-----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, OUDyb8rLRlHGmnjD4bAl6mlo+T8gJ+2LwA5be0kfCWlnGBcie6J2gUcplOuppTA6 +281mSeUu9hbxve5zB8cOA== 0001072993-99-000311.txt : 19991118 0001072993-99-000311.hdr.sgml : 19991118 ACCESSION NUMBER: 0001072993-99-000311 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991117 FILER: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED MICRO CIRCUITS CORP CENTRAL INDEX KEY: 0000711065 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 942586591 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 424B3 SEC ACT: SEC FILE NUMBER: 333-76185 FILM NUMBER: 99759694 BUSINESS ADDRESS: STREET 1: 6290 SEQUENCE DR CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 6194509333 MAIL ADDRESS: STREET 1: 6290 SEQUENCE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 424B3 1 SUPPLEMENT TO PROSPECTUS Pursuant to Rule 424(b)(3) File No. 333-76185 SUPPLEMENT TO PROSPECTUS DATED APRIL 15, 1999 APPLIED MICRO CIRCUITS CORPORATION ____________________________________________ The Prospectus, dated April 15, 1999, as declared effective on April 16, 1999, is hereby supplemented as follows to restate, in its entirety, the "Selling Stockholders" section on pages 20-22 of the Prospectus. SELLING STOCKHOLDERS The following table sets forth certain information as of October 31, 1999 with respect to the selling stockholders. The following table assumes that the selling stockholders sell all of the shares offered by this prospectus. In addition, the following table shows the number of shares beneficially owned after taking into effect a two-for-one stock split declared effective as of September 2, 1999. We are unable to determine the exact number of shares that actually have been or will be sold. The number and percentage of shares beneficially owned is based on a total of 53,951,411 shares standing as of October 31, 1999 determined in accordance with Rule 13d-3 of the Exchange Act. The information is not necessarily indicative of beneficial ownership for any other purpose. Under Rule 13d-3, beneficial ownership includes any shares as to which an individual has sole or shares voting power or investment power, and also includes shares which an individual has the right to acquire within 60 days of October 31, 1999 through the exercise of any stock option or other right. Unless otherwise indicated in the footnotes, each person has sole voting and investment power (or shares such powers with his or her spouse) with respect to the shares shown as beneficially owned.
Shares Beneficially Shares Beneficially Owned Prior to the Owned After the Offering Offering (2) ------------------------- -------------------------- Selling Stockholders (1) Number Percent Shares Offered by Number Percent this Prospectus - --------------------------------------------------------------------------------------------------------------- Ramakrishna Sudireddy............ 643,872 1.2% 643,872 0 -- Gary Martin...................... 557,634 1.0% 557,634 0 -- Gururaj Deshpande................ 231,868 * 231,868 0 -- Charles Waite.................... 147,692 * 147,692 0 --
