-----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, SoyI4mgCha9q8lrdR8utTBijpZdf4DlmevWRh1W19Kfho/cSuALOtBLuc5TeX+YB WSXUpP+YtOpnXgvtAerfgA== 0001047469-97-008115.txt : 19971218 0001047469-97-008115.hdr.sgml : 19971218 ACCESSION NUMBER: 0001047469-97-008115 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971217 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRIKON TECHNOLOGIES INC CENTRAL INDEX KEY: 0000868326 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 954054321 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-45401 FILM NUMBER: 97740027 BUSINESS ADDRESS: STREET 1: 9255 DEERING AVE STREET 2: 222 W. ORANGE GROVE AVE CITY: CHATSWORTH STATE: CA ZIP: 91311 MAIL ADDRESS: STREET 1: 9255 DEERING AVENUE STREET 2: 9255 DEERING AVENUE CITY: SACHATSWORTH STATE: CA ZIP: 91311 FORMER COMPANY: FORMER CONFORMED NAME: PLASMA & MATERIALS TECHNOLOGIES INC DATE OF NAME CHANGE: 19950713 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRAVELERS GROUP INC CENTRAL INDEX KEY: 0000831001 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 521568099 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 388 GREENWICH ST STREET 2: LEGAL DEPT 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10013 BUSINESS PHONE: 2128168000 MAIL ADDRESS: STREET 1: 388 GREENWICH ST STREET 2: LEGAL DEPT 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10013 FORMER COMPANY: FORMER CONFORMED NAME: TRAVELERS INC DATE OF NAME CHANGE: 19940103 FORMER COMPANY: FORMER CONFORMED NAME: PRIMERICA CORP /NEW/ DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: COMMERCIAL CREDIT GROUP INC DATE OF NAME CHANGE: 19890102 SC 13D 1 SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------------------- SCHEDULE 13D (RULE 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (Amendment No. )* Trikon Technologies, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 896187101 (CUSIP Number) Stephanie B. Mudick Deputy General Counsel Travelers Group Inc. 388 Greenwich Street New York, New York 10013 (212) 816-8000 (Name, address and telephone number of person authorized to receive notices and communications) November 28, 1997 (Date of event which requires filing of this statement) --------------------- If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box / /. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. (Continued on following pages) - ------------------------ * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 26
CUSIP NO. 896187101 13D PAGE 2 OF 26 PAGES - -------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) TRAVELERS GROUP INC., 52-1568099 - -------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS 00 - -------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - -------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER 0 SHARES BENEFICIALLY 8 SHARED VOTING POWER 1,093,280 OWNED BY EACH 9 SOLE DISPOSITIVE POWER 0 REPORTING PERSON WITH 10 SHARED DISPOSITIVE POWER 1,093,280 - -------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,093,280 - -------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.7% - -------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* HC - --------------------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT ITEM 1. SECURITY AND ISSUER. ------------------- This statement on Schedule 13D is being filed with respect to the Common Stock, no par value (the "Common Stock"), of Trikon Technologies, Inc., a California corporation (the "Issuer"), which has its principal executive office at 9255 Deering Avenue, Chatsworth, California 91311. ITEM 2. IDENTITY AND BACKGROUND. ----------------------- (a), (b), (c) and (f) This Statement on Schedule 13D is being filed by Travelers Group Inc., a Delaware corporation ("TRV"). All of the Common Stock reported herein is directly beneficially owned by subsidiaries of TRV. The principal executive offices of TRV are located, and the principal business is conducted, at 388 Greenwich Street, New York, New York 10013. TRV is a diversified financial services company engaged, through its subsidiaries, in investment and asset management services, consumer finance services and life and property-casualty insurance services. The names, citizenship, business addresses and principal occupations or employments of each of the executive officers and directors of TRV are set forth in Annex A, which is incorporated herein by reference. (d) and (e) Except as set forth or incorporated by reference herein, during the last five years, none of TRV or, to the best knowledge of TRV, any of the persons listed in Annex A hereto, has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to any material judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. ------------------------------------------------- The source of funds for the purchases of the shares of Common Stock and Convertible Notes (as defined in Item 5 herein) was working capital of the TRV subsidiaries which purchased the subject securities. The aggregate purchase prices of shares of Common Stock and Convertible Notes are shown on Annex B hereto, which is incorporated herein by reference. Page 3 of 26 Pages ITEM 4. PURPOSE OF TRANSACTION. ---------------------- A portion of the shares of Common Stock and Convertible Notes (as defined in Item 5 herein) reported herein were purchased by a subsidiary of TRV as part of a special situations investment. The remainder of the shares of Common Stock and Convertible Notes reported herein were purchased by a subsidiary of TRV in connection with market making activities. Subsidiaries of TRV review their respective holdings of Issuer securities on a continuing basis. Depending on such evaluations of the Issuer's business and prospects, and upon future developments (including, but not limited to, market prices of the Common Stock and Convertible Notes and availability and alternative uses of funds; as well as conditions in the securities markets and general economic and industry conditions), each subsidiary may acquire other securities of the Issuer or sell all or a portion of its Common Stock or Convertible Notes or other securities of the Issuer, now owned or hereafter acquired. Except as otherwise described herein, none of TRV or, to the best knowledge of TRV, any of the persons listed in Annex A hereto, has any plans or proposals relating to or which would result in any of the transactions described in Items 4 (a)-(j) of Schedule 13D. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. ------------------------------------ (a) and (b) TRV is reporting on behalf of subsidiaries whose individual percentages of beneficial ownership do not exceed 5%. TRV may be deemed to share voting and dispositive power with respect to shares of Common Stock directly beneficially owned by its subsidiaries and may be deemed to have an indirect beneficial interest in such shares. Accordingly, TRV is the only entity whose indirect beneficial ownership on an aggregate basis exceeds 5%. As of the date hereof, TRV may be deemed to beneficially own 1,093,280 shares of Common Stock, which includes 14,290 shares of Common Stock and 1,078,990 shares of Common Stock issuable upon conversion of 16,870,000 7.125% Convertible Notes due 10/15/01 (the "Convertible Notes"). 1,093,280 shares of Common Stock represents 6.7% of the outstanding shares of Common Stock (based on 16,197,158 shares of Common Stock outstanding, which is the sum of the 15,118,168 shares of Common Stock outstanding as of September 30, 1997, as reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ended September 30, 1997, and the 1,078,990 shares that would be issued upon conversion of the Convertible Notes). Additionally, a subsidiary of TRV holds a short position of 72,100 shares of Common Stock. Except as set forth or incorporated by reference herein, none of TRV or, to the best knowledge of TRV, the persons listed in Annex A hereto, beneficially owned any Common Stock or Convertible Notes on November 28, 1997. Page 4 of 26 Pages (c) The dates, number of shares and prices per share for all purchases and sales of Common Stock and Convertible Notes by subsidiaries of TRV from September 29, 1997 through the date hereof are shown on Annex B hereto, which is incorporated herein by reference. All such purchases and sales of Common Stock and Convertible Notes were effected in the over-the-counter market. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR ------------------------------------------ RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. ------------------------------------------------------ None of TRV or, to the best knowledge of TRV, the persons listed in Annex A hereto, has any contracts, arrangements, understandings or relationships (legal or otherwise) with any person with respect to securities of the Issuer. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. -------------------------------- None. Page 5 of 26 Pages ANNEXES ------- A. Executive Officers and Directors of Travelers Group Inc. B. Description of Purchases and Sales of shares of Common Stock and Convertible Notes by subsidiaries of TRV from September 29, 1997 through the date hereof. Page 6 of 26 Pages SIGNATURE --------- After reasonable inquiry and to the best of its knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. December 16, 1997 TRAVELERS GROUP INC. BY: /s/ Stephanie B. Mudick ---------------------------------- NAME: Stephanie B. Mudick TITLE: Assistant Secretary Page 7 of 26 Pages December 1997 ANNEX A EXECUTIVE OFFICERS AND DIRECTORS OF ----------------------------------- TRAVELERS GROUP INC. --------------------
