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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 3)
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ARCHIPELAGO HOLDINGS, INC.
(Name of Issuer)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
(Title of Class of Securities)
03957A104
(CUSIP Number)
Thomas J. Murphy
c/o General Atlantic Service Corporation
3 Pickwick Plaza
Greenwich, Connecticut 06830
Tel. No.: (203) 629-8600
(Name, Address and Telephone Number of
Person Authorized to Receive Notices
and Communications)
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OCTOBER 20, 2005
(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), 1(f) or 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 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).
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03957A104 Page 2 of 13
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NAME OF REPORTING PERSON
1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
General Atlantic LLC
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X]
(b) [_]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
OO
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e)
[_]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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7 SOLE VOTING POWER
-0-
------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES 10,380,505
BENEFICIALLY OWNED ------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
------------------------------------------------
10 SHARED DISPOSITIVE POWER
10,380,505
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,380,505
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
22.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
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03957A104 Page 3 of 13
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NAME OF REPORTING PERSON
1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
General Atlantic Partners 77, L.P.
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X]
(b) [_]
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3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e)
[_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES 10,380,505
BENEFICIALLY OWNED ------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
------------------------------------------------
10 SHARED DISPOSITIVE POWER
10,380,505
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,380,505
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
22.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
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03957A104 Page 4 of 13
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NAME OF REPORTING PERSON
1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
GAP Coinvestment Partners II, L.P.
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X]
(b) [_]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
OO
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e)
[_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES 10,380,505
BENEFICIALLY OWNED ------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
------------------------------------------------
10 SHARED DISPOSITIVE POWER
10,380,505
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,380,505
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
22.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
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03957A104 Page 5 of 13
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NAME OF REPORTING PERSON
1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
GapStar, LLC
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X]
(b) [_]
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3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e)
[_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES 10,380,505
BENEFICIALLY OWNED ------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
------------------------------------------------
10 SHARED DISPOSITIVE POWER
10,380,505
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,380,505
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
22.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
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03957A104 Page 6 of 13
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NAME OF REPORTING PERSON
1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
GAP-W Holdings, L.P.
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X]
(b) [_]
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3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e)
[_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES 10,380,505
BENEFICIALLY OWNED ------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
------------------------------------------------
10 SHARED DISPOSITIVE POWER
10,380,505
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,380,505
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
22.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
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03957A104 Page 7 of 13
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NAME OF REPORTING PERSON
1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
GAPCO GmbH & Co. KG
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X]
(b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e)
[_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Germany
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES 10,380,505
BENEFICIALLY OWNED ------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
------------------------------------------------
10 SHARED DISPOSITIVE POWER
10,380,505
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,380,505
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
22.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
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03957A104 Page 8 of 13
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NAME OF REPORTING PERSON
1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
GAPCO Management GmbH
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X]
(b) [_]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e)
[_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Germany
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES 10,380,505
BENEFICIALLY OWNED ------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
------------------------------------------------
10 SHARED DISPOSITIVE POWER
10,380,505
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,380,505
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
22.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
CO
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03957A104 Page 9 of 13
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ITEM 1. SECURITY AND ISSUER.
ITEM 1 IS HEREBY AMENDED AND RESTATED IN ITS ENTIRETY AS FOLLOWS:
This Amendment No. 3 to Schedule 13D ("Amendment No. 3") is filed by
the undersigned to amend and supplement the Schedule 13D, dated August 16, 2004,
as amended by Amendment No. 1 thereto, dated April 26, 2005, as amended by
Amendment No. 2 thereto, dated July 25, 2005 ("Amendment No. 2"), with respect
to the shares of common stock, par value $0.01 per share (the "Common Stock"),
of Archipelago Holdings, Inc., a Delaware corporation (the "Company"). The
address of the principal executive office of the Company is 100 South Wacker
Drive, Suite 1800, Chicago, Illinois 60606.
ITEM 2. IDENTITY AND BACKGROUND.
Unchanged.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
Unchanged.
ITEM 4. PURPOSE OF TRANSACTION.
ITEM 4 IS HEREBY AMENDED BY ADDING THE FOLLOWING:
The GA Signatories (as defined in Amendment No. 2) entered into a
Registration Rights Agreement, dated as of October 20, 2005 (the "Registration
Rights Agreement"), with NYSE (as defined in Amendment No. 2) and NYSE Group,
Inc. ("NYSE Group") providing for additional rights and obligations in
connection with certain registration rights granted by NYSE and NYSE Group to
the GA Signatories pursuant to the Original Support Agreement (as defined in
Amendment No. 2), as amended by the Amended Support Agreement (as defined in
Amendment No. 2) (as so amended, the "Support Agreement"). This Amendment No. 3
is being filed as a result of the GA Signatories entering into the Registration
Rights Agreement. The material terms of the Registration Rights Agreement are
summarized below.
