-----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, Q3gPqnGpYqm/eBVQQzO6q2v9on9hNL/blcQXy0VF3zR6VyQtAjrUrO3No2Fsk8oK TVE1gzbLOl9k1L4Yoj3L5g== 0000912057-01-517138.txt : 20010523 0000912057-01-517138.hdr.sgml : 20010523 ACCESSION NUMBER: 0000912057-01-517138 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010522 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CV THERAPEUTICS INC CENTRAL INDEX KEY: 0000921506 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 431570294 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 424B3 SEC ACT: SEC FILE NUMBER: 333-38528 FILM NUMBER: 1645535 BUSINESS ADDRESS: STREET 1: 3172 PORTER DR CITY: PALO ALTO STATE: CA ZIP: 94304 BUSINESS PHONE: 6508120585 MAIL ADDRESS: STREET 1: 3172 PORTER DRIVE CITY: PALO ALTO STATE: CA ZIP: 94304 424B3 1 a2050293z424b3.txt 424B3 FILED PURSUANT TO RULE 424 (b) (3) AND (c) FILE NO. 333-38528 CV THERAPEUTICS, INC. $196,250,000 PRINCIPAL AMOUNT 4 3/4% CONVERTIBLE SUBORDINATED NOTES DUE MARCH 7, 2007 AND SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION OF THE NOTES ------------------------ This Prospectus Supplement relates to resales by selling security holders of our 4 3/4% Convertible Subordinated Notes due March 7, 2007 and shares of our common stock into which the notes are convertible. This Prospectus Supplement should be read in conjunction with the Prospectus dated June 29, 2000, (the "Prospectus") which is to be delivered with this Prospectus Supplement. SEE "RISK FACTORS" BEGINNING ON PAGE 7 OF THE PROSPECTUS TO READ ABOUT FACTORS YOU SHOULD CONSIDER BEFORE BUYING THE NOTES OR OUR COMMON STOCK. ------------------------ Neither the Securities and Exchange Commission nor any other regulatory body has approved or disapproved of these securities or passed upon the adequacy or accuracy of this prospectus. Any representation to the contrary is a criminal offense. ------------------------ The date of this Prospectus Supplement is May 22, 2001. The information in the table appearing in the Prospectus under the heading "Selling Security Holders" is superseded by the information appearing in the following table:
PRINCIPAL COMMON COMMON AMOUNT OF STOCK NOTES STOCK NOTES ISSUABLE OWNED OWNED BENEFICIALLY UPON COMMON AFTER AFTER OWNED AND CONVERSION STOCK COMPLETION COMPLETION NAME OFFERED(1) OF THE NOTES OFFERED OF OFFERING OF OFFERING - ---- ------------ ------------ -------- ----------- ----------- AAM/Zazove Institutional Income Fund, L.P...... $ 650,000 10,181 10,181 0 0 ABN AMRO Incorporated.......................... 1,000,000 15,664 15,664 0 0 Aftra Health Fund.............................. 750,000 11,748 11,748 0 0 AL-Bank AL-Saudi AL-Alami Saudi International Bank......................................... 750,000 11,748 11,748 0 0 AIG SoundShore Holdings Ltd.................... 2,520,000 39,473 39,473 0 0 AIG SoundShore Opportunity Holding Fund Ltd.... 3,410,000 53,414 53,414 0 0 AIG SoundShore Strategic Holding Fund Ltd...... 977,000 15,303 15,303 0 0 Alta Partners Holdings, LDC.................... 4,500,000 70,488 70,488 0 0 Argent Classic Convertible Arbitrage Fund L.P.......................................... 2,500,000 39,160 39,160 0 0 Argent Classic Convertible Arbitrage Fund (Bermuda) L.P................................ 3,000,000 46,992 46,992 0 0 Arthur D. Little Employee Investment Fund...... 700,000 10,964 10,964 0 0 Aventis Pension Master Trust................... 149,000 2,333 2,333 0 0 Bancroft Convertible Fund, Inc................. 250,000 3,916 3,916 0 0 The Bank of New York, as Trustee............... 1,100,000 17,230 17,230 0 0 The Bank of New York, Trustee for Mark T. Ewing........................................ 50,000 783 783 0 0 Bankers Trust Co. Trustee for DaimlerChrysler Corp. Emp.#1 Pension Plan dtd 4/1/89......... 