NAME, TITLE AND CITIZENSHIP PRINCIPAL OCCUPATION AND BUSINESS ADDRESS - --------------------------- ----------------------------------------- C. Michael Armstrong Chairman & Chief Executive Officer Director (USA) AT&T Corp. 295 North Maple Avenue Basking Ridge, New Jersey 07920 Judith Arron Executive Director Director (USA) Carnegie Hall Corporation 8811 Seventh Avenue New York, New York 10019 Kenneth J. Bialkin Partner Director (USA) Skadden, Arps, Slate, Meagher & Flom LLP 919 Third Avenue New York, New York 10022 Edward H. Budd Retired Chairman Director (USA) Travelers Insurance Companies One Tower Square Hartford, Connecticut 06183 Joseph A. Califano, Jr. Chairman & Chief Executive Officer Director (USA) The Center on Addiction & Substance Abuse at Columbia University 152 West 57th Street New York, New York 10019 Douglas D. Danforth Executive Associates Director (USA) One PPG Place Suite 2210 Pittsburgh, Pennsylvania 15222 James Dimon President & Chief Operating Officer Director & Executive Travelers Group Inc. Officer (USA) 388 Greenwich Street New York, New York 10013
Page 8 of 26 Pages
Leslie B. Disharoon Former Chairman, President & Chief Director (USA) Executive Officer Monumental Corporation 2 Chittenden Lane Owings Mills, Maryland 21117 The Honorable Gerald R. Ford Former President of the United States Director (USA) Post Office Box 927 Rancho Mirage, California 92270 Thomas W. Jones Vice Chairman Director & Executive Officer Travelers Group Inc. (USA) 388 Greenwich Street New York, New York 10013 Ann Dibble Jordan Consultant Director (USA) Former Director of Social Services, University of Chicago Medical Center 4610 Kenmore Drive, NW Washington, DC 20007 Robert I. Lipp Vice Chairman Director & Executive Travelers Group Inc. Officer (USA) 388 Greenwich Street New York, New York 10013 Michael T. Masin Vice Chairman & President - International Director (USA) GTE Corporation One Stamford Forum Stamford, Connecticut 06904 Deryck C. Maughan Vice Chairman Director (Great Britain) Travelers Group Inc. 388 Greenwich Street New York, New York 10013 Dudley C. Mecum Managing Director Director (USA) Capricorn Management 30 East Elm Street Greenwich, Connecticut 06830
Page 9 of 26 Pages
Andrall E. Pearson Chairman & Chief Executive Officer Director (USA) Tricon Global Restaurants, Inc. 660 Steamboat Road Greenwich, Connecticut 06830 Frank J. Tasco Retired Chairman Director (USA) Marsh & McLennan Companies, Inc. 1166 Avenue of the Americas New York, New York 10036 Linda J. Wachner Chairman, President & Chief Executive Officer Director (USA) Warnaco Group Inc. 90 Park Avenue New York, New York 10016 Sanford I. Weill Chairman & Chief Executive Officer Director & Executive Officer Travelers Group Inc. (USA) 388 Greenwich Street New York, New York 10013 Joseph R. Wright, Jr. Chairman & Chief Executive Officer Director (USA) AMTEC, Inc. 599 Lexington Avenue New York, New York 10022-6030 Arthur Zankel Co-Managing Partner Director (USA) First Manhattan Company 437 Madison Avenue New York, New York 10022 Steven D. Black Vice Chairman & Chief Operating Officer Executive Officer (USA) Smith Barney Inc. 388 Greenwich Street New York, New York 10013 Michael A. Carpenter Executive Vice President Executive Officer (USA) Travelers Group Inc. One Tower Square Hartford, Connecticut 06183