Under the Registration Rights Agreement, NYSE Group has the right to
postpone effecting a registration requested by the GA Signatories pursuant to
the Support Agreement for a period of time not to exceed 45 days if NYSE Group
determines in good faith that effecting the registration would materially and
adversely affect an offering of securities of NYSE Group (the preparation of
which has already commenced) or would require NYSE Group to disclose material
non-public information (the disclosure of which during such period would not be
in the best interests of NYSE Group). NYSE Group may not postpone such a
registration more than twice during any period of 12 consecutive months.
Under the Registration Rights Agreement, the GA Signatories will be
liable for their portion of the registration and filing fees payable to the
Securities and Exchange Commission in connection with any registered offering of
NYSE Group common stock effected pursuant to the Registration Rights Agreement
(with such portion based on the number of shares of NYSE Group common stock
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03957A104 Page 10 of 13
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being sold by or on behalf of the GA Signatories in the offering). NYSE Group
will be liable for all other registration-related expenses of such offering,
other than the underwriter's discounts and commissions related to the shares of
NYSE Group common stock sold by or on behalf of the GA Signatories in such
offering, which discounts and commissions will be the responsibility of the GA
Signatories. If any NYSE Group stockholders participate in a registered offering
with the GA Signatories, NYSE Group may require such NYSE Group stockholders to
pay for their portion of some or all of the expenses of such offering (with such
portion based on the number of shares of NYSE Group common stock being sold by
or on behalf of such stockholders in the offering). If NYSE Group imposes this
requirement, the GA Signatories will be liable for their portion of the same
registration expenses (with such portion based on the number of shares of NYSE
Group common stock being sold by or on behalf of the GA Signatories in the
offering).
The GA Signatories also have the right to participate in certain
registered offerings of NYSE Group common stock to the extent that such persons
continue to hold NYSE Group common stock subject to the transfer restrictions
imposed by the Support Agreement. Specifically, if NYSE Group proposes an
offering of NYSE Group common stock for its own account and decides to permit
certain of its stockholders to participate in that registered offering, then the
GA Signatories will also be entitled to participate in that registered offering
pro rata with the other stockholders that are participating in the offering.
Moreover, if the NYSE agrees to register an offering of NYSE Group common stock
for any stockholder who was a NYSE member immediately prior to the mergers
contemplated by the Amended Merger Agreement (as defined in Amendment No. 2),
then the GA Signatories will be entitled to participate in that offering on
equal terms and pro rata with the other stockholders participating in the
offering.
The foregoing summary of the Registration Rights Agreement is
qualified in its entirety by reference to Exhibit 5, which is incorporated
herein by reference.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
Unchanged.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIP WITH RESPECT
TO THE ISSUER.
ITEM 6 IS HEREBY AMENDED AND SUPPLEMENTED BY INSERTING THE FOLLOWING
AT THE END THEREOF:
The information in Item 4 of this Amendment No. 3 is incorporated
herein by reference.
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03957A104 Page 11 of 13
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ITEM 7. MATERIALS TO BE FILED AS EXHIBITS.
Exhibit 5: Registration Rights Agreement, dated as of
October 20, 2005, by and among General
Atlantic Partners 77, L.P., GAP-W Holdings,
L.P., GapStar, LLC, GAP Coinvestment Partners
II, L.P., GAPCO GmbH & Co. KG, NYSE Group,
Inc. and NYSE filed as Exhibit 10.15 to
Registration Statement No. 333-126780 of the
NYSE Group, Inc. filed on Form S-4.
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03957A104 Page 12 of 13
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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: October 24, 2005
GENERAL ATLANTIC LLC
By: /s/ Thomas J Murphy
------------------------------
Name: Thomas J.Murphy
Title: Attorney-in-Fact
GENERAL ATLANTIC PARTNERS 77, L.P.
By: General Atlantic LLC,
Its general partner
By: /s/ Thomas J Murphy
------------------------------
Name: Thomas J.Murphy
Title: Attorney-in-Fact
GAP COINVESTMENT PARTNERS II, L.P.
By: /s/ Thomas J Murphy
------------------------------
Name: Thomas J.Murphy
Title: Attorney-in-Fact
GAP-W HOLDINGS, L.P.
By: General Atlantic LLC,
Its general partner
By: /s/ Thomas J Murphy
------------------------------
Name: Thomas J.Murphy
Title: Attorney-in-Fact
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03957A104 Page 13 of 13
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GAPSTAR, LLC
By: General Atlantic LLC,
Its sole member
By: /s/ Thomas J Murphy
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Name: Thomas J.Murphy
Title: Attorney-in-Fact
GAPCO GMBH & CO. KG
By: GAPCO Management GmbH,
Its general partner
By: /s/ Matthew Nimetz
------------------------------
Name: Matthew Nimetz
Title: Managing Director
GAPCO MANAGEMENT GMBH
By: /s/ Matthew Nimetz
------------------------------
Name: Matthew Nimetz
Title: Managing Director