-----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, J59ZH1pQifNX8G6hVshCzXHJWS9ApodPjKBym1MbGICk7kgvPsj2FqD9+Zm1bdNF ahP0G3fd9EWk2oTw3956ag== 0000891618-98-002289.txt : 19980513 0000891618-98-002289.hdr.sgml : 19980513 ACCESSION NUMBER: 0000891618-98-002289 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980512 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: AVIRON CENTRAL INDEX KEY: 0000949173 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 770309686 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 424B3 SEC ACT: SEC FILE NUMBER: 333-50505 FILM NUMBER: 98616577 BUSINESS ADDRESS: STREET 1: 297 N BERNARDO AVE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 BUSINESS PHONE: 4159196500 MAIL ADDRESS: STREET 1: 297 NORTH BERNARDO AVE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 424B3 1 PROSPECTUS SUPPLEMENT NO. 1 DATED MAY 12, 1998 1 Filed Pursuant to Rule 424(b)(3) and (c) File No. 333-50505 PROSPECTUS SUPPLEMENT NO. 1 DATED MAY 12, 1998 TO PROSPECTUS DATED MAY 4, 1998 AVIRON $100,000,000 5 3/4% Convertible Subordinated Notes due 2005 and Shares of Common Stock Issuable Upon Conversion thereof This Prospectus Supplement should be read in conjunction with the Prospectus dated May 4, 1998 (the "Prospectus"). The table on pages 45 and 46 of the Prospectus setting forth information concerning the Selling Securityholders is superseded by the following table: SELLING SECURITYHOLDERS The following table sets forth the names of the Selling Securityholders, the number of shares of Common Stock owned by each of them as of the date of this supplement and the principal amount of Notes and number of Conversion Shares which may be offered pursuant to this Prospectus. The information is based upon information provided by or on behalf of the Selling Securityholders. The Selling Securityholders may offer all, some or none of their Notes or Conversion Shares.
PRINCIPAL PRINCIPAL AMOUNT OF AMOUNT OