Rule 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(b) for other parties to whom copies are to be sent. (Continued on following pages) (Page 1 of 16 Pages) __________________________ /1/ 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 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. 718009-6-08 PAGE 2 OF 16 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Vivendi - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 WC, OO - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 France - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF 5,823,502 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY 1,094,586 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 5,823,502 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 1,094,586 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 6,918,088 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 Approximately 16.9% (based upon 40,865,330 shares outstanding as of June 30, 1999 according to Philadelphia Suburban Corporation's Quarterly Report on Form 10-Q for the Quarter Ended June 30, 1999) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 14 CO - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
SCHEDULE 13D - ----------------------- --------------------- CUSIP NO. 718009-6-08 PAGE 3 OF 16 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Vivendi North America Company (formerly Anjou International Company) - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 OO - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY 752,586 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 752,586 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 752,586 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 Approximately 1.8% (based upon 40,865,330 shares outstanding as of June 30, 1999 according to Philadelphia Suburban Corporation's Quarterly Report on Form 10-Q for the Quarter Ended June 30, 1999) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 14 CO - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
SCHEDULE 13D - ----------------------- --------------------- CUSIP NO. 718009-6-08 PAGE 4 OF 16 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Compagnie Generale Des Eaux - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 WC - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 France - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY 342,000 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 342,000 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 342,000 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 Approximately 0.8% (based upon 40,865,330 shares outstanding as of June 30, 1999 according to Philadelphia Suburban Corporation's Quarterly Report on Form 10-Q for the Quarter Ended June 30, 1999) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 14 PN (limited partnership) - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
- --------------------------- --------------------------- CUSIP No. 718009-6-08 13D Page 5 of 16 - --------------------------- --------------------------- This Amendment No. 18, which amends the Statement on Schedule 13D, dated September 7, 1983, as amended and restated in its entirety by Amendment No. 17, of Vivendi (formerly Compagnie Generale des Eaux), and its subsidiary Vivendi North America Company (formerly Anjou International Company), is filed to add Vivendi's subsidiary, Compagnie Generale Des Eaux, as a filing person and reflect information required pursuant to Rule 13d-2 of the General Rules and Regulations under the Securities Exchange Act of 1934, as amended, relating to the shares of Common Stock, par value $.50 per share, of Philadelphia Suburban Corporation, a Pennsylvania corporation (the "Issuer"). Item 1. Security and Issuer. The Issuer's principal executive offices are located at 762 Lancaster Avenue, Bryn Mawr, Pennsylvania 19010. This statement relates to the shares of common stock, par value $.50 per share, of the Issuer (the "Shares"). Item 2. Identity and Background. (a) This statement is filed by Vivendi, a French corporation ("Vivendi"), and its wholly owned subsidiaries Vivendi North America Company ("VNAC," formerly Anjou International Company) and Compagnie Generale Des Eaux ("CGE" and, together with Vivendi and VNAC, the "Filing Persons"). (b) The business address of Vivendi is 42 Avenue de Friedland, 75380 Paris, Cedex 08, France. The business address of VNAC is c/o Vivendi North America Management Services, Inc., 800 Third Avenue, New York, New York 10022. The business address of CGE is 52 Rue d'Anjou 75008, Paris, France. (c) Vivendi and its subsidiaries are involved in three major sectors: utilities (water, transport, waste management and energy), communications (telecommunications, publishing, multimedia and audiovisual) and construction and real estate. VNAC is a holding company for certain of Vivendi's interests in the United States. CGE is a wholly-owned subsidiary of Vivendi dedicated to and engaged in water and wastewater management and activities. The names, residence or business addresses and present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted, of the executive officers and directors of Vivendi and VNAC and the executive officers and members of the supervisory board of CGE are set forth in Schedule 1 hereto and incorporated herein by reference. (d) During the last five years, neither Vivendi nor, to the best of Vivendi's knowledge, any of the directors or executive officers of Vivendi have been convicted in criminal proceedings (excluding traffic violations or similar misdemeanors). During the last five years, neither VNAC nor, to the best of VNAC's knowledge, any of the directors or executive officers of VNAC have been convicted in criminal proceedings (excluding traffic violations or similar misdemeanors). During the last five years, neither CGE nor, to the best of CGE's knowledge, any of the supervisory board members or executive officers of CGE have been convicted in criminal proceedings (excluding traffic violations or similar misdemeanors).
- --------------------------- --------------------------- CUSIP No. 718009-6-08 13D Page 6 of 16 - --------------------------- --------------------------- (e) During the last five years, neither Vivendi nor, to the best of Vivendi's knowledge, any of the directors or executive officers of Vivendi was 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. During the last five years, neither VNAC nor, to the best of VNAC's knowledge, any of the directors or executive officers of VNAC was 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. During the last five years, neither CGE nor, to the best of CGE's knowledge, any of the supervisory board members or executive officers of CGE was 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. (f) The citizenship of the executive officers and the directors or supervisory board members, as applicable, of Vivendi, VNAC and CGE is set forth in Schedule 1 hereto and incorporated herein by reference. Item 3. Source and Amount of Funds or Other Consideration. Vivendi received 2,836,302 Shares, and VNAC received 85,920 Shares, in exchange for 1,980,658 shares and 60,000 shares, respectively, of common stock of Consumers Water Company ("Consumers") owned by them, pursuant to the merger of Consumers with the Issuer in which each outstanding share of common stock of Consumers was converted into 1.432 Shares. The source of the funds used to finance the open market purchases of Shares reported by this Amendment No. 18 was working capital of Vivendi that was contributed as additional equity to CGE. The total amount of such funds was approximately $7,820,000, exclusive of brokerage commissions. Item 4. Purpose of Transaction. The Shares owned by the Filing Persons were acquired, and are being held, as an investment. Except as described in clause (c) below, none of the Filing Persons has any present plans or proposals which may be related to or would result in: (a) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (b) A sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (c) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board. However, Vivendi intends to request that the Issuer nominate an executive of Vivendi or one of its affiliates to fill the board seat traditionally held by an executive of Vivendi (or one of its affiliates) which was held by Claudio Elia until his death; (d) Any material change in the present capitalization or dividend policy of the issuer; (e) Any other material change in the Issuer's business or corporate structure;
- --------------------------- --------------------------- CUSIP No. 718009-6-08 13D Page 7 of 16 - --------------------------- --------------------------- (f) Changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (g) A class of securities of the Issuer being delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (h) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or (i) Any action similar to any of those enumerated above. Vivendi presently intends to review its investment position in the Issuer periodically and, depending on such review, market conditions and share prices, the Issuer's business, prospects and future developments and applicable legal requirements, Vivendi may seek to acquire (either directly or through a subsidiary, including VNAC and CGE) additional Shares from time to time in the open market or in negotiated transactions or both as would result in Vivendi and its subsidiaries holding up to 19.99% of the outstanding Shares or may sell its Shares. Vivendi has advised the Issuer that any additional purchases of Shares will be solely for investment purposes. Item 5. Interest in Securities of the Issuer. (a) As of October 25, 1999, Vivendi was the beneficial owner of 6,918,088 Shares constituting approximately 16.9% of the outstanding Shares (based upon 40,865,330 Shares outstanding as of June 30, 1999 according to the Issuer's Quarterly Report on Form 10-Q for the quarter ended June 30, 1999). To the best knowledge of Vivendi, no director or executive officer owns or has any right to acquire, directly or indirectly, any Shares. As of October 25, 1999, VNAC was the beneficial owner of 752,586 Shares, constituting approximately 1.8% of the outstanding Shares based upon 40,865,330 Shares outstanding). To the best knowledge of VNAC, no director or executive officer owns or has any right to acquire, directly or indirectly, any Shares. As of October 25, 1999, CGE was the beneficial owner of 342,000 Shares, constituting approximately 0.8% of the outstanding Shares (based upon 40,865,330 Shares outstanding). (b) Vivendi has the sole power to vote or direct