-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HFBJ6AAmD+EWsTPA9+RGNEH4YaUQrru/6gOSWQcBmA7un7LHHpuyGbWx+b7dn7QF RgOSEz2Ocjq0yQfsyL0XdA== 0000950131-02-000512.txt : 20020414 0000950131-02-000512.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950131-02-000512 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 GROUP MEMBERS: CITADEL EQUITY FUND LTD. GROUP MEMBERS: CITADEL INVESTMENT GROUP, L.L.C. GROUP MEMBERS: GLB PARTNERS GROUP MEMBERS: KENNETH GRIFFIN GROUP MEMBERS: KENSINGTON GLOBAL STRATEGIES FUND, LTD. GROUP MEMBERS: WELLINGTON PARTNERS LIMITED PARTNERSHIP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KOMAG INC /DE/ CENTRAL INDEX KEY: 0000813347 STANDARD INDUSTRIAL CLASSIFICATION: MAGNETIC & OPTICAL RECORDING MEDIA [3695] IRS NUMBER: 942914864 STATE OF INCORPORATION: DE FISCAL YEAR END: 0102 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-39184 FILM NUMBER: 02543765 BUSINESS ADDRESS: STREET 1: 1710 AUTOMATION PWY CITY: SAN JOSE STATE: CA ZIP: 95131 BUSINESS PHONE: 4085762000 MAIL ADDRESS: STREET 1: 1710 AUTOMATION PWY CITY: SAN JOSE STATE: CA ZIP: 95131 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CITADEL LIMITED PARTNERSHIP CENTRAL INDEX KEY: 0000931939 IRS NUMBER: 363754834 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 225 WEST WASHINGTON ST STREET 2: 9TH FL CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3126962100 MAIL ADDRESS: STREET 1: 225 W WASHINGTON ST STREET 2: STE 900 CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: CITADEL INVESTMENT MANAGEMENT LP /ADV DATE OF NAME CHANGE: 19960524 SC 13G/A 1 dsc13ga.txt AMENDMENT NO. 2 TO SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. 2)* Komag, Incorporated ------------------------------------------------------------------------------- (Name of Issuer) Common Stock ------------------------------------------------------------------------------- (Title of Class of Securities) 500453105 ------------------------------------------------------------------------------- (CUSIP Number) December 31, 2001 ------------------------------------------------------------------------------- Date of Event Which Requires Filing of the Statement Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ X ] Rule 13d-1(c) [ ] Rule 13d-1(d) *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). Page 1 of 14 =============================================================================== CUSIP NO. 500453105 13G Page 2 of 14 Pages ----------- ------------------ - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSON 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON Name Citadel Limited Partnership - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Illinois limited partnership U.S.A. - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY $9,281,730.84 in principal amount of Convertible Notes EACH plus accrued interest (convertible into 4,132,629 REPORTING shares of Common Stock)/1//2/ PERSON $2,713,000 in principal amount of 5.75% Convertible WITH Bonds (convertible into 103,867 shares of Common Stock)/2/ Warrants to purchase shares of Common Stock (exercisable into 179,320 shares of Common Stock)/2/ ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See Row 6 above. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See Row 6 above. - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Approximately 3.8% as of December 31, 2001. (Based on 111,924,983 shares of Common Stock issued and outstanding as of September 30, 2001, plus the shares of Common Stock issuable upon the conversion of the Convertible Notes and Convertible Bonds and exercise of the Warrants referred to in Row 6 above.) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 PN;HC - ------------------------------------------------------------------------------ ________________ /1/ The Convertible Notes accrue interest at a rate of 8.0% per annum from the date of issuance, payable in Common Stock, upon the earlier of conversion, redemption or maturity. /2/ See Footnote 2 in Item 4. Page 2 of 14 =============================================================================== CUSIP NO. 500453105 13G Page 3 of 14 Pages ----------- ------------------ - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSON 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON Name GLB Partners, L.P. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware limited partnership U.S.A. - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY $9,281,730.84 in principal amount of Convertible Notes EACH plus accrued interest (convertible into 4,132,629 REPORTING shares of Common Stock)/1//2/ PERSON $2,713,000 in principal amount of 5.75% Convertible WITH Bonds (convertible into 103,867 shares of Common Stock)/2/ Warrants to purchase shares of Common Stock (exercisable into 179,320 shares of Common Stock)/2/ ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See Row 6 above. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See Row 6 above. - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Approximately 3.8% as of December 31, 2001. (Based on 111,924,983 shares of Common Stock issued and outstanding as of September 30, 2001, plus the shares of Common Stock issuable upon the conversion of the Convertible Notes and Convertible Bonds and exercise of the Warrants referred to in Row 6 above.) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 PN;HC - ------------------------------------------------------------------------------ ________________ /1/ The Convertible Notes accrue interest at a rate of 8.0% per annum from the date of issuance, payable in Common Stock, upon the earlier of conversion, redemption or maturity. /2/ See Footnote 2 in Item 4. Page 3 of 14 =============================================================================== CUSIP NO. 500453105 13G Page 4 of 14 Pages ----------- ------------------ - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSON 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON Name Citadel Investment Group, L.L.C. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware limited liability company U.S.A. - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY $9,281,730.84 in principal amount of Convertible Notes EACH plus accrued interest (convertible into 4,132,629 REPORTING shares of Common Stock)/1//2/ PERSON $2,713,000 in principal amount of 5.75% Convertible WITH Bonds (convertible into 103,867 shares of Common Stock)/2/ Warrants to purchase shares of Common Stock (exercisable into 179,320 shares of Common Stock)/2/ ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See Row 6 above. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See Row 6 above. - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Approximately 3.8% as of December 31, 2001. (Based on 111,924,983 shares of Common Stock issued and outstanding as of September 30, 2001, plus the shares of Common Stock issuable upon the conversion of the Convertible Notes and Convertible Bonds and exercise of the Warrants referred to in Row 6 above.) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 OO;HC - ------------------------------------------------------------------------------ ________________ /1/ The Convertible Notes accrue interest at a rate of 8.0% per annum from the date of issuance, payable in Common Stock, upon the earlier of conversion, redemption or maturity. /2/ See Footnote 2 in Item 4. Page 4 of 14 - ------------------- ------------------- CUSIP NO. 500453105 13G Page 5 of 14 Pages - ------------------- ------------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Name Kenneth Griffin - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S. Citizen U.S.A. - -------------------------------------------------------------------------------- SOLE VOTING POWER 5 0 NUMBER OF SHARES ------------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER OWNED BY 6 $9,281,730.84 in principal amount of Convertible Notes EACH plus accrued interest (convertible into 4,132,629 REPORTING shares of Common Stock)/1//2/ PERSON $2,713,000 in principal amount of 5.75% Convertible WITH Bonds (convertible into 103,867 shares of Common Stock)/2/ Warrants to purchase shares of Common Stock (exercisable into 179,320 shares of Common Stock)/2/ ------------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 ------------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See Row 6 above. - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See Row 6 above. - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Approximately 3.8% as of December 31, 2001. (Based on 111,924,983 shares of Common Stock issued and outstanding as of September 30, 2001, plus the shares of Common Stock issuable upon the conversion of the Convertible Notes and Convertible Bonds and exercise of the Warrants referred to in Row 6 above.) - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 IN - -------------------------------------------------------------------------------- - -------------- /1/The Convertible Notes accrue interest at a rate of 8.0% per annum from the date of issuance, payable in Common Stock, upon the earlier of conversion, redemption or maturity. /2/See Footnote 2 in Item 4. Page 5 of 14 - ---------------------- -------------------- Cusip No. 500453105 13G Page 6 of 14 Pages - ---------------------- -------------------- - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY). Name Wellington Partners Limited Partnership - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Illinois limited partnership U.S.A. - ------------------------------------------------------------------------------ 5 SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY $9,281,730.84 in principal amount of Convertible EACH Notes plus accrued interest (convertible into 4,132,629 shares of Common Stock)1/2/ REPORTING $2,713,000 in principal amount of 5.75% Convertible PERSON Bonds (convertible into 103,867 shares of Common WITH Stock)2/ Warrants to purchase shares of Common Stock (exercisable into 179,320 shares of Common Stock)2/ ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See Row 6 above. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See Row 6 above. - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Approximately 3.8% as of December 31, 2001. (Based on 111,924,983 shares of Common Stock issued and outstanding as of September 30, 2001, plus the shares of Common Stock issuable upon the conversion of the Convertible Notes and Convertible Bonds and exercise of the Warrants referred to in Row 6 above.) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN; HC - ------------------------------------------------------------------------------ - ------------------------ 1/ The Convertible Notes accrue interest at a rate of 8.0% per annum from the date of issuance, payable in Common Stock, upon the earlier of conversion, redemption or maturity. 2/ See Footnote 2 in Item 4. Page 6 of 14 - ----------------------- ---------------------- Cusip No. 500453105 13G Page 7 of 14 Pages - ----------------------- ---------------------- - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Name Citadel Equity Fund Ltd. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Bermuda company - ------------------------------------------------------------------------------ NUMBER OF SOLE VOTING POWER SHARES 5 0 BENEFICIALLY ------------------------------------------------------------- OWNED BY 6. SHARED VOTING POWER EACH $9,281,730.84 in principal amount of Convertible REPORTING Notes plus accrued interest (convertible into PERSON 4,132,629 shares of Common Stock)1/2/ WITH $2,713,000 in principal amount of 5.75% Convertible Bonds (convertible into 103,867 shares of Common Stock)2/ Warrants to purchase shares of Common Stock (exercisable into 179,320 shares of Common Stock)2/ ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See Row 6 above. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See Row 6 above. - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Approximately 3.8% as of December 31, 2001. (Based on 111,924,983 shares of Common Stock issued and outstanding as of September 30, 2001, plus the shares of Common Stock issuable upon the conversion of the Convertible Notes and Convertible Bonds and exercise of the Warrants referred to in Row 6 above.) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 CO - ------------------------------------------------------------------------------ - ------------------ 1/The Convertible Notes accrue interest at a rate of 8.0% per annum from the date of issuance, payable in Common Stock, upon the earlier of conversion, redemption or maturity. 2/See Footnote 2 in Item 4. Page 7 of 14 - ------------------- ------------------- Cusip No. 500453105 13G Page 8 of 14 Pages - ------------------- ------------------- =============================================================================== NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Name Kensington Global Strategies Fund, Ltd. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Bermuda company - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 0 SHARES ----------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER OWNED BY 6 $9,281,730.84 in principal amount of Convertible Notes EACH plus accrued interest (convertible into 4,132,629 REPORTING shares of Common Stock)/1//2/ PERSON $2,713,000 in principal amount of 5.75% Convertible Bonds (convertible into 103,867 shares of Common Stock)/2/ Warrants to purchase shares of Common Stock (exercisable into 179,320 shares of Common Stock)/2/ ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 WITH ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See Row 6 above. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See Row 6 above. - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Approximately 3.8% as of December 31, 2001. (Based on 111,924,983 shares 11 of Common Stock issued and outstanding as of September 30, 2001, plus the shares of Common Stock issuable upon the conversion of the Convertible Notes and Convertible Bonds and exercise of the Warrants referred to in Row 6 above.) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 CO; HC - ------------------------------------------------------------------------------ - -------------------------- 1/The Convertible Notes accrue interest at a rate of 8.0% per annum from the date of issuance, payable in Common Stock, upon the earlier of conversion, redemption or maturity. 2/See Footnote 2 in Item 4. Page 8 of 14 - ------------------- ------------------ Cusip No. 500453105 13G Page 9 or 14 Pages - ------------------- ------------------ Item 1(a) Name of Issuer: KOMAG, INCORPORATED 1(b) Address of Issuer's Principal Executive Offices: 1710 Automation Parkway San Jose, California 95131 Item 2(a) Name of Person Filing Item 2(b) Address of Principal Business Office Item 2(c) Citizenship Citadel Limited Partnership 225 W. Washington 9th Floor Chicago, Illinois 60606 Illinois limited partnership GLB Partners, L.P. 225 W. Washington 9th Floor Chicago, Illinois 60606 Delaware limited partnership Citadel Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago, Illinois 60606 Delaware limited liability company Kenneth Griffin 225 W. Washington 9th Floor Chicago, Illinois 60606 U.S. Citizen Wellington Partners Limited Partnership c/o Citadel Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago, Illinois 60606 Illinois limited partnership Page 9 of 14 - ------------------- ------------------- Cusip No. 500453105 13G Page 10 or 14 Pages - ------------------- ------------------- Citadel Equity Fund Ltd. c/o Citadel Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago, Illinois 60606 Bermuda company Kensington Global Strategies Fund, Ltd. c/o Citadel Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago, Illinois 60606 Bermuda company 2(d) Title of Class of Securities: Common Stock, par value $0.01 per share 2(e) CUSIP Number: 500453105. Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: (a) [__] Broker or dealer registered under Section 15 of the Exchange Act; (b) [__] Bank as defined in Section 3(a)(6) of the Exchange Act; (c) [__] Insurance company as defined in Section 3(a)(19) of the Exchange Act; (d) [__] Investment company registered under Section 8 of the Investment Company Act; (e) [__] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [__] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [__] A parent holding company or control person in accordance with Rule 13d-1(b)(ii)(G); (h) [__] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [__] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; Page 10 of 14 - -------------------- -------------------- Cusip No. 500453105 13G Page 11 of 14 Pages - -------------------- -------------------- (j) [__] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [X] Item 4 Ownership: CITADEL LIMITED PARTNERSHIP GLB PARTNERS, L.P. CITADEL INVESTMENT GROUP, L.L.C. KENNETH GRIFFIN WELLINGTON PARTNERS LIMITED PARTNERSHIP CITADEL EQUITY FUND LTD. KENSINGTON GLOBAL STRATEGIES FUND, LTD. (a) Amount beneficially owned: $9,281,730.84 in principal amount of Convertible Notes plus accrued interest (convertible into 4,132,629 shares of Common Stock)1/2/ $2,713,000 in principal amount of 5.75% Convertible Bonds (convertible into 103,867 shares of Common Stock) 2/ Warrants to purchase shares of Common Stock (exercisable into 179,320 shares of Common Stock)2/ (b) Percent of Class: Approximately 3.8% as of December 31, 2001. (Based on 111,924,983 shares of Common Stock issued and outstanding as of September 30, 2001, plus the shares of Common Stock issuable upon the conversion of the Convertible Notes and Convertible Bonds and exercise of the Warrants referred to in item (a) above.) (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 (ii) shared power to vote or to direct the vote: See item (a) above. Page 11 of 14 - --------------------- -------------------- Cusip No. 500453105 13G Page 12 of 14 Pages - --------------------- -------------------- (iii) sole power to dispose or to direct the disposition of: 0 (iv) shared power to dispose or to direct the disposition of: See item (a) above. 1/The Convertible Notes accrue interest at a rate of 8.0% per annum from the date of issuance, payable in Common Stock, upon the earlier of conversion, redemption or maturity. 2/The securities reported herein include (i) 4,132,629 shares of the Company's common stock, par value $0.01 per share (the "Common Stock") that the Reporting Persons may acquire in the future through the conversion of $9,281,730.84 in principal amount of Convertible Notes (the "Convertible Notes") plus accrued interest on such principal amount, which may be converted by the Reporting Persons at any time prior to and including June 2, 2005, into shares of the Common Stock at the conversion price equal to $2.53, subject to adjustment upon certain defaults and dilutive events, (ii) 103,867 shares of Common Stock that the Reporting Persons may acquire in the future through the conversion of $2,713,000 in principal amount of Convertible Bonds (the "Convertible Bonds") which may be converted by the Reporting Persons at any time prior to and including January 15, 2004, into shares of the Common Stock at the conversion price equal to $26.12, subject to adjustment upon certain dilutive events and (iii) shares of Common stock that the Reporting Persons may acquire in the future through the exercise by the Reporting Persons of warrants (the "Warrants") to purchase up to 179,320 shares of Common Stock at the exercise price equal to $2.1281. The Warrants were issued on June 1, 2000. Warrants to purchase 51,234 shares of Common Stock may be exercised at any time prior to 5:00 p.m. Los Angeles Time, on June 1, 2011, unless terminated earlier under certain circumstances, and Warrants to purchase 128,086 shares of Common Stock may be exercised at any time prior to 5:00 p.m. Los Angeles Time, on June 1, 2010. The Convertible Notes were issued on June 2, 2000. The Convertible Notes accrue interest at the rate of 8% per annum from June 2, 2000, payable in Common Stock, upon the earlier of conversion, redemption or maturity. As of December 31, 2001, the Convertible Notes had accrued interest of approximately $1,173,821. Pursuant to the terms of the Convertible Notes the Company will not be required to issue more than approximately 13,204,202 shares of Common Stock to the Reporting Persons upon conversion of the Convertible Notes until the earlier of the date the Company receives shareholder approval for issuance of the Common Stock upon the conversion of the Convertible Notes and the date such issuance would not violate the rules of the principal securities market or exchange on which the Common Stock is designated or listed. In addition the Reporting Persons have the right to purchase up to an additional $35,700,000 in principal amount of convertible notes by giving notice to the Company at any time prior to June 2, 2005 and upon paying the purchase price for each $1,000 of principle amount of the Convertible Notes by exchanging $1,428.57142857 in principal and accrued and unpaid interest of the Company's restructured bank debt issued pursuant to that certain Loan Restructuring Page 12 of 14 Cusip No. 500453105 13G Page 13 of 14 Pages Agreement by and among the Company, Bank Boston, N.A. and the banks party thereto. The conversion price for such additional convertible notes will be equal to 115% of the average of the closing sale prices of the Common Stock for the five consecutive trading days immediately preceding the date that the Reporting Person gives notice of its intention to buy such additional convertible notes. Pursuant to the terms of the Convertible Notes, the Reporting Persons cannot be the "beneficial owners" of more than 10.00% of the Common Stock within the meaning of Rule 13d-1 of the Securities Exchange Act of 1934. Item 5 Ownership of Five Percent or Less of a Class: Not Applicable. Item 6 Ownership of More than Five Percent on Behalf of Another Person: Not Applicable. Item 7 Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company: See Item 2 above. Item 8 Identification and Classification of Members of the Group: Not Applicable. Item 9 Notice of Dissolution of Group: Not Applicable. Item 10 Certification: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 13 of 14 Cusip No. 500453105 13G Page 14 of 14 Pages After reasonable inquiry and to the best of its knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.
Dated this 13th day of February, 2002 /s/ Kenneth Griffin -------------------------------- Kenneth Griffin CITADEL LIMITED PARTNERSHIP CITADEL INVESTMENT GROUP, L.L.C. By: GLB Partners, L.P., By: /s/ Kenneth Griffin its General Partner -------------------------- Kenneth Griffin, President By: Citadel Investment Group, L.L.C., its General Partner CITADEL EQUITY FUND LTD. By: /s/ Kenneth Griffin By: Citadel Limited Partnership, -------------------------------- its Trading Manager Kenneth Griffin, President GLB PARTNERS, L.P. By: GLB Partners, L.P., its General Partner By: Citadel Investment Group, L.L.C., its General Partner By: Citadel Investment Group, L.L.C., its General Partner By: /s/ Kenneth Griffin -------------------------------- Kenneth Griffin, President By: /s/ Kenneth Griffin -------------------------- Kenneth Griffin, President WELLINGTON PARTNERS LIMITED KENSINGTON GLOBAL STRATEGIES PARTNERSHIP FUND, LTD. By: Citadel Limited Partnership, By: Citadel Limited Partnership, its General Partner its Trading Manager By: GLB Partners, L.P., By: GLB Partners, L.P., its General Partner its General Partner By: Citadel Investment Group, L.L.C., By: Citadel Investment Group, L.L.C., its General Partner its General Partner By: /s/ Kenneth Griffin By: /s/ Kenneth Griffin -------------------------------- -------------------------- Kenneth Griffin, President Kenneth Griffin, President
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