4,470,000 70,018 70,018 0 0 Bear Stearns & Co., Inc........................ 1,000,000 15,664 15,664 0 0 BNP Arbitrage SNC.............................. 11,250,000 176,221 176,221 0 0 BNP Cooper Neff Convertible Strategies Fund, L.P.......................................... 750,000 11,748 11,748 0 0 Boilermaker-Blacksmith Pension Trust........... 870,000 13,627 13,627 0 0 Boulder II Limited............................. 1,500,000 23,496 23,496 0 0 Brown & Williamson Tobacco Master Retirement Trust........................................ 250,000 3,916 3,916 0 0 CALAMOS Convertible Fund -- CALAMOS Investment Trust........................................ 1,100,000 17,230 17,230 0 0 CALAMOS Convertible Portfolio -- CALAMOS Advisors Trust............................... 25,000 391 391 0 0 CALAMOS Global Growth and Income Fund -- CALAMOS Investment Trust..................... 160,000 2,506 2,506 0 0 CALAMOS Growth and Income Fund -- CALAMOS Investment Trust............................. 620,000 9,711 9,711 0 0 Champion International Corporation Master Retirement Trust............................. 400,000 6,265 6,265 0 0
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PRINCIPAL COMMON COMMON AMOUNT OF STOCK NOTES STOCK NOTES ISSUABLE OWNED OWNED BENEFICIALLY UPON COMMON AFTER AFTER OWNED AND CONVERSION STOCK COMPLETION COMPLETION NAME OFFERED(1) OF THE NOTES OFFERED OF OFFERING OF OFFERING - ---- ------------ ------------ -------- ----------- ----------- City of Albany Pension Plan.................... 85,000 1,331 1,331 0 0 City of Knoxville Pension System............... 200,000 3,132 3,132 0 0 The Common Fund FAO Absolute Return Fund....... 400,000 6,265 6,265 0 0 Credit Suisse First Boston Corporation......... 7,200,000 112,781 112,781 0 0 DeepRock & Co.................................. 715,000 11,199 11,199 0 0 Delta Airlines Master Trust.................... 1,600,000 25,062 25,062 0 0 Deutsche Bank Securities, Inc.................. 18,440,000 288,847 288,847 0 0 Diane D. Goodrich.............................. 50,000 783 783 0 0 Donaldson, Lufkin & Jenrette Securities Corp......................................... 3,450,000 54,041 54,041 0 0 Douglas D. Duke................................ 25,000 391 391 0 0 The Dow Chemical Company Employees' Retirement Plan......................................... 1,700,000 26,629 26,629 0 0 Duckbill & Co.................................. 1,285,000 20,128 20,128 0 0 Ellsworth Convertible Growth and Income Fund, Inc.......................................... 250,000 3,916 3,916 0 0 First Union Securities Inc..................... 250,000 3,916 3,916 0 0 The Fondren Foundation......................... 55,000 861 861 0 0 Franklin and Marshall College.................. 330,000 5,169 5,169 0 0 Greek Catholic Union II........................ 10,000 156 156 0 0 Hare and Company (nominee for the Bank of New York as investment advisor).................. 235,000 3,681 3,681 0 0 Hare and Company (nominee for the Bank of New York as trustee)............................. 1,100,000 17,230 17,230 0 0 Helix Convertible Opportunities Fund Ltd....... 1,230,000 19,266 19,266 0 0 Helix Convertible Opportunities L.P............ 2,370,000 37,124 37,124 0 0 Hull Overseas, Ltd............................. 500,000 7,832 7,832 0 0 JP Morgan Securities, Inc...................... 5,635,000 88,267 88,267 0 0 James H. Hamersley Rev. Trust UA 6/23/99....... 30,000 469 469 0 0 Julius Baer Securities......................... 650,000 10,181 10,181 0 0 KBC Financial Products......................... 3,000,000 46,992 46,992 0 0 Kettering Medical Center Funded Depreciation Account...................................... 55,000 861 861 0 0 Knoxville Utilities Board Retirement System.... 140,000 2,192 2,192 0 0 Lincoln National Convertible Securities Fund... 3,500,000 54,824 54,824 0 0 Lipper Convertibles, L.P....................... 11,000,000 172,306 172,306 0 0 Lord Abbott Bond Debenture Fund................ 2,000,000 31,328 31,328 0 0 Mainstay Convertible Fund...................... 2,000,000 31,328 31,328 0 0 Mainstay Strategic Value Fund.................. 200,000 3,132 3,132 0 0 McMahan Securities Co. L.P..................... 82,000 1,284 1,284 0 0 Merrill Lynch, Pierce, Fenner & Smith, Incorporated................................. 18,409,000 288,358 288,358 0 0