1. Shahrukh Merchant.................... 137,576 * 137,576 0 -- Christos Skalkos..................... 131,208 * 131,208 0 -- Steve Boulanger...................... 80,726 * 80,726 0 -- John LoMedico........................ 124,194 * 124,194 0 -- John Langevin........................ 32,802 * 32,802 0 -- David Aronoff........................ 11,908 * 11,908 0 -- Kurt Baty............................ 43,763 * 43,763 0 -- Prabhu Goel.......................... 59,640 * 59,640 0 -- Dennis Rainville..................... 11,928 * 11,928 0 -- Stephen Augusta...................... 50,348 * 50,348 0 -- Nick Barry........................... 1,590 * 1,590 0 -- Kathy L. Bechtel..................... 29,820 * 29,820 0 -- Ron Berry............................ 15,904 * 15,904 0 -- Tony Candage......................... 55,664 * 55,664 0 -- William Carrigan..................... 53,706 * 53,706 0 -- Mark Donovan......................... 47,712 * 47,712 0 -- Arthur Handras....................... 15,904 * 15,904 0 -- Jeffery Long......................... 13,426 * 13,426 0 -- Jahangir Nakra....................... 15,744 * 15,744 0 -- Diana Ng............................. 8,746 * 8,746 0 -- Sean Sweeney......................... 23,856 * 23,856 0 -- Robert MacCleod...................... 27,832 * 27,832 0 -- Judy Sundue.......................... 2,384 * 2,384 0 -- Henry F. McCance..................... 33,414 * 33,414 0 -- McCance 1996 Family Trust fbo Ellen Lee McCance non-exempt..... 29,756 * 29,756 0 --
2. Howard E. Cox, Jr.................... 59,518 * 59,518 0 -- David N. Strohm...................... 14,878 * 14,878 0 -- Mapache Investments L.P.............. 44,640 * 44,640 0 -- William W. Helman.................... 59,518 * 59,518 0 -- William S. Kaiser.................... 59,518 * 59,518 0 -- Roger L. Evans....................... 59,518 * 59,518 0 -- Charles M. Hazard, Jr................ 15,066 * 15,066 0 -- Mary H. Murphy....................... 1,504 * 1,504 0 -- Barbara P. Murray.................... 3,010 * 3,010 0 -- Clifford Partners.................... 16,620 * 16,620 0 -- Sherman Fairchild Foundation, Inc.... 19,936 * 19,936 0 -- Helen C. Alexander................... 2,880 * 2,880 0 -- Emory A. Hamilton.................... 2,880 * 2,880 0 -- John D. Alexander, Jr................ 2,880 * 2,880 0 -- Caroline R. Alexander................ 2,880 * 2,880 0 -- Henrietta A. George.................. 2,880 * 2,880 0 -- Dorothy A. Maiz...................... 2,880 * 2,880 0 -- Ashbourne Partners III, LP........... 17,678 * 17,678 0 -- Springcreek Corporation.............. 420 * 420 0 -- Key Trust Company of Ohio, N.A., Theodore T. Jones and Latham W. Marley, III, Trustees Trust f/b/o Alison C. Jones u/a established by Edith W. Corning dtd 7/25/46 as amended................... 12,562 * 12,562 0 --
3. Key Trust Company of Ohio, N.A., Edson Spencer, Jr. and David Warshawsky, Trustees Trust f/b/o Samuel D. Long u/a established by Edith W. Corning dtd 7/25/46 as amended................... 6,186 * 6,186 0 -- Key Trust Company of Ohio, N.A., Edson Spencer, Jr. and David Warshawsky, Trustees Trust f/b/o Maud-Alison Long u/a established by Edith W. Corning dtd 7/25/46 as amended................... 6,186 * 6,186 0 -- Key Trust Company of Ohio, N.A., Edson Spencer, Jr. and David Warshawsky, Trustees Trust f/b/o Henry H. Corning u/a established by Edith W. Corning dtd 7/25/46 as amended................... 13,746 * 13,746 0 -- Key Trust Company of Ohio, N.A., James Bastian, Peter W. Nordell, Trustees Alison C. Jones Posterity... 1,394 * 1,394 0 -- Henry H. Corning, Trustee Ellen Long Family Trust.............. 1,374 * 1,374 0 -- Dartmouth College.................... 31,908 * 31,908 0 -- Field Venture Partners............... 66,472 * 66,472 0 -- Gothic Corporation................... 95,710 * 95,710 0 -- Poduska Family Limited Partnership TLP.................................. 2,662 * 2,662 0 -- Michael J. Birck..................... 1,596 * 1,596 0 -- Robert E. Cook....................... 2,662 * 2,662 0 -- The Northern Trust Company,Trustee The Daisy Trust...................... 2,662 * 2,662 0 -- Gabriel Schmergel.................... 2,662 * 2,662 0 -- Thomas H. Bruggere................... 1,328 * 1,328 0 -- John W. Brown Trust.................. 2,126 * 2,126 0 --
4. Saturn & Co., Nominee for Grossman Family Partnership................... 2,126 * 2,126 0 -- Peter Preuss......................... 2,662 * 2,662 0 -- William C. O'Neil, Jr................ 1,328 * 1,328 0 -- Curt A. Rawley....................... 1,328 * 1,328 0 -- William J. Warner.................... 2,126 * 2,126 0 -- John M. Connolly..................... 534 * 534 0 -- Mone Anathan, III.................... 2,662 * 2,662 0 -- Samuel J. Gerson..................... 2,662 * 2,662 0 -- Douglas P. Colbeth................... 1,328 * 1,328 0 -- David C. Mahoney..................... 1,328 * 1,328 0 -- Tadeusz Witkowicz.................... 2,662 * 2,662 0 -- James A. Perakis..................... 1,596 * 1,596 0 -- Joshua Boger......................... 1,328 * 1,328 0 -- Malcolm L. Gefter.................... 1,328 * 1,328 0 -- Dirk I. Gates........................ 1,328 * 1,328 0 -- Safi U. Qureshey, Trustee Safi U. Qureshey Family Turst dtd 5/21/84.............................. 1,328 * 1,328 0 -- Goel Family Partnership.............. 2,662 * 2,662 0 -- William M. Gibson.................... 1,328 * 1,328 0 -- Alexander V. d'Arbeloff.............. 1,278 * 1,278 0 -- Irwin F. Smith....................... 2,662 * 2,662 0 -- Borra Investment Partners L.P........ 1,328 * 1,328 0 -- Louis & Jolene Cole 1988 Rev Trust dtd 11/7/88.......................... 1,328 * 1,328 0 -- Gary B. Eichhorn..................... 1,328 * 1,328 0 --
5. Morleza Ejabat....................... 1,328 * 1,328 0 -- Shikhar Ghosh........................ 1,328 * 1,328 0 -- David K. Gifford..................... 1,328 * 1,328 0 -- Steven & Florence Goldby Trust....... 1,328 * 1,328 0 -- Robert M. Halperin................... 1,328 * 1,328 0 -- Frank A. Ingari...................... 1,328 * 1,328 0 -- D. R. L. Jones....................... 1,328 * 1,328 0 -- Thomas D. & Deanna L. Jones, Trustees of Jones 1995 Family Trust 8/24/95.............................. 1,328 * 1,328 0 -- Peter J. Kight....................... 1,328 * 1,328 0 -- Tim Krauskopf........................ 1,066 * 1,066 0 -- Eric S. Lander....................... 1,328 * 1,328 0 -- John B. Landry....................... 1,328 * 1,328 0 -- Mark J. Levin........................ 1,328 * 1,328 0 -- Joseph A. Liemandt................... 534 * 534 0 -- Shaun M. McConnon.................... 1,328 * 1,328 0 -- Miller Family Partnership LP......... 6,382 * 6,382 0 -- Brian D. Owen........................ 534 * 534 0 -- Marcia J. Radosevich................. 1,328 * 1,328 0 -- Jonathan Reeves...................... 1,328 * 1,328 0 -- Robert J. Ryan....................... 1,328 * 1,328 0 -- Carols A. Saladrigas................. 1,328 * 1,328 0 -- Jose M. Sanchez...................... 1,328 * 1,328 0 -- Amit Shah............................ 534 * 534 0 -- Martin J. Sprinzen................... 1,328 * 1,328 0 --