Page 10 of 26 Pages
Charles J. Clarke Chairman & Chief Executive Officer-- Executive Officer (USA) Commercial Lines Travelers Property Casualty Corp. One Tower Square Hartford, Connecticut 06183 Donald R. Cooper Chairman Executive Officer (USA) Resource Deployment Inc. 307 West 7th Street Fort Worth, Texas 76102 Peter M. Dawkins Chairman & Chief Executive Officer Executive Officer (USA) Travelers Group Diversified Distribution Services, Inc. 388 Greenwich Street New York, New York 10013 Irwin Ettinger Executive Vice President Executive Officer (USA) Travelers Group Inc. 388 Greenwich Street New York, New York 10013 Jay S. Fishman Senior Vice President Executive Officer (USA) Travelers Group Inc. 388 Greenwich Street New York, New York 10013 Jeffrey B. Lane Vice Chairman Executive Officer (USA) Travelers Group Inc. 388 Greenwich Street New York, New York 10013 Jon C. Madonna Vice Chairman Executive Officer (USA) Travelers Group Inc. 388 Greenwich Street New York, New York 10013 Marjorie Magner President & Chief Operating Officer Executive Officer (USA) Commercial Credit Company 300 St. Paul Place Baltimore, Maryland 21202 Heidi G. Miller Senior Vice President & Chief Financial Officer Executive Officer (USA) Travelers Group Inc. 388 Greenwich Street New York, New York 10013
Page 11 of 26 Pages
Joseph J. Plumeri II Vice Chairman Executive Officer (USA) Travelers Group Inc. 388 Greenwich Street New York, New York 10013 Charles O. Prince, III Executive Vice President, General Executive Officer (USA) Counsel & Secretary Travelers Group Inc. 388 Greenwich Street New York, New York 10013 Marc P. Weill Senior Vice President Executive Officer (USA) Travelers Group Inc. 388 Greenwich Street New York, New York 10013 Robert B. Willumstad Chairman & Chief Executive Officer Executive Officer (USA) Commercial Credit Company 300 St. Paul Place Baltimore, Maryland 21202
Page 12 of 26 Pages ANNEX B Set forth below are the purchases and sales of shares of Common Stock by subsidiaries of TRV from September 29, 1997 through the date hereof. The following purchases and sales were made in connection with market making activities.
NUMBER OF NUMBER OF TRADE DATE SHARES PURCHASED SHARES SOLD PRICE PER SHARE - ----------- ----------------- ----------- ----------------- 10/06/97 1,000 $ 8.50 500 $ 8.50 500 $ 8.25 800 $ 8.25 200 $ 8.38 10/07/97 300 $ 9.00 200 $ 9.00 1,000 $ 9.00 1,500 $ 9.00 1,000 $ 8.88 800 $ 9.00 300 $ 9.00 10/08/97 17,600 $ 8.90 1,000 $ 9.00 100 $ 8.81 10/09/97 1,000 $ 6.13 3,500 $ 6.00 200 $ 6.13 17,600 $ 8.89 10,000 $ 6.25 10,000 $ 6.00 2,000 $ 6.25 3,000 $ 6.25 1,000 $ 6.13 1,000 $ 6.13 10,000 $ 6.25 200 $ 6.13 500 $ 6.03 700 $ 5.94 7,500 $ 6.03 1,000 $ 6.00 1,000 $ 6.13 1,000 $ 6.13 2,000 $ 6.13 800 $ 6.03
