-----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, PWQrTa7zixIQzuX74UK72tT1p8L7Iv6b63577k8nkLDaCRNfi+LDEWbFBkudy1Gm pU6qRntJJ9xkOxN2jMRO4g== 0000790070-01-000004.txt : 20010130 0000790070-01-000004.hdr.sgml : 20010130 ACCESSION NUMBER: 0000790070-01-000004 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010129 FILER: COMPANY DATA: COMPANY CONFORMED NAME: EMC CORP CENTRAL INDEX KEY: 0000790070 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER STORAGE DEVICES [3572] IRS NUMBER: 042680009 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 424B3 SEC ACT: SEC FILE NUMBER: 333-50112 FILM NUMBER: 1517786 BUSINESS ADDRESS: STREET 1: 35 PARKWOOD DR CITY: HOPKINTON STATE: MA ZIP: 01748-9103 BUSINESS PHONE: 5084351000 MAIL ADDRESS: STREET 1: 35 PARKWOOD DRIVE CITY: HOPKINTON STATE: MA ZIP: 01748-9103 424B3 1 0001.txt PROSPECTUS SUPPLEMENT Filed pursuant to Rule 424(b)(3) Registration Number 333-50112 PROSPECTUS SUPPLEMENT (To Prospectus dated November 16, 2000) EMC CORPORATION 3,495,064 Shares of Common Stock ______________________________ This document supplements our Prospectus dated November 16, 2000 relating to 3,495,064 shares of our Common Stock. This Prospectus Supplement is incorporated by reference into the Prospectus and should be read in conjunction with the Prospectus. The following table replaces the table of selling stockholders set forth on page 6 of the Prospectus with the new selling stockholder table set forth below, which information is as of the date of this Prospectus Supplement. Shares Beneficially Shares Beneficially Owned Owned and Ownership Selling and Ownership Percentage Shares Being Percentage After Stockholder Prior to Offering (1) Offered Offering(1) - ----------- ------------------------- ------------ ------------------- Timothy H. Williams(2) 1,628,022 1,628,022 0 Gordon Harris(2) 1,628,022 1,628,022 0 Stephen A. Rago(2) 162,801 (3) 32,560 130,241 (3) Dennis Haugh 1,302 1,302 0 Constance Frothingham 586 586 0 Jeffrey Helthall (2) 195,362 (4) 2,035 193,327 (4) Martin Horowitz 862 862 0 Merchant Capital, Inc. 66,233 (5) 66,233 0 (5) JT Venture Partners Alleppey Fund, L.P. 9,845 9,845 0 Schwartz Associates (6) 364 364 0 Jeff Feinberg (6) 55 55 0 David T. Foster (6) 91 91 0 Thomas D. Sargent (6) 182 182 0 Paul S. Goulekas (6) 182 182 0 Thomas A. and 273 273 0 Nancy A. Byrne (6) Joseph D. Sargent (6) 182 182 0 Ira and Karen Miller (6) 228 228 0 Chilton International, L.P. (6) 9,108 9,108 0 Louisa M. Ives (6) 364 364 0 Timothy Donmoyer (6) 12 12 0 Seth C. & Amy C. Miller (6) 273 273 0 Gary K. Ransom (6) 228 228 0 Mark F. Dalton (6) 456 456 0 James J. Pallotta (6) 46 46 0 Tudor Proprietary 546 546 0 Trading, L.L.C. (6) Robert Ripp (6) 46 46 0 Stephen P. Betz (6) 455 455 0 Karlin Holdings 9,108 9,108 0 Limited Partnership (6) Stratton Sclavos (6) 1,366 1,366 0 Suzanne L. Stefany (6) 46 46 0 Stephen R. Pivacek (6) 182 182 0 Jonathan A. Kraft (7) 1,092 1,092 0 Dickson Smith II (6) 146 146 0 Star Mountain Investors, 1,821 1,821 0 LLC (6) Jon Paul Newsome, Jr. (6) 182 182 0 Neil D. Campbell (6) 46 46 0 Penny Wise Partners (6) 109 109 0 Alan Henick (6) 46 46 0 Dr. Kirk Allen (6) 228 228 0 Timothy B. Atkeson By-Pass Trust (6) 45 45 0 John Ballen (6) 455 455 0 Michael G. Balog (6) 455 455 0 Peter Howe (6) 91 91 0 Courtney Hudson and Morris Orens (6) 9 9 0 Shaji John (6) 456 456 0 Wendell Laidley (6) 456 456 0 Caitlin Long (6) 910 910 0 Ashwath Nagaraj (6) 9 9 0 Saw Island Partners, 456 456 0 Fund #5 (6) Dr. Michael Schiffman (6) 182 182 0 Kishore Seshadri (6) 91 91 0 David E. Sette-Ducati (6) 91 91 0 Nick Thakore (6) 27 27 0 Thomas