6. Robert A. Steinkrauss................ 1,328 * 1,328 0 -- Michael F. Tyrrell................... 1,328 * 1,328 0 -- Robert A. Lawrence................... 530 * 530 0 -- Hill and Company..................... 15,558 * 15,558 0 -- Neil L. Thompson..................... 532 * 532 0 -- Barr Foundation...................... 42,540 * 42,540 0 -- Freschette Fund, Inc................. 25,264 * 25,264 0 -- PCW Fund, Inc........................ 10,638 * 10,638 0 -- Scaup & Co........................... 658 * 658 0 -- Thomas W. Keesee, Jr................. 5,314 * 5,314 0 -- Freya Fanning & Co., Nominee Edward H. Ladd, Trustee u/a/d 12/15/78............................. 11,034 * 11,034 0 -- A. A. Welsh & Co..................... 50,672 * 50,672 0 -- Atwell & Co.......................... 510 * 510 0 -- Massachusetts Institute of Technology 95,710 * 95,710 0 -- Fleet National Bank, Trustee Orchard Trust U/A/D/ 5/1/73.......... 5,314 * 5,314 0 -- Harvard Private Capital Holdings, Inc.................................. 95,710 * 95,710 0 -- Polk-Lillard Limited Partnership John S. Lillard Trust 12/31/70....... 6,380 * 6,380 0 -- Lillard Investment Trust............. 2,128 * 2,128 0 -- Lillard Partners..................... 10,636 * 10,636 0 -- Louis F. Polk, Jr. Trustee of Louis F. Polk, Sr. Rev Trust dtd 1/22/69... 19,604 * 19,604 0 -- Louis F. Polk, Jr. Marital Trust..... 8,510 * 8,510 0 --
7. Louis F. Polk, Jr. IRRV Grandchildren TST.................... 4,252 * 4,252 0 -- Polk Family Partnership.............. 10,636 * 10,636 0 -- Board of Trustees of the Leland Stanford Junior University........... 95,710 * 95,710 0 -- Standish Ventures III L.P............ 9,306 * 9,306 0 -- Julia L. Thorne Trust u/a 9/29/65 Edwin Thorne, Sole Trustee........... 15,950 * 15,950 0 -- Edwin Thorne......................... 2,654 * 2,654 0 -- Edwin Thorne, Jr..................... 2,130 * 2,130 0 -- Gordon G. Thorne..................... 3,068 * 3,068 0 -- Gordon Thorne's Alaska Trust......... 338 * 338 0 -- Brinkley S. Thorne................... 3,832 * 3,832 0 -- Deep Powder Trust.................... 424 * 424 0 -- Snowball Trust....................... 4,256 * 4,256 0 -- Wink Thorne.......................... 1,064 * 1,064 0 -- Jennifer Hislop...................... 424 * 424 0 -- Benjamin Thorne...................... 424 * 424 0 -- Brooks Walker, Jr. Trustee M.K. Walker Trust dtd 9/1/89......... 5,314 * 5,314 0 -- Brooks Walker Jr. TTEE Brooks Walker Jr. Rev. Tr u/a/d 6/24/96.............................. 5,336 * 5,336 0 -- Wellington S. Henderson, Trustee Wellington S. Henderson, Jr. Rev. Trust dtd 3/9/93................ 1,062 * 1,062 0 -- Harriett W. Henderson Trust u/a/dtd August 14, 1973 FBO of Charles C. Henderson................. 530 * 530 0 --
8. Brooks Walker III, Trustee Walker Trust dtd 12/24/74 fbo Kirby Walker..................... 1,770 * 1,770 0 -- Brooks Walker III, Trustee Walker Trust dtd 12/24/74 fbo Leslie Walker.................... 1,770 * 1,770 0 -- Brooks Walker III, Trustee Walker Trust dtd 12/24/74............ 1,770 * 1,770 0 -- Harriett W. Henderson Trust u/a/d August 14, 1973 FBO James A. Henderson................... 530 * 530 0 -- Harriet W. Henderson Trust u/a/dtd August 14, 1973 FBO of Joan H. Henderson.................... 530 * 530 0 -- Harriet W. Henderson Trust u/a/dtd August 14, 1973 FBO of Elena D. Henderson................... 530 * 530 0 -- Harriet W. Henderson Trust u/a/dtd August 14, 1973 FBO of Mark W. Henderson.................... 