the disposition of 5,823,502 Shares. Vivendi has the shared power to vote or direct the disposition of 1,094,586 Shares. VNAC and CGE have the shared power to vote or direct the disposition of 752,586 Shares and 342,000 Shares, respectively. (c) Neither Vivendi nor, to the best of Vivendi's knowledge, any executive officer or director of Vivendi: (a) owns, or has any right to acquire, directly or indirectly, any Shares or (b) has, in the past sixty (60) days, effected any transactions in the Shares. Except as set forth on Schedule 1 hereto and incorporated herein by reference, neither VNAC nor, to the best of VNAC's knowledge, any executive officer or director of VNAC: (a) owns, or has any right to acquire, directly or indirectly, any Shares or (b) has, in the past sixty (60) days, effected any transactions in the Shares. Except for the open market purchases set forth on Schedule 2 hereto and incorporated herein by reference, neither CGE nor, to the best of CGE's knowledge, any executive officer or supervisory board member of CGE: (a) owns, or has any right to acquire, directly or indirectly, any Shares or (b) has, in the past sixty (60) days, effected any transactions in the Shares. (d) Not applicable.
- --------------------------- --------------------------- CUSIP No. 718009-6-08 13D Page 8 of 16 - --------------------------- --------------------------- (e) Not applicable. Item 6. Contracts, Arrangements, Understandings, or Relationships with Respect to Securities of the Issuer. None of the Filing Persons nor, to the best of the Filing Persons' knowledge, any person named in Item 2 hereof, has any contract, arrangement, understanding, or relationship (legal or otherwise) with any person with respect to any securities of the Issuer, including but not limited to any contract, arrangement, understanding, or relationship concerning the transfer or the voting of any such securities, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, or the giving or withholding of proxies. Item 7. Material to be Filed as Exhibits. 1. Joint Filing Agreement.
- --------------------------- --------------------------- CUSIP No. 718009-6-08 13D Page 9 of 16 - --------------------------- --------------------------- Schedule 1 Directors and Executive Officers of Vivendi - ---------------------------------------------------------------------------------------------------------------------------- Present Principal Occupation or Employment, Position with Vivendi Including the Name Name and (principal business) and Business Address Citizenship Address (if different than Business Address) of Employer - ---------------------------------------------------------------------------------------------------------------------------- 1. Directors - ---------------------------------------------------------------------------------------------------------------------------- Chairman of the Board Jean-Marie Messier French Chairman of the Board and and Chief Executive c/o Vivendi Chief Executive Officer of Officer 42 Avenue de Friedland Vivendi and Cegetel 75380 Paris, Cedex 08, France - ---------------------------------------------------------------------------------------------------------------------------- Vice Chairman and Jean-Louis Beffa French Chairman and Chief Director c/o Compagnie Saint Gobain les Miroirs Executive Officer of 18, Avenue d'Alsace Compagnie de Saint-Gobain 92400 Courbevoie, France - ---------------------------------------------------------------------------------------------------------------------------- Director Bernard Arnault French Chairman and Chief LVMH Executive Officer of Louis 30, avenue Hoche Vuitton Moet Hennessy, 75008 Paris Christian Dior, Groupe France Arnault S.A. and Compagnie Financiere du Nord - ---------------------------------------------------------------------------------------------------------------------------- Director Jean-Marc Espalioux French Chairman and CEO of Accor; Accor Director of Fiat France 2, rue de la Mare Neuve and Europcar International. 91021 Evry Cedex France - ---------------------------------------------------------------------------------------------------------------------------- Director Philippe Foriel-Destezet French Chairman and Chief Nescofin Executive Officer of 43 Rutlandgate Adecco, Alcila, Ecco, Idem S.W. 71 ED London France and Nescofin UK England Limited - ---------------------------------------------------------------------------------------------------------------------------- Director Jacques Friedmann French Chairman of the AXA Supervisory Board of AXA 9, Place Vendome 75001 Paris France - ---------------------------------------------------------------------------------------------------------------------------- Director Esther Koplowitz Spanish Vice Chairman of the Board F.C.C.-Madrid-Spain of Directors of FCC Plaza Pablo Ruiz Picasso 28020 Madrid Spain - ----------------------------------------------------------------------------------------------------------------------------
- --------------------------- --------------------------- CUSIP No. 718009-6-08 13D Page 10 of 16 - --------------------------- --------------------------- - ---------------------------------------------------------------------------------------------------------------------------- Present Principal Occupation or Employment, Position with Vivendi Including the Name Name and (principal business) and Business Address Citizenship Address (if different than Business Address) of Employer - ---------------------------------------------------------------------------------------------------------------------------- Director Henri Lachmann French Chairman and CEO of Schneider S.A. Schneider S.A. and 64/70 avenue Jean-Baptiste Clement Schneider Electric S.A. 92646 Boulogne Billancourt France - ---------------------------------------------------------------------------------------------------------------------------- Director Eric Licoys French Chairman and CEO of Havas Havas and General Manager of 31, rue du Colisee Vivendi. 75008 Paris, France - ---------------------------------------------------------------------------------------------------------------------------- Director Thomas Middelhoff German Chairman and CEO of Bertelsmann AG Bertelsmann Carl-Bertelsmann-Strabe 270 D-33311 Gutersloh Germany - ---------------------------------------------------------------------------------------------------------------------------- Director Simon Murray British Chairman, Simon Murray & Simon Murray and Associates (U.K.) Ltd. Company Princes House 38 Jermyn Street England - ---------------------------------------------------------------------------------------------------------------------------- Director Serge Tchuruk French Chairman and Chief Alcatel Executive Officer of 64, fue de la Boetie Alcatel and Chairman of 75008 Paris, France Alcatel USA Corp. - ---------------------------------------------------------------------------------------------------------------------------- Director Rene Thomas French Honorary Chairman and c/o Banexi Director of Banque 16 Blvd. des Italiens Nationale de Paris and 75009 Paris, France Vice Chairman of the Supervisory Board of Banque pour l'Expansion Industrielle - BANEXI - ---------------------------------------------------------------------------------------------------------------------------- Director Marc Vienot French Chairman of Paris-Europlace Paris Europlace 39, rue Cambon 75039 Paris, Cedex ler France - ----------------------------------------------------------------------------------------------------------------------------
- ----------------------- ------------------- CUSIP No. 718009-6-08 13D Page 11 of 16 - ----------------------- ------------------- - ---------------------------------------------------------------------------------------------------------------------- Name and Present Principal Business Address Occupation or Position with Vivendi Except as otherwise indicated, the Employment, Business Address of each person is Including the Name c/o Vivendi Citizenship (principal business) 42 Avenue de Friedland and Address (if 75384, Paris, Cedex 08, France different than Business Address) of Employer - ---------------------------------------------------------------------------------------------------------------------- II. Executive Officers (other than those who are also Directors) - ---------------------------------------------------------------------------------------------------------------------- Senior Executive Henri Proglio French Vice President, Vivendi Utilities - ---------------------------------------------------------------------------------------------------------------------- Senior Executive Philippe Germond French Vice President, Vivendi Communications - ---------------------------------------------------------------------------------------------------------------------- Executive Vice Jean-Francois Colin French President, Human Resources - ---------------------------------------------------------------------------------------------------------------------- Chief Financial Guillaume Hannezo French Officer - ---------------------------------------------------------------------------------------------------------------------- Company