Thekkethala (6) 729 729 0 Meirav Chovav (6) 182 182 0 John Carroll (6) 182 182 0 David Caplan(6) 91 91 0 Venture Investment 53 53 0 Partners I, LLC (6) Jeffrey P. Barnett (8) 46 46 0 Bradley C. Bissell (8) 182 182 0 Robert V. Bolen (8) 46 46 0 Anuj l. Gupta (8) 46 46 0 Nicholas A. Halaby and 137 137 0 Corrigan Halaby (8) Sheldon Hanau (8) 182 182 0 James F. Hickman (8) 456 456 0 William Potter Hinkley (8) 46 46 0 Robert M. Hussey and 91 91 0 Christine I. Hussey (8) Amin Khadduri and 182 182 0 Robin Khadduri (8) Donald J. Kilbride (8) 91 91 0 Craig A. Kirby and Maureen 136 136 0 Ward Kirby (8) Karl Heny John 136 136 0 Koehler III (8) Kurt Wayne Koehler (8) 136 136 0 Douglas W. Mabie (8) 91 91 0 Ladd W. McQuade (8) 91 91 0 Robert R. Paglione (8) 91 91 0 Keith A. Piken (8) 91 91 0 John A. Stalfort, III (8) 46 46 0 Lou Tasiopoulos and 136 136 0 Michele Tasiopoulos (8) Alex Vitale (8) 182 182 0 Thomas Joseph Ward, 91 91 0 Jr. (8) Ross A. Williams (8) 91 91 0 John P. Williamson, 46 46 0 Jr. (8) Emulex Corporation 90,295 90,295 0 _______________ (1) Assumes that all of the shares held by each selling stockholder and being offered under this prospectus are sold, and that each selling stockholder does not acquire any additional shares of our common stock before the completion of this offering. Includes shares deposited in escrow to secure the indemnification obligations of the selling stockholders under the merger agreement. Ten percent (10%) of the shares of our common stock issued to each selling stockholder in connection with the merger was deposited in escrow. To the extent that any of the shares held in escrow are returned to us in satisfaction of the indemnification obligations, the total number of shares beneficially owned by these selling stockholders would be reduced according to their respective pro rata interests in the shares held in escrow that are returned to us. Timothy Williams and Gordon Harris have also agreed that they will not sell, transfer or otherwise dispose of any shares that they received in the merger until after we publish financial results covering at least thirty days of combined operations of EMC and CrosStor after the effective time of the merger. Each number of shares listed represents less than 1% of the aggregate issued and outstanding common stock of EMC. (2) Timothy Williams, Gordon Harris, Stephan Rago and Jeffrey Helthall became EMC employees immediately following the merger; Timothy Williams and Gordon Harris became Vice Presidents of EMC. (3) Includes 130,241 shares subject to currently exercisable options to acquire shares of our common stock. (4) Includes 193,327 shares subject to currently exercisable options to acquire shares of our common stock. (5) Merchant Capital, Inc. is a subsidiary of Credit Suisse First Boston. Credit Suisse First Boston beneficially owns approximately 1,781,553 shares of our common stock. (6) Represents a limited partner's interest in shares currently held by JT Venture Partners Alleppey Fund, L.P. (7) Represents 910 shares held by JT Venture Partners Alleppey Fund, L.P. of which Mr. Kraft is a limited partner and 182 shares held by New Ventures Investment Group, a limited partner of JT Venture Partners Alleppey Fund, L.P. of which Mr. Kraft is also a limited partner. (8) Represents a limited partner's interest in New Ventures Investment Group's interest in shares currently held by JT Venture Partners Allepey Fund, L.P. New Ventures Investment Group is a limited partner of JT Venture Partners Allepey Fund, L.P. The date of this Prospectus Supplement is January 29, 2001. -----END PRIVACY-ENHANCED MESSAGE-----