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PRINCIPAL COMMON COMMON AMOUNT OF STOCK NOTES STOCK NOTES ISSUABLE OWNED OWNED BENEFICIALLY UPON COMMON AFTER AFTER OWNED AND CONVERSION STOCK COMPLETION COMPLETION NAME OFFERED(1) OF THE NOTES OFFERED OF OFFERING OF OFFERING - ---- ------------ ------------ -------- ----------- ----------- Michael FT Maude Discretionary Trust........... 10,000 156 156 0 0 Morgan Stanley Dean Witter Convertible Securities Trust............................. 1,500,000 23,496 23,496 0 0 Museum of Fine Arts, Boston.................... 25,000 391 391 0 0 New York Life Separate Account #7.............. 1,500,000 23,496 23,496 0 0 Norwalk Employees Pension Plan................. 800,000 12,531 12,531 0 0 Onex Industrial Partners Limited............... 2,500,000 39,160 39,160 0 0 Parker-Hannifin Corporation.................... 36,000 563 563 0 0 Pebble Capital Inc............................. 1,000,000 15,664 15,664 0 0 Pell Rudman Trust Company...................... 1,790,000 28,038 28,038 0 0 Penn Treaty Network America Insurance Company.. 440,000 6,892 6,892 0 0 Port Authority of Allegheny County Retirement and Disability Allowance Plan for the Employees Represented by Local 85 of the Amalgamated Transit Union.................... 835,000 13,079 13,079 0 0 President and Fellows of Harvard College....... 4,000,000 62,656 62,656 0 0 Putnam Asset Allocation Funds-- Balanced Portfolio........................... 148,000 2,318 2,318 0 0 Putnam Asset Allocation Funds-- Conservative Portfolio....................... 96,000 1,503 1,503 0 0 Putnam Convertible Income-- Growth Trust................................. 580,000 9,085 9,085 0 0 Putnam Convertible Opportunities and Income Trust............................. 56,000 877 877 0 0 R(2) Investments, LDC.......................... 42,000,000 657,894 657,894 0 0 Robertson Stephens............................. 2,500,000 39,160 39,160 0 0 RS Midcap Opportunities Fund................... 1,000,000 15,664 15,664 0 0 San Diego County Employees Retirement Association.................................. 1,253,750 19,638 19,638 0 0 Silvercreek Limited Partnership................ 1,000,000 15,664 15,664 0 0 SPT............................................ 650,000 10,181 10,181 0 0 State Street Bank Custodian for GE Pension Trust........................................ 2,365,000 37,045 37,045 0 0 The Sylvan C. Coleman Foundation............... 70,000 1,096 1,096 0 0 Tribeca Investments LLC........................ 38,495,000 602,991 602,991 0 0 Unifi, Inc. Profit Sharing Plan and Trust...... 90,000 1,409 1,409 0 0 United Capital Management, Inc................. 250,000 3,916 3,916 0 0 United Food and Commercial Workers Local 1262 and Employers Pension Fund................... 225,000 3,524 3,524 0 0 University of Rochester........................ 22,000 344 344 0 0 Van Waters & Rogers, Inc. Retirement Plan (f.k.a. Univar Corporation).................. 260,000 4,072 4,072 0 0 White River Securities, LLC.................... 1,000,000 15,664 15,664 0 0 Zurich HFR Master Hedge Fund Index Ltd......... 200,000 3,132 3,132 0 0
- ------------------------ (1) Amounts indicated may be in excess of the total amount registered due to sales or transfers exempt from the registration requirements of the Securities Act since the date upon which the selling holders provided to us the information regarding their notes. 4 -----END PRIVACY-ENHANCED MESSAGE-----