-----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, UthCZiVp5dlUG57JKxdYxbb5X/2ZfU9Gd5DyQv5FFNw+URM6rQh74Vamclk2S1rP Tk+NAfpSzW1iFbCZCIZSbg== 0000950144-98-005306.txt : 19980430 0000950144-98-005306.hdr.sgml : 19980430 ACCESSION NUMBER: 0000950144-98-005306 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980429 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AFFYMETRIX INC CENTRAL INDEX KEY: 0000913077 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 770319159 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-48829 FILM NUMBER: 98604410 BUSINESS ADDRESS: STREET 1: 3380 CENTRAL EXPRESSWAY CITY: SANTA CLARA STATE: CA ZIP: 95051 BUSINESS PHONE: 4085226000 MAIL ADDRESS: STREET 1: 3380 CENTRAL EXPRESSWAY CITY: SANTA CLARA STATE: CA ZIP: 95051 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WACHOVIA CORP/ NC CENTRAL INDEX KEY: 0000774203 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 561473727 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 100 N MAIN ST STREET 2: P O BOX 3099 CITY: WINSTON SALEM STATE: NC ZIP: 27150 BUSINESS PHONE: 9107705000 MAIL ADDRESS: STREET 1: 100 NORTH MAIN ST STREET 2: P O BOX 3099 CITY: WINSTON SALEM STATE: NC ZIP: 27150 FORMER COMPANY: FORMER CONFORMED NAME: FIRST WACHOVIA CORP DATE OF NAME CHANGE: 19910603 SC 13G 1 AFFYMETRIX INCORPORATED/WACHOVIA CORPORATION 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Amendment No. __ AFFYMETRIX, INCORPORATED SERIES AA PREFERRED CUSIP: 00826T207 April 27, 1998 Check the following box if a fee is being paid with this statement [ ] (1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Wachovia Corporation 56-1473727 - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) N/A (b) N/A - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Citizenship or Place of Organization North Carolina - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power --------------------------------------------------------- Beneficially (6) Shared Voting Power 1,634,522 --------------------------------------------------------- Owned by (7) Sole Dispositive Power --------------------------------------------------------- Each Reporting (8) Shared Dispositive Power --------------------------------------------------------- Person With - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 1,634,522 - -------------------------------------------------------------------------------- (10) Check if Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row 9 100% - -------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) HC - -------------------------------------------------------------------------------- 2 ITEM 1 (A) NAME OF ISSUER: See cover page. ITEM 1 (B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 3380 Central Expressway Santa Clara, California 95051 ITEM 2 (A) NAME OF PERSON FILING: A. See cover page. ITEM 2 (B) ADDRESS OF PRINCIPAL BUSINESS OFFICE: A. 100 North Main Street Winston-Salem, North Carolina 27150-3099 ITEM 2 (C) CITIZENSHIP: A. See cover page. ITEM 2 (D) TITLE OF CLASS OF SECURITIES: See cover page. ITEM 2 (E) CUSIP NUMBER: See cover page. ITEM 3 IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-3(B), CHECK WHETHER THE PERSON FILING IS A: (G) (X) PARENT HOLDING COMPANY, IN ACCORDANCE WITH 240.13D-1(B)(II)(G) (NOTE: SEE ITEM 7) ITEM 4 OWNERSHIP. IF THE PERCENT OF THE CLASS OWNED, AS OF DECEMBER 31 OF THE YEAR COVERED BY THE STATEMENT, OR AS OF THE LAST DAY OF ANY MONTH DESCRIBED IN RULE 13D-1 (B)(2), IF APPLICABLE, EXCEEDS FIVE PERCENT, PROVIDE THE FOLLOWING INFORMATION AS OF THAT DATE AND IDENTIFY THOSE SHARES WHICH THERE IS A RIGHT TO ACQUIRE. WACHOVIA CORPORATION (A) AMOUNT BENEFICIALLY OWNED: See cover page (B) PERCENT OF CLASS: See cover page (C) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: 3 (I) SOLE POWER TO VOTE OR TO DIRECT THE VOTE See cover page (II) SHARED POWER TO VOTE OR TO DIRECT THE VOTE See cover page (III) SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF See cover page (IV) SHARED POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF See cover page ITEM 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. N/A ITEM 6 OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. N/A ITEM 7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. The securities to which this report relates are held by Wachovia Bank, N.A. (IRS identification #56-0927594) as trustee. This filing should not be construed as an admission that the trustees or their parent, Wachovia Corporation, are, for the purposes of Section 13(d) or 13(g) of the Act, beneficial owners of any securities covered by this statement. 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 FOR THE PURPOSE OF AND DO NOT HAVE THE EFFECT OF CHANGING OR INFLUENCING THE CONTROL OF THE ISSUER OF SUCH SECURITIES AND WERE NOT ACQUIRED IN CONNECTION WITH OR AS A PARTICIPANT IN ANY TRANSACTION HAVING SUCH PURPOSES OR EFFECT. 4 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. DATE: April 27, 1998 FOR: Wachovia Corporation BY: /s/ Ricky B. Nicks ------------------------------------------ Attorney-in-Fact Ricky B. Nicks, Executive Vice President Wachovia Operational Services Corporation (Authorized by Wachovia Corporation under a limited power of attorney - copy attached). 5 LIMITED POWER OF ATTORNEY The undersigned, on behalf of Wachovia Corporation, hereby constitutes and appoints Ricky B. Nicks, Executive Vice President, Wachovia Operational Services Corporation, as attorney in fact to execute and cause to be filed from time to time with the United States Securities and Exchange Commission (the "Commission") in the name, place and stead of Wachovia Corporation, reports pursuant to Sections 13(d) and (g) of the Securities Exchange Act of 1934, as amended, and to the rules and regulations thereunder, as to beneficial ownership of securities. This power shall remain in force until revoked and may be relied upon by the Commission as being in force until it is notified in writing of such revocation. IN WITNESS WHEREOF, the undersigned has herewith set his hand on the 12th day of February, 1996. WACHOVIA CORPORATION By: /s/ L. M. Baker, Jr. ---------------------------------- L. M. Baker, Jr. President and Chief Executive Officer Attest: /s/ Alice Washington Grogan - ------------------------------- Secretary (Corporate Seal) STATE OF NORTH CAROLINA COUNTY OF FORSYTH On this 12th day of February, 1996, personally appeared before me the said named L. M. Baker, Jr., President and Chief Executive Officer of Wachovia Corporation, to me known and known to me to the the person described in and who executed the foregoing instrument and he acknowledged he executed the same and being duly sworn by me, made the oath that the statements in the foregoing instrument are true. My commission expires: October 23, 1999 /s/ Vickie M. Hampton - -------------------------- Notary Public (Official Seal) -----END PRIVACY-ENHANCED MESSAGE-----