Secretary Jean-Francois Dubos French - ---------------------------------------------------------------------------------------------------------------------- Corporate Christine Delavennat French Communication - ---------------------------------------------------------------------------------------------------------------------- International Affairs Thierry de Beauce French - ---------------------------------------------------------------------------------------------------------------------- Strategy and Business Agnes Audier French Development - ---------------------------------------------------------------------------------------------------------------------- Ethical Standards Sylvie d'Arvisenet French - ---------------------------------------------------------------------------------------------------------------------- Executive Committee Daniel Caille French Member - ---------------------------------------------------------------------------------------------------------------------- Executive Committee Stephane Richard French Member - ---------------------------------------------------------------------------------------------------------------------- Executive Committee Antoine Zacharias French Member - ----------------------------------------------------------------------------------------------------------------------
- ----------------------- ------------------- CUSIP No. 718009-6-08 13D Page 12 of 16 - ----------------------- ------------------- Directors and Executive Officers of Vivendi North America Company - ------------------------------------------------------------------------------------------------------------------------------ Name and Present Principal Business Address Occupation or Except as otherwise indicated, the Employment, Including Business Address of each person is the Name (principal Position with Vivendi c/o Vivendi North America Management business) and Address (if North America Services, Inc. different than Business Company 800 Third Avenue, Citizenship Address) of Employer New York, NY 10022 - ------------------------------------------------------------------------------------------------------------------------------ I. Directors - ------------------------------------------------------------------------------------------------------------------------------ Chairman of the Board William Kriegel USA Chairman of the Board and and Chief Executive Chief Executive Officer of Officer Sithe Energies, Inc.; Chairman of the Board of Air & Water Technologies Corporation - ------------------------------------------------------------------------------------------------------------------------------ President and Director Michel Avenas/2/ French - ------------------------------------------------------------------------------------------------------------------------------ Director Thierry M. Mallet French President and CEO of Air & c/o Aqua Alliance, Inc. Water Technologies 800 Third Avenue Corporation New York, New York 10022 - ------------------------------------------------------------------------------------------------------------------------------ Director Michel Gourvennec French President and Chief 3225 Aviation Avenue Executive Officer of Miami, Florida 33133 Montenay International - ------------------------------------------------------------------------------------------------------------------------------ Director W. Harrison Wellford, Esq. USA Partner at Latham & Watkins; Latham & Watkins Vice Chairman of Sithe 1001 Pennsylvania Avenue, NW Energies, Inc. Suite 1300 Washington, DC 20004 - ------------------------------------------------------------------------------------------------------------------------------ II. Executive Officers (other than those who are also Directors) - ------------------------------------------------------------------------------------------------------------------------------ Vice President and Christian G. Farman USA Chief Financial Officer - ------------------------------------------------------------------------------------------------------------------------------ Vice President and Neil Lawrence Lane USA General Counsel - ------------------------------------------------------------------------------------------------------------------------------ _______________________ /2/ Michel Avenas is the beneficial owner of 543 Shares. He received 143 shares in exchange for 100 shares of common stock of Consumers pursuant to the merger of Consumers into the Issuer. He received 400 shares in June of 1999 as a part of the Issuer's 1999 Equity Compensation Plan.
