-----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, Nxs9MFq5/jwh/BirAx5QrRp2JuUE4L0Z5s4iJrVYs4FDvcAC3N1VEt20g3NWE28y 9KK5C1r2k5ejZclW2qMCJA== 0001193125-05-146179.txt : 20050721 0001193125-05-146179.hdr.sgml : 20050721 20050721140808 ACCESSION NUMBER: 0001193125-05-146179 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050721 DATE AS OF CHANGE: 20050721 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ASM INTERNATIONAL N V CENTRAL INDEX KEY: 0000351483 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 980101743 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 424B3 SEC ACT: 1933 Act SEC FILE NUMBER: 333-124479 FILM NUMBER: 05965767 BUSINESS ADDRESS: STREET 1: JAN VAN EYCKLAAN 10 STREET 2: 3723 BC BILTHOVEN CITY: THE NETHERLANDS STATE: P7 BUSINESS PHONE: 6022434221 MAIL ADDRESS: STREET 1: JAN VAN EYCKLAAN 10 STREET 2: 3723 BC BILTHOVEN CITY: NETHERLANDS STATE: AR ZIP: 85012 FORMER COMPANY: FORMER CONFORMED NAME: ADVANCED SEMICONDUCTOR MATERIALS INTERNATIONAL N V DATE OF NAME CHANGE: 19950530 424B3 1 d424b3.htm PROSPECTUS SUPPLEMENT DATED JULY 21, 2005 Prospectus Supplement dated July 21, 2005

Filed pursuant to Rule 424(b)(3)

File No. 333-124479

 

PROSPECTUS SUPPLEMENT NO. 1

(TO PROSPECTUS DATED JUNE 28, 2005)

 

ASM INTERNATIONAL N.V.

 

$150,000,000

 

4 1/4% CONVERTIBLE SUBORDINATED NOTES DUE 2011

AND COMMON STOCK ISSUABLE UPON CONVERSION OF THE NOTES

 

This prospectus supplement supplements the prospectus dated June 28, 2005 of ASM International N.V. (the “Company”) relating to the resale by certain selling securityholders of up to $150,000,000 of the Company’s 4 1/4% Convertible Subordinated Notes due 2011 (the “Notes”) and the Common Stock issuable upon conversion of the Notes, which prospectus was filed as part of the Company’s Amendment No. 1 to the Registration Statement on Form F-3 No. 333-124479. This prospectus supplement should be read in conjunction with the prospectus and is qualified by reference to the prospectus, except to the extent that the information presented in this prospectus supplement supercedes the information contained in the prospectus.

 


 

No Person has been authorized to give any information or to make any representation other than those contained in this prospectus supplement or the prospectus to which it relates in connection with the offering made pursuant to the prospectus (as supplemented hereby), and if given or made, such information or representation must not be relied upon as having been authorized by the Company or by any other person. Neither the delivery of this prospectus supplement and the prospectus to which it relates nor any sale of Notes or Common Stock covered hereby shall, under any circumstances, create any implication that information in this prospectus supplement is correct as of any time subsequent to the date hereof (July 21, 2005). This prospectus supplement and the prospectus to which it relates do not constitute an offer to or solicitation of any person in any jurisdiction in which such offer or solicitation may not be lawfully made.

 

Neither the Securities and Exchange Commission nor any state securities commission has approved or disapproved of these securities or passed upon the adequacy or accuracy of this prospectus supplement or the prospectus to which it relates. Any representation to the contrary is a criminal offense.

 


 

The date of this Prospectus Supplement is July 21, 2005


The information in the table appearing under the heading “Selling Holders and Plan of Distribution” beginning on page 51 of the prospectus dated June 28, 2005, and the footnotes to that table, are amended to read in their entirety as follows:

 

Name and Address


   Aggregate
Principal
Amount of
Notes that
may be Sold


   Percentage
of Notes
Outstanding


   

Number of
Shares of
Common
Stock that
may be

Sold(1)


   Percentage of
Shares of
Common Stock
Outstanding(2)


Allstate Insurance Company

3075 Sanders Road, Suite G6B

Northbrook, IL 60062

   1,750,000    1.17 %   84,053.73    *

Aloha Airlines Non-Pilots Pension Trust

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   15,000    *     720.46    *

Aloha Pilots Retirement Trust

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   10,000    *     480.31    *

Arkansas PERS

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   775,000    *     37,223.79    *

AstraZeneca Holdings Pension

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   230,000    *     11,047.06    *

Attorney’s Title Insurance Fund

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   75,000    *     3,602.30    *

Boilermakers Blacksmith Pension Trust

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   1,000,000    *     48,030.70    *

C&H Sugar Company Inc.