Page 13 of 26 Pages 600 $ 6.13 5,000 $ 6.25 1,600 $ 6.13 2,000 $ 6.00 1,000 $ 6.00 300 $ 6.13 1,000 $ 6.00 2,000 $ 6.00 10/10/97 1,500 $ 5.88 200 $ 6.25 144 $ 6.25 1,500 $ 6.00 2,000 $ 6.06 1,000 $ 6.00 1,000 $ 5.88 400 $ 5.81 250 $ 6.06 800 $ 6.19 1,500 $ 6.06 300 $ 6.25 300 $ 6.25 2,500 $ 6.00 300 $ 6.06 1,000 $ 5.75 2,000 $ 5.50 4,000 $ 5.75 2,000 $ 6.13 500 $ 5.00 500 $ 5.00 1,000 $ 5.94 200 $ 4.91 2,000 $ 5.06 2,000 $ 5.50 1,000 $ 5.25 1,000 $ 5.00 1,000 $ 5.13 300 $ 4.91 200 $ 5.19 200 $ 5.19 2,000 $ 5.13 200 $ 4.91 4,000 $ 5.25 1,000 $ 5.00 1,000 $ 5.75 2,000 $ 5.25
Page 14 of 26 Pages 10/14/97 1,000 $ 5.13 5,000 $ 5.31 500 $ 5.19 1,000 $ 5.13 600 $ 5.44 150 $ 5.63 3,500 $ 5.19 200 $ 5.06 5,000 $ 5.63 1,000 $ 5.75 1,000 $ 5.75 3,500 $ 5.13 3,000 $ 5.19 1,000 $ 5.13 1,000 $ 5.25 3,000 $ 5.75 2,000 $ 5.69 1,000 $ 5.31 1,000 $ 5.31 6,000 $ 5.31 1,000 $ 5.75 200 $ 5.75 1,500 $ 5.25 1,000 $ 5.75 3,000 $ 5.75 1,000 $ 5.75 2,000 $ 5.75 2,000 $ 5.75 2,000 $ 5.63 10/15/97 1,000 $ 5.56 500 $ 5.50 100 $ 5.50 200 $ 5.50 200 $ 5.50 2,000 $ 5.75 10/16/97 500 $ 5.63 1,000 $ 5.50 1,000 $ 5.28 2,000 $ 5.28 300 $ 5.38 2,000 $ 5.25 485 $ 5.53 500 $ 5.50 1,500 $ 5.50 700 $ 5.47
Page 15 of 26 Pages 350 $ 5.28 1,000 $ 5.50 10/17/97 1,000 $ 5.19 2,000 $ 5.19 1,000 $ 5.13 300 $ 5.00 500 $ 5.44 1,000 $ 5.25 10/20/97 100 $ 5.19 200 $ 5.38 1,000 $ 5.31 2,000 $ 5.25 1,300 $ 5.19 5,000 $ 5.19 10/21/97 1,000 $ 5.25 2,000 $ 5.25 500 $ 5.25 10/22/97 5,000 $ 5.19 2,000 $ 5.19 400 $ 5.19 5,000 $ 5.19 1,700 $ 5.19 3,000 $ 5.19 2,000 $ 5.19 16,000 $ 5.19 6,000 $ 5.19 1,000 $ 5.13 3,000 $ 5.19 1,000 $ 5.00 1,000 $ 5.00 9,000 $ 5.25 5,300 $ 5.19 2,000 $ 5.00 25,000 $ 5.19 5,000 $ 5.19 100 $ 5.25 4,200 $ 5.19 4,600 $ 5.19 10/23/97 980 $ 4.63 500 $ 4.88 1,000 $ 4.75 10/24/97 1,000 $ 4.88 10/27/97 2,000 $ 4.63 500 $ 4.25 3,500 $ 4.75
Page 16 of 26 Pages 1,000 $ 4.75 1,000 $ 4.63 5,800 $ 4.25 800 $ 4.25 1,000 $ 4.25 1,000 $ 4.25 500 $ 4.50 2,000 $ 4.50 1,300 $ 4.50 1,000 $ 4.38 10,000 $ 4.38 1,000 $ 4.63 1,500 $ 4.06 1,200 $ 4.13 10,000 $ 4.38 40,000 $ 4.13 2,000 $ 4.25 3,300 $ 4.25 1,000 $ 4.25 1,000 $ 4.25 1,000 $ 4.25 1,000 $ 4.75 25,000 $ 4.13 10/28/97 5,000 $ 4.25 1,000 $ 3.97 2,580 $ 3.88 1,000 $ 3.75 3,500 $ 3.75 1,000 $ 3.75 1,500 $ 3.75 1,500 $ 3.75 1,000 $ 3.75 3,000 $ 3.50 10,000 $ 4.25 4,000 $ 3.69 4,000 $ 4.13 500 $ 4.13 5,000 $ 4.13 4,000 $ 4.13 25,000 $ 4.25 1,000 $ 3.50 200 $ 4.38 1,000 $ 4.25 1,000 $ 4.19 1,000 $ 4.19
Page 17 of 26 Pages 2,000 $ 4.13 1,000 $ 4.25 1,000 $ 4.00 1,500 $ 4.25 2,000 $ 4.25 500 $ 4.25 250 $ 4.25 5,000 $ 4.25 1,500 $ 4.25 500 $ 4.25 5,000 $ 3.63 1,600 $ 4.25 10,000 $ 4.00 20,000 $ 4.13 300 $ 3.75 1,000 $ 3.75 1,500 $ 3.88 2,000 $ 4.13 25 $ 3.75 4,000 $ 3.75 5,500 $ 3.63 25,000 $ 3.50 3,000 $ 3.75 10/29/97 5,000 $ 4.63 1,000 $ 4.63 1,000 $ 4.44 1,000 $ 4.63 1,000 $ 4.44 1,000 $ 4.44 1,000 $ 4.44 1,000 $ 4.44 700 $ 4.25 500 $ 4.25 1,000 $ 4.63 1,000 $ 4.44 10,000 $ 4.25 5,000 $ 4.44 5,000 $ 4.13 10,000 $ 4.19 15,000 $ 4.50 1,000 $ 4.63 1,000 $ 4.44 1,000 $ 4.25 1,000 $ 4.63 100 $ 4.44