- ------------------------- ----------------- CUSIP No. 718009-6-08 13D Page 13 of 16 - ------------------------- ----------------- Members of the Supervisory Board and Executive Officers of Compagnie Generale des Eaux - -------------------------------------------------------------------------------------------------------------------------------- Name and Present Principal Business Address Occupation or Except as otherwise indicated, the Employment, Including Business Address of each person is the Name (principal Position with Compagnie c/o Compagnie Generale Des Eaux business)and Address (if Generale des Eaux 52 Rue d'Anjou different than Business 75008 Paris, France Citizenship Address) of Employer - -------------------------------------------------------------------------------------------------------------------------------- I. Members of the Supervisory Board - -------------------------------------------------------------------------------------------------------------------------------- Member Jean-Marie Messier French Chairman of the Board and c/o Vivendi Chief Executive Officer of 42 Avenue de Friedland Vivendi and Cegetel 75380 Paris, Cedex 08, France - -------------------------------------------------------------------------------------------------------------------------------- Member Guillaume Hannezo French Chief Financial Officer, c/o Vivendi Vivendi 42 Avenue de Friedland 75380 Paris, Cedex 08, France - -------------------------------------------------------------------------------------------------------------------------------- Member Antoine Zacharias French Chief Executive Officer, SGE c/o Vivendi (Vivendi Construction and 42 Avenue de Friedland Property Subsidiary) 75380 Paris, Cedex 08, France - -------------------------------------------------------------------------------------------------------------------------------- Member, President and Henri Proglio French Senior Executive Vice Chief Executive Officer c/o Vivendi President, Vivendi Utilities 42 Avenue de Friedland 75380 Paris, Cedex 08, France - -------------------------------------------------------------------------------------------------------------------------------- Member (represented by Edrif S.A. French S.A. A public limited company Mr. Serge Michel) 5, rue Tronson du Coudray whose business is the study, 75008 Paris, France design and operation of projects in the fields of finance, industry, trade, housing or agriculture - -------------------------------------------------------------------------------------------------------------------------------- II. Executive Officers (other than those who are also Members of the Supervisory Board) - -------------------------------------------------------------------------------------------------------------------------------- Chief Operating Officer Oliver Barbaroux French - -------------------------------------------------------------------------------------------------------------------------------- Senior Executive Vice Gerard Mohr French President - -------------------------------------------------------------------------------------------------------------------------------- Senior Executive Vice Olivier Grunberg French President - --------------------------------------------------------------------------------------------------------------------------------
- ------------------------- ----------------- CUSIP No. 718009-6-08 13D Page 14 of 16 - ------------------------- ----------------- SCHEDULE 2 Date Acquired No. of Shares Price Per Share ------------- ------------- --------------- 8/30/99 4,600 24.0000 8/31/99 5,000 23.3000 9/01/99 5,000 23.8750 9/02/99 500 24.0000 9/03/99 500 24.0000 9/09/99 1,500 24.0000 9/14/99 5,000 23.8188 9/15/99 5,000 23.4625 9/16/99 5,000 23.4888 All of the Shares were acquired by CGE in open market purchases on the New York Stock Exchange.
- ------------------------- ----------------- CUSIP No. 718009-6-08 13D Page 15 of 16 - ------------------------- ----------------- SIGNATURE --------- 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. VIVENDI By /s/ Guillaume Hannezo ------------------------------ Name: Guillaume Hannezo Title: Chief Financial Officer VIVENDI NORTH AMERICA COMPANY By: /s/ Michel Avenas ------------------------------ Name: Michel Avenas Title: President COMPAGNIE GENERALE DES EAUX By: /s/ Henri Proglio ------------------------------ Name: Henri Proglio Title: President and Chief Executive Officer Dated: October 27,1999
- ------------------------- ----------------- CUSIP No. 718009-6-08 13D Page 16 of 16 - ------------------------- ----------------- EXHIBIT 1 JOINT FILING AGREEMENT ---------------------- In accordance with Rule 13d-1(f) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Filing Persons (as such term is defined in the Schedule 13D referred to below) on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the Common Stock, par value $.50 per share (the "Shares"), of Philadelphia Suburban Corporation, a Pennsylvania corporation, and that this Agreement may be included as an Exhibit to such joint filing. This Agreement may be executed in any number of counterparts, all of which taken together shall constitute one and the same instrument. IN WITNESS WHEREOF, the undersigned hereby execute this Agreement as of the 27th day of October, 1999. VIVENDI By /s/ Guillaume Hannezo ------------------------------ Name: Guillaume Hannezo Title: Chief Financial Officer VIVENDI NORTH AMERICA COMPANY By: /s/ Michel Avenas ------------------------------ Name: Michel Avenas Title: President COMPAGNIE GENERALE DES EAUX By: /s/ Henri Proglio ------------------------------ Name: Henri Proglio Title: President and Chief Executive Officer