-----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, Q3zWSCHbf8KlLBWbKsGh2vH7b/qNzPGCT0AaT0AUjlKpsKGcdSmZaUSQJ1fLk6gp OjnTVrcska6O2vPlfsX2zA== 0000891618-97-004046.txt : 19971008 0000891618-97-004046.hdr.sgml : 19971008 ACCESSION NUMBER: 0000891618-97-004046 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971007 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: ADAPTEC INC CENTRAL INDEX KEY: 0000709804 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 942748530 STATE OF INCORPORATION: CA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 424B3 SEC ACT: SEC FILE NUMBER: 333-24557 FILM NUMBER: 97691770 BUSINESS ADDRESS: STREET 1: 691 S MILPITAS BLVD STREET 2: M/S25 CITY: MILPITAS STATE: CA ZIP: 95035 BUSINESS PHONE: 4089458600 MAIL ADDRESS: STREET 1: 691 SOUTH MILPITAS BLVD STREET 2: M/S25 CITY: MILPITAS STATE: CA ZIP: 95035 424B3 1 424(B)(3) 1 PROSPECTUS SUPPLEMENT DATED OCTOBER 1, 1997 (To Prospectus dated June 24, 1997) ADAPTEC, INC. U.S. $230,000,000 4 3/4% Convertible Subordinated Notes due February 1, 2004 and Shares of Common Stock Issuable Upon Conversion Thereof ----------------------- This Prospectus Supplement together, with the Prospectus, is to be used by certain holders of the above-referenced securities or by their transferees, pledgees, donees or their successors in connection with the offer and sale of the above referenced securities. 2 The table captioned "Selling Securityholders" commencing on page 52 of the Prospectus is hereby amended to reflect the following additions and changes.
NUMBER OF SHARES OF PRINCIPAL AMOUNT OF NOTES COMMON-STOCK-BENEFICIAL BENEFICIALLY-OWNED OWNED AND OFFERED SELLING SECURITYHOLDER AND OFFERED HEREBY HEREBY(1)(2) - ------------------------------------------------------ ------------------------- ----------------------- General Motors Investment Management Corp. (3)........ 7,000,000 135,501 NatWest Securities Corporation........................ 5,000,000 96,786 Bear Stearns & Co. (4) (5)............................ 747,000 14,459 Robertson Stephens & Co. L.L.P (4)(5)................. 500,000 9,678 Market Main & Co...................................... 100,000 1,935
(1) Includes shares of Common Stock issuable upon conversion of the Notes. (2) Assumes a conversion price of $51.66 per share, and a cash payment in lieu of any fractional share interest; such conversion price is subject to adjustment as described under "Description of Notes -- Conversion." Accordingly the number of shares of Common Stock issuable upon conversion of the Notes may increase or decrease from time to time. Under the terms of Indenture, fractional shares will not be issued upon conversion of the Notes; cash will be paid in lieu of fractional shares, if any. (3) Represents shares beneficially owned by various employee benefit plans of General Motors Corporation. The Selling Shareholder has agreed to sell $1,000,000 in aggregate principal amount of the Notes offered hereby to Goldman Sachs and Co. (4) Within the past three years, Bear Stearns & Co. and Robertson Stephens & Co., L.L.P. have acted as an underwriter of securities of the Company. (5) Represents additional Notes and Shares being registered by the Selling Shareholder. -2-
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