------------------------------
OMB APPROVAL
------------------------------
OMB Number
Expires:
Estimated average burden
hours per response ....... 0.5
------------------------------
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 3
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
================================================================================
1. Name and Address of Reporting Person*
Vivendi
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
42, Avenue de Friedland
- --------------------------------------------------------------------------------
(Street)
75380 Paris, France Cedex 08
- --------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Date of Event Requiring Statement (Month/Day/Year)
March 22, 1999
================================================================================
3. IRS or Social Security Number of Reporting Person (Voluntary)
================================================================================
4. Issuer Name and Ticker or Trading Symbol
United States Filter Corporation (NYSE: USF)
================================================================================
5. Relationship of Reporting Person to Issuer
(Check all applicable)
[ ] Director [ X ] 10% Owner
[ ] Officer (give title below) [ ] Other (specify below)
================================================================================
6. If Amendment, Date of Original (Month/Year)
================================================================================
7. Individual or Joint/Group Filing (Check applicable line)
[ X ] Form Filed by One Reporting Person
[ ] Form Filed by More than One Reporting Person
================================================================================
Table I -- Non-Derivative Securities Beneficially Owned
================================================================================
<TABLE>
<CAPTION>
3. Ownership Form:
2. Amount of Securities Direct (D) or
1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership
(Instr. 4) (Instr. 4) (Instr. 5) (Instr.5)
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C>
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
====================================================================================================================================
</TABLE>
* If the Form is filed by more than one Reporting Person, see Instruction
5(b)(v)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
Page 1 of 3
<PAGE>
FORM 3 (continued)
Table II -- Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
================================================================================
<TABLE>
<CAPTION>
5. Owner-
3. Title and Amount of Securities ship
Underlying Derivative Security Form of
2. Date Exercisable (Instr. 4) Derivative
and Expiration Date --------------------------------- 4. Conver- Security:
(Month/Day/Year) Amount sion or Direct 6. Nature of
---------------------- or Exercise (D) or Indirect
Date Expira- Number Price of Indirect Beneficial
1. Title of Derivative Exer- tion of Derivative (I) Ownership
Security (Instr. 4) cisable Date Title Shares Security (Instr.5) (Instr. 5)
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Options to Purchase * * Common Stock, 22,410,805* $31.50* I* *
par value $.01
per share
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
====================================================================================================================================
</TABLE>
Explanation of Responses:
*Please See Attached.
VIVENDI
By: /s/ Guillaume Hannezo April 1, 1999
------------------------------------------ -----------------------
Name: Guillaume Hannezo Date
Title: Chief Financial Officer
** Intentional misstatements or omissions of facts constitute Federal Criminal
Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient. See Instruction 6 for procedure.
Alternatively, this form is permitted to be submitted to the
Commission in electronic format at the option of the reporting person
pursuant to Rule 101(b)(4) of Regulation S-T.
Page 2 of 3
<PAGE>
FORM 3 CONTINUATION SHEET
Item 1: Vivendi
42, Avenue de Friedland
75380 Paris, France Cedex 08
Item 2: March 22, 1999
Item 3: United States Filter Corporation (NYSE: USF)
EXPLANATION OF RESPONSES
* In connection with the entry into a Agreement and Plan of Merger by and
among Vivendi ("Parent"), Eau Acqusition Corp. and United States Filter
Corporation (the "Company") dated as of March 22, 1999 (the "Merger Agreement"),
Parent entered into support agreements (the "Support Agreements") with certain
stockholders and three executive officers of the Company, which are described in
Section 11 of the Offer to Purchase dated March 26, 1999 filed as an exhibit to
the Schedule 14D-1 of Parent filed on such date (the "Schedule 14D-1"). The
three executive officers who are parties to Support Agreements have granted to
Parent an option to purchase their shares at an exercise price of $31.50,
exercisable upon the terms set forth therein. Parent has also agreed in the
Support Agreements with the stockholders of the Company who are not executive
officers of the Company, to purchase the shares owned by such stockholders in
the event the Offer is terminated or withdrawn.
Additionally, Parent and the Company entered into a Stock Option Agreement
on March 22, 1999, pursuant to which the Company granted to Parent an option to
purchase 36,223,552 Shares at an exercise price of $31.50 per share, which is
not currently exercisable but would become exercisable by Parent pursuant to the
terms and conditions of the Stock Option Agreement if the Company were to become
obligated to pay the Termination Fee (as defined in the Merger Agreement) in
accordance with the Merger Agreement. The Stock Option Agreement is described in
Section 11 of the Offer to Purchase dated March 26, 1999 filed as an exhibit to
the Schedule 14D-1. The foregoing descriptions are qualified by reference to the
Support Agreements; the Stock Option Agreement and the Merger Agreement,
respectively, which are filed as Exhibits to the Schedule 14D-1 and which are
hereby incorporated herein by reference.
Page 3 of 3