530 * 530 0 -- Freya Fanning & Co., as Nominee for David Ayer........................... 138 * 138 0 -- Susanna B. Place, Trustee SMBP Trust u/a/d 2/28/85............. 1,362 * 1,362 0 -- Freya Fanning & Co., as Nominee for Essex LP IX.......................... 53,700 * 53,700 0 -- SeaFed L.P........................... 932 * 932 0 -- David E. Place....................... 1,362 * 1,362 0 -- Richard M. Place, Daniel S. Gregory and Richard N. Hoehn Trustees u/i Place/Greylock Trust dated as of 12/27/1978........................... 2,596 * 2,596 0 -- Thomas J. Watson, III................ 5,318 * 5,318 0 -- Daniel Moseley, Trustee u/a Blodgett 1989 Family Trust........... 1,648 * 1,648 0 --
9. Helen W. Blodgett 1983 Trust......... 1,274 * 1,274 0 -- Miriam A. Gilpatric.................. 3,320 * 3,320 0 -- John B. Jessup, Trustee Julia Thorne 1965 Trust 9/29/65...... 6,650 * 6,650 0 -- Morgan Guaranty Trust f/b/o J. Stetson dated 5/29/57............. 1,330 * 1,330 0 -- Yale University...................... 95,710 * 95,710 0 -- McCance Family Limited Partnership.......................... 2,658 * 2,658 0 -- Henry F. McCance, Alison J. McCance & Keith S. Jennings u/i dtd 12/22/93 Trustees of McCance Family Trust f/b/o Ellen Lee McCance.............. 1,064 * 1,064 0 -- Henry F. McCance, Alison J. McCance & Keith S. Jennings u/I dtd 12/22/93 Trustees of McCance Family Trust f/b/o Elizabeth Ferguson McCance..... 1,064 * 1,064 0 -- Thomas McCance, Jr. & Keith S. Jennings Trustees u/a Ellen L. McCance Tr 11/26/97..... 1,596 * 1,596 0 -- Elizabeth McCance.................... 1,596 * 1,596 0 -- William S. Kaiser.................... 2,658 * 2,658 0 -- Arthur Hughes, Trustee u/i/d 2/2/94 Helman Children's Trust fbo William Wilson Helman V.......... 532 * 532 0 -- Robert N. Shapiro, Trustee Henderson Family 1996 Trust for Children & More Remote Issue......... 2,658 * 2,658 0 -- Charles P. and Angela Waite.......... 1,328 * 1,328 0 -- William Elfers....................... 2,658 * 2,658 0 -- Roger L. Evans....................... 20,736 * 20,736 0 --
10. Stephen Bochner, Trustee of Evans Children's Trust u/a/d 12/20/93............................. 532 * 532 0 -- Arthur Hughes, Trustee u/i/d 2/2/94 Helman Children's Trust fbo Beatrice Page Helman............. 532 * 532 0 -- Charles M. Hazard, Jr................ 212 * 212 0 -- The Hazard Family Trust fbo Whitney Keene Hazard, Katherine Hazard Flynn, TTEE.......................... 320 * 320 0 -- The Hazard Family Trust fbo C. Michael Hazard III, Katherine Hazard Flynn, TTEE................... 320 * 320 0 -- William W. Helman.................... 1,596 * 1,596 0 -- Matrix V Management Co., L.L.C....... 354,130 * 354,130 0 -- Trustees of Amherst College.......... 12,694 * 12,694 0 -- Bechtle Revocable Trust.............. 3,626 * 3,626 0 -- Friedrich Bechtle.................... 3,626 * 3,626 0 -- Berea College........................ 21,764 * 21,764 0 -- Brinson Trust Company as Trustee of Brinson Partnership Fund Trust - 1997 Primary Fund.................... 21,764 * 21,764 0 -- Evangelical Lutheran Church in American Board of Pensions........... 1,452 * 1,452 0 -- Morgan Stanley Trust Company as Custodian to Brinson Partnership Fund - 1997 Primary Fund, L.P........ 10,156 * 10,156 0 -- State Street Bank & Trust Company as Custodian for EDS Retirement Plan Trust................................ 32,644 * 32,644 0 -- State Street Bank & Trust Company as Custodian for Orange County Employees Retirement System.......... 10,882 * 10,882 0 --