Page 18 of 26 Pages 1,000 $ 4.63 5,000 $ 4.69 1,900 $ 4.56 10/30/97 1,000 $ 4.19 1,000 $ 4.19 5,000 $ 4.19 1,000 $ 4.00 100 $ 4.13 5,873 $ 4.00 500 $ 4.13 400 $ 3.75 1,000 $ 4.00 2,000 $ 4.00 10,000 $ 4.19 200 $ 4.19 10,000 $ 4.13 1,000 $ 4.00 10/31/97 1,000 $ 4.00 2,000 $ 4.06 1,700 $ 4.06 10,000 $ 4.00 1,000 $ 4.00 2,000 $ 4.00 1,000 $ 4.00 1,000 $ 4.00 1,000 $ 4.00 200 $ 4.13 1,000 $ 4.00 1,300 $ 4.06 1,000 $ 4.00 1,000 $ 4.00 1,000 $ 4.00 15,000 $ 4.00 1,000 $ 4.00 1,000 $ 4.00 1,000 $ 4.00 1,000 $ 4.00 1,000 $ 4.00 1,000 $ 4.00 1,000 $ 4.00 1,000 $ 4.00 1,000 $ 4.00 1,000 $ 4.00 1,000 $ 4.00 700 $ 4.06
Page 19 of 26 Pages 1,000 $ 4.00 11/03/97 500 $ 4.13 2,000 $ 4.13 1,000 $ 4.00 1,000 $ 4.00 1,000 $ 4.00 110 $ 4.00 500 $ 4.00 1,000 $ 4.00 5,000 $ 4.00 15,000 $ 4.00 200 $ 4.06 1,300 $ 4.06 11/04/97 1,900 $ 4.00 1,200 $ 4.00 1,000 $ 4.06 1,000 $ 4.00 4,000 $ 4.00 10,000 $ 4.00 100 $ 4.06 11/05/97 1,000 $ 4.00 1,000 $ 4.06 5,000 $ 4.00 1,000 $ 4.06 11/06/97 10,000 $ 4.00 11/07/97 1,000 $ 3.56 300 $ 3.75 11/10/97 1,000 $ 3.50 5,000 $ 3.63 2,400 $ 3.50 3,000 $ 3.63 3,000 $ 3.50 15,000 $ 3.63 2,600 $ 3.50 2,000 $ 3.63 1,500 $ 3.63 2,400 $ 3.50 450 $ 3.50 5,000 $ 3.50 11/11/97 200 $ 3.25 900 $ 3.00 1,000 $ 2.63 1,000 $ 3.25 11/12/97 1,000 $ 3.00 1,000 $ 3.00
Page 20 of 26 Pages 8,000 $ 3.00 1,000 $ 3.75 8,000 $ 3.13 1,000 $ 3.75 500 $ 3.63 3,000 $ 3.13 1,000 $ 3.38 3,000 $ 3.13 6,000 $ 3.88 1,000 $ 3.84 1,000 $ 3.00 1,000 $ 3.75 350 $ 3.75 1,000 $ 3.06 1,000 $ 3.63 1,000 $ 3.63 100 $ 3.50 1,000 $ 3.63 1,400 $ 3.50 2,000 $ 3.50 1,980 $ 3.63 1,000 $ 2.94 1,000 $ 3.69 10,000 $ 3.38 1,000 $ 3.06 2,000 $ 3.38 5,000 $ 3.38 1,500 $ 3.38 4,000 $ 3.38 5,000 $ 3.38 10,000 $ 3.38 1,000 $ 3.75 10,000 $ 3.38 9,166 $ 3.63 5,000 $ 3.50 45,000 $ 3.31 1,000 $ 3.63 600 $ 2.88 1,000 $ 3.75 1,000 $ 3.50 5,000 $ 3.75 11/13/97 1,700 $ 3.50 800 $ 3.38 1,000 $ 3.00 1,000 $ 3.00
Page 21 of 26 Pages 400 $ 2.84 600 $ 2.88 500 $ 2.75 200 $ 2.75 1,000 $ 3.50 2,000 $ 2.81 2,000 $ 2.75 400 $ 2.63 1,000 $ 2.38 800 $ 2.50 150 $ 2.50 400 $ 2.56 200 $ 2.56 1,000 $ 2.50 1,500 $ 2.63 10,000 $ 2.63 1,000 $ 2.63 800 $ 2.63 1,000 $ 2.63 300 $ 2.56 1,000 $ 2.63 1,000 $ 2.63 1,000 $ 2.63 1,000 $ 2.63 50 $ 2.63 1,000 $ 2.75 10,000 $ 3.38 15,000 $ 2.50 20,000 $ 2.63 600 $ 2.56 1,000 $ 2.56 11/14/97 2,000 $ 2.56 300 $ 2.75 1,000 $ 3.50 1,000 $ 2.75 2,000 $ 2.75 800 $ 2.56 1,000 $ 2.75 10,000 $ 2.75 3,000 $ 2.75 3,000 $ 2.75 1,000 $ 2.69 1,000 $ 2.75 1,000 $ 2.75 200 $ 2.69
Page 22 of 26 Pages 1,000 $ 2.69 7,500 $ 2.75 3,000 $ 2.75 200 $ 2.75 400 $ 2.75 5,000 $ 2.75 5,000 $ 2.75 1,000 $ 2.75 40 $ 2.56 100 $ 2.75 3,000 $ 2.81 1,000 $ 2.75 2,000 $ 2.75 1,000 $ 2.75 11/17/97 500 $ 2.97 1,400 $ 2.94 100 $ 2.97 1,000 $ 2.94 2,000 $ 2.94 8,000 $ 2.97 6,000 $ 2.88 1,000 $ 2.94 1,000 $ 2.88 11/18/97 4,000 $ 2.50 4,000 $ 2.50 1,000 $ 2.50 11/19/97 500 $ 2.25 1,000 $ 2.13 1,000 $ 2.06 2,500 $ 2.13 1,000 $ 2.13 4,000 $ 2.06 4,000 $ 2.13 5,000 $ 2.13 15,000 $ 2.06 500 $ 2.03 900 $ 2.25 11/20/97 1,000 $ 2.25 1,000 $ 2.25 1,000 $ 2.25 1,000 $ 2.25 7,000 $ 2.25 3,000 $ 2.22 2,000 $ 2.13 1,500 $ 2.06
Page 23 of 26 Pages 4,000 $ 2.25 1,000 $ 2.25 2,000 $ 2.38 1,200 $ 2.38 3,000 $ 2.38 1,300 $ 2.38 325 $ 2.25 1,000 $ 2.31 300 $ 2.31 11,000 $ 2.28 1,016 $ 2.34 5,000 $ 2.19 800 $ 2.25 2,000 $ 2.06 1,900 $ 2.13 39,000 $ 2.17 Total 852,275 531,349
The following purchases and sales were made as part of a special situations investment.