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   20,000    *     960.61    *


Name and Address


   Aggregate
Principal
Amount of
Notes that
may be Sold


   Percentage
of Notes
Outstanding


   

Number of
Shares of
Common
Stock that
may be

Sold(1)


   Percentage of
Shares of
Common Stock
Outstanding(2)


Chrysler Corporation Master

Retirement Trust

c/o Oaktree Capital Management, LLC

333 S. Grand Ave., 28th Floor

Los Angeles, CA 90071

   1,840,000    1.23 %   88,376.49    *

Coastal Convertibles LTD

c/o Harbor Capital Management

2777 Summer Street

Stamford, CT 06905

   1,000,000    *     48,030.70    *

Convertible Securities Fund

c/o Bank of America

590 Madison Avenue

NY5-506-36-01

New York, NY 10022

   10,000    *     480.31    *

Credit Suisse First Boston

80 Field Point Road

Greenwich, CT 06830

   2,000,000    1.33 %   96,061.40    *

Delaware PERS

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   450,000    *     21,613.82    *

Delta Airlines Master Trust

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   225,000    *     10,806.91    *

Delta Pilots Disability & Survivorship

Trust – CV

c/o Oaktree Capital Management, LLC

333 S. Grand Ave., 28th Floor

Los Angeles, CA 90071

   235,000    *     11,287.21    *

Duke Endowment

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   205,000    *     9,846.29    *

Fidelity Advisor Series I: Fidelity

Advisor Equity Value Fund

c/o Fidelity Management & Research

Company

82 Devonshire Street

Boston, MA 02109

   10,000    *     480.31    *


Name and Address


   Aggregate
Principal
Amount of
Notes that
may be Sold


   Percentage
of Notes
Outstanding


   

Number of
Shares of
Common
Stock that
may be

Sold(1)


   Percentage of
Shares of
Common Stock
Outstanding(2)


Fidelity Puritan Trust: Fidelity

Balanced Fund

c/o Fidelity Management & Research

Company

82 Devonshire Street

Boston, MA 02109

   1,980,000    1.32 %   95,100.79    *

Fidelity Financial Trust: Fidelity

Equity Income Fund II

c/o Fidelity Management & Research

Company

82 Devonshire Street

Boston, MA 02109

   5,740,000    3.83 %   275,696.22    *

Fidelity Management Trust Company

on behalf of accounts managed by it

c/o Fidelity Management & Research

Company

82 Devonshire Street

Boston, MA 02109

   970,000    *     46,589.78    *

F.M. Kirby Foundation, Inc.

c/o Oaktree Capital Management, LLC

333 S. Grand Ave., 28th Floor

Los Angeles, CA 90071

   120,000    *     5,763.68    *

FrontPoint Convertible Arbitrage

Fund, L.P.

c/o FrontPoint Partners LLC

80 Field Point Road

Greenwich, CT 06830

   3,000,000    2.00 %   144,092.10    *

Hallmark Convertible Securities Fund

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   50,000    *     2,401.54    *

Hawaiian Airlines Employees Pension

Plan – IAM

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   5,000    *     240.15    *

Hawaiian Airlines Pension Plan

For Salaried Employees

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   5,000    *     9,606.61    *


Name and Address


   Aggregate
Principal
Amount of
Notes that
may be Sold


   Percentage
of Notes
Outstanding


   

Number of
Shares of
Common
Stock that
may be

Sold(1)


   Percentage of
Shares of
Common Stock
Outstanding(2)


Hawaiian Airlines Pilots Retirement Plan

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   20,000    *     960.61    *

Highbridge International LLC

c/o HCM

9 West 57th Street

New York, NY 10019

   6,500,000    4.33 %   312,199.55    *

ICI American Holdings Trust

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   170,000    *     8,165.22    *

International Truck & Engine Corporation

Non-Contributory Retirement Plan Trust

c/o Oaktree Capital Management, LLC

333 S. Grand Ave., 28th Floor

Los Angeles, CA 90071

   90,000    *     4,322.76    *

International Truck & Engine Corporation

Retiree Health Benefit Trust

c/o Oaktree Capital Management, LLC

333 S. Grand Ave., 28th Floor

Los Angeles, CA 90071

   35,000    *     1,681.07    *

International Truck & Engine

Corporation Retirement Plan for

Salaried Employees Trust

c/o Oaktree Capital Management, LLC

333 S. Grand Ave., 28th Floor

Los Angeles, CA 90071

   85,000    *     4,082.61    *

Linden Capital LP

c/o Paloma Partners Management Company

Two American Lane

Greenwich, CT 06836-2571

   6,756,000    4.50 %   324,495.41    *

Louisiana CCRF

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   85,000    *     4,082.61    *

Mackay Shields, LLC, as investment

advisor to AFTRA Health Fund

9 West 57th Street, 33rd Floor

New York, NY 10019

   75,000    *     3,602.30    *


Name and Address


   Aggregate
Principal
Amount of
Notes that
may be Sold


   Percentage
of Notes
Outstanding


  

Number of
Shares of
Common
Stock that
may be

Sold(1)


   Percentage of
Shares of
Common Stock
Outstanding(2)


Mackay Shields, LLC, as investment

advisor to Mainstay Convertible Fund

9 West 57th Street, 33rd Floor

New York, NY 10019

   1,395,000    *    67,002.83    *

Mackay Shields, LLC, as investment

advisor to Mainstay VP Convertible Fund

9 West 57th Street, 33rd Floor

New York, NY 10019

   875,000    *    42,026.86    *

Mackay Shields, LLC, as investment

advisor to New York Life Insurance

Co. Post 82

9 West 57th Street, 33rd Floor

New York, NY 10019

   1,065,000    *    51,152.70    *

Mackay Shields, LLC, as investment advisor

to New York Life Insurance Co. Pre 82

9 West 57th Street, 33rd Floor

New York, NY 10019

   510,000    *    24,495.66    *

Mackay Shields, LLC, as investment advisor

to New York Life Separate A/C #7

9 West 57th Street, 33rd Floor

New York, NY 10019

   25,000    *    1,200.77    *

Mackay Shields, LLC, as investment

advisor to United Overseas Bank (SGO)

9 West 57th Street, 33rd Floor

New York, NY 10019

   35,000    *    1,681.07    *

Mackay Shields, LLC, as investment

advisor to United Overseas Bank (USD)

9 West 57th Street, 33rd Floor

New York, NY 10019

   20,000    *    960.61    *

Mann Convertible Bond Master Fund, Ltd.

c/o Marin Capital Partners, LP

101 Glacier Point Road, Suite D

San Rafael, CA 94901

   855,000    *    41,066.25    *

Microsoft Corporation

c/o Oaktree Capital Management, LLC

333 S. Grand Ave., 28th Floor

Los Angeles, CA 90071

   125,000    *    6,003.84    *


Name and Address


   Aggregate
Principal
Amount of
Notes that
may be Sold


   Percentage
of Notes
Outstanding


   

Number of
Shares of
Common
Stock that
may be

Sold(1)


   Percentage of
Shares of
Common Stock
Outstanding(2)


National Bank of Canada

c/o Putnam Lovell NBF Securities

65 East 55th Street

New York, NY 10022

   1,500,000    1.00 %   72,046.05    *

Nations Convertible Securities Fund

c/o Bank of America

590 Madison Avenue

NY5-506-36-01

New York, NY 10022

   2,990,000    1.99 %   143,611.79    *

Nuveen Preferred and Convertible

Fund JQC

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   7,850,000    5.23 %   377,041.00    *

Nuveen Preferred and Convertible Income

Fund JPC

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   5,875,000    3.92 %   282,180.36    *

OCLC Online Computer Library

Center Inc.

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   25,000    *     1,200.77    *

OCM Convertible Trust

c/o Oaktree Capital Management, LLC

333 S. Grand Ave., 28th Floor

Los Angeles, CA 90071

   270,000    *     12,968.29    *

OCM Global Convertible Securities Fund

c/o Oaktree Capital Management, LLC

333 S. Grand Ave., 28th Floor

Los Angeles, CA 90071

   30,000    *     1,440.92    *

Partner Reinsurance Company Ltd.

c/o Oaktree Capital Management, LLC

333 S. Grand Ave., 28th Floor

Los Angeles, CA 90071

   140,000    *     6,724.23    *

Prudential Insurance Co. of America

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   40,000    *     1,921.23    *


Name and Address


   Aggregate
Principal
Amount of
Notes that
may be Sold


   Percentage
of Notes
Outstanding


   

Number of
Shares of
Common
Stock that
may be

Sold(1)


   Percentage of
Shares of
Common Stock
Outstanding(2)