11. State Universities Retirement System..... 26,840 * 26,840 0 -- The 1996 Brinson Partnership Fund Offshore Series Company Ltd.............. 5,802 * 5,802 0 -- Virginia Retirement System............... 81,246 * 81,246 0 -- The Church Pension Fund.................. 90,676 * 90,676 0 -- Crossroads 1997 Asset Allocation I, L.P...................................... 14,510 * 14,510 0 -- Crossroads 1997 Asset Allocation II, L.P...................................... 13,782 * 13,782 0 -- Crossroads Venture Capital I, L.P........ 7,254 * 7,254 0 -- Crossroads 1997 Venture Capital Programme I, L.P......................... 11,606 * 11,606 0 -- Trustees of Dartmouth College............ 29,014 * 29,014 0 -- Employees' Retirement Plan of Duke University............................... 10,882 * 10,882 0 -- Gothic Corporation....................... 54,406 * 54,406 0 -- Marco F. Hellman Trust "B"............... 5,440 * 5,440 0 -- FWH Associates........................... 5,440 * 5,440 0 -- Phemus Corporation....................... 90,676 * 90,676 0 -- HB-PGGM Fund II, L.P..................... 29,014 * 29,014 0 -- Horsley Bridge Fund V, L.P............... 148,708 * 148,708 0 -- The Andrew W. Mellon Foundation.......... 72,542 * 72,542 0 -- Meridian International Investments Limited.................................. 21,764 * 21,764 0 -- The Regents of the University of Michigan................................. 47,150 * 47,150 0 -- Massachusetts Institute of Technology.... 45,338 * 45,338 0 -- Massachusetts Institute of Technology Retirement Plan............... 45,338 * 45,338 0 --
12. Bankers Trust Company as Custodian for New Mexico State Investment Council 15,958 * 15,958 0 -- Kale & Co. A/C JD85 72,542 * 72,542 0 -- Williams College 12,694 12,694 0 -- Matrix V Entrepreneurs Fund, L.P. 159,040 * 159,040 0 --
_______________________ *Less than 1% (1) This table is based upon information supplied to us by the selling stockholders. (2) Assumes the sale of all of the shares that may be offered for resale for the account of the selling stockholders pursuant to this prospectus. Except as described below, none of the selling stockholders in the above table has had any material relationship, other than as an employee or consultant, with us or any of our predecessors or affiliates within the last three years: . Prior to the merger of Cimaron Communications Corporation with Applied Micro Circuits Corporation, pursuant to which Cimaron became our wholly- owned subsidiary, the following selling stockholders had the following material relationships with Cimaron: . Ramakrishna Sudireddy, President and Chief Executive Officer, Director; . Gary Martin, Vice President and Chief Technical Officer, Director; . Charles Waite, Vice President of Operations; . Steve Boulanger, Vice President and Chief Financial Officer; . John LoMedico, Vice President of Sales and Marketing; . Gururaj Deshpande, Director; and . Matrix Partners V, L.P. and Matrix V Entrepreneurs Fund, L.P., owned more than 10% of the outstanding stock of Cimaron and Timothy Barrows, a general partner of both Matrix partnerships, was a director of Cimaron. Following the merger, Mr. Sudireddy became the Vice President, Cimaron and Mr. Martin became the Vice President and Chief Technical Officer, Cimaron. The date of this Prospectus Supplement is November 17, 1999. 13. -----END PRIVACY-ENHANCED MESSAGE-----