NUMBER OF NUMBER OF PRICE PER TRADE DATE SHARES PURCHASED SHARES SOLD SHARE - ----------- ----------------- ----------- -------------- 11/06/97 5,000 $ 4.0000 5,000 $ 4.0000 11/07/97 5,000 $ 3.7500 1,000 $ 3.7500 11/10/97 36,300 $ 3.6250 11/12/97 3,000 $ 3.0000 2,500 $ 2.8750 2,000 $ 3.1250 11/19/97 5,000 $ 2.0000 15,000 $ 2.0625 11/21/97 5,000 $ 2.3750 5,000 $ 2.3750 5,000 $ 2.3750 11/26/97 9,800 $ 2.3125 200 $ 2.3125 10,000 $ 2.3125 Total 62,500 52,300
Page 24 of 26 Pages Set forth below are the purchases and sales of Convertible Notes by subsidiaries of TRV from September 29, 1997 through the date hereof. The following purchases and sales were made in connection with market making activities.
NUMBER OF NUMBER OF CONVERTIBLE CONVERTIBLE PRICE PER TRADE DATE NOTES PURCHASED NOTES SOLD CONVERTIBLE NOTE - ----------- --------------- ----------- ----------------- 10/08/97 465,000 $ 78.00 370,000 $ 78.00 150,000 $ 78.00 1,110,000 $ 78.00 470,000 $ 78.00 120,000 $ 78.00 465,000 $ 78.00 500,000 $ 78.75 600,000 $ 78.75 250,000 $ 78.75 650,000 $ 78.75 500,000 $ 78.75 80,000 $ 78.00 10/14/97 2,000,000 $ 57.50 400,000 $ 56.00 1,500,000 $ 56.00 100,000 $ 56.00 10/17/97 1,000,000 $ 56.50 11/12/97 1,000,000 $ 58.00 500,000 $ 59.25 500,000 $ 57.00 3,000,000 $ 59.00 11/14/97 500,000 $ 50.00 11/24/97 50,000 $ 45.00 12/04/97 500,000 $ 46.00 Total 7,280,000 9,500,000
Page 25 of 26 Pages The following purchases and sales were made as part of a special situations investment.
NUMBER OF NUMBER OF CONVERTIBLE CONVERTIBLE PRICE PER TRADE DATE NOTES PURCHASED NOTES SOLD CONVERTIBLE NOTE - ----------- --------------- ----------- ---------------- 11/06/97 300,000 $51.0000 11/10/97 600,000 $53.2500 11/12/97 1,000,000 $60.0000 1,000,000 $60.2500 1,500,000 $60.2500 11/14/97 4,000,000 $51.0000 12/02/97 750,000 $46.7500 1,500,000 $47.2500 Total 10,650,000
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