Qwest Occupation Health Trust

c/o Oaktree Capital Management, LLC

333 S. Grand Ave., 28th Floor

Los Angeles, CA 90071

   25,000    *     1,200.77    *

Ramius Master Fund, Ltd

c/o Ramius Capital Group LLC

666 Third Avenue, 26th Floor

New York, NY 10017

   1,850,000    1.23 %   8,856.80    *

RCG Latitude Master Fund, Ltd

c/o Ramius Capital Group LLC

666 Third Avenue, 26th Floor

New York, NY 10017

   1,850,000    1.23 %   8,856.80    *

Silverback Master, LTD

1414 Raleigh Road, Suite 250

Chapel Hill, NC 27517

   5,500,000    3.67 %   264,168.85    *

Southern Farm Bureau Life Insurance

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   385,000    *     18,491.82    *

State Employees’ Retirement Fund

of the State of Delaware

c/o Oaktree Capital Management, LLC

333 S. Grand Ave., 28th Floor

Los Angeles, CA 90071

   190,000    *     9,125.83    *

State of Oregon/Equity

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   2,200,000    1.47 %   105,667.54    *

Sunrise Partners Limited Partnership

c/o Paloma Partners Management Company

Two American Lane

Greenwich, CT 06836-2571

   8,280,000    5.52 %   397,694.20    *

Tenor Opportunity Master Fund Ltd.

65 East 55th Street

New York, NY 10022

   3,000,000    2.0 %   144,092.10    *


Name and Address


   Aggregate
Principal
Amount of
Notes that
may be Sold


   Percentage
of Notes
Outstanding


   

Number of
Shares of
Common
Stock that

may be

Sold(1)


   Percentage of
Shares of
Common Stock
Outstanding(2)


 

The St. Paul Travelers Companies, Inc. –

Commercial Lines

c/o Oaktree Capital Management, LLC

333 S. Grand Ave., 28th Floor

Los Angeles, CA 90071

   515,000    *     24,735.81    *  

St. Thomas Trading, Ltd.

c/o Marin Capital Partners, LP

101 Glacier Point Road, Suite D

San Rafael, CA 94901

   645,000    *     30,979.80    *  

Syngenta AG

c/o Froley Revy Investment Co.

10900 Wilshire Blvd. Ste 900

Los Angeles, CA 90024

   60,000    *     2,881.84    *  

UnumProvident Corporation

c/o Oaktree Capital Management, LLC

333 S. Grand Ave., 28th Floor

Los Angeles, CA 90071

   75,000    *     3,602.30    *  

Vanguard Convertible Securities

Fund, Inc.

c/o Oaktree Capital Management, LLC

333 S. Grand Ave., 28th Floor

Los Angeles, CA 90071

   5,150,000    3.43 %   247,358.11    *  

Xavex Convertible Arbitrage 5 Fund

c/o Ramius Capital Group LLC

666 Third Avenue, 26th Floor

New York, NY 10017

   300,000    *     14,409.21    *  

Subtotal

   89,186,000    59.46 %   4,283,666.01    7.53 %

All other holders of convertible notes or future transferees,

pledgees, donees, assignees or successors of any such holders

(3) (4)

   60,814,000    40.54 %   2,920,938.99    5.26 %

Total

   150,000,000    100 %   7,204,605.00    12.04 %

* Less than 1%
(1) Assumes conversion of all of the notes at a conversion rate of 48.0307 shares of common stock per $1,000 principal amount of notes. The conversion rate is subject to adjustment as described under “Description of the Notes – Conversion of Notes.” As a result, the number of shares of common stock issuable upon conversion of the notes may increase or decrease in the future.


(2) Calculated based in Rule 13d-3(d)1 under the Exchange Act, using 52,629,054 shares of common stock outstanding as of May 31, 2005. In calculating this amount for each holder or group, we treated as outstanding the number of shares of common stock issuable upon conversion of all of the notes owned by that holder or group, but we did not assume the conversion of notes owned by any other holder or group.
(3) Only selling holders identified above who beneficially own the convertible notes set forth opposite their names on the effective date of the registration statement of which this prospectus is a part may sell the convertible notes or shares of common stock issuable upon conversion of the convertible notes pursuant to the registration statement. Prior to any use of the prospectus in connection with the offering of convertible notes or common stock by any holder not identified above, this prospectus will be amended or supplemented as required by law to set forth the name and principal amount or number of securities to be offered.
(4) Assumes that any other holders of the convertible notes or any future pledges, donees, assignees, transferees or successors of or from any other such holders of the notes do not beneficially own any shares of common stock other than the common stock issuable upon conversion of the notes at the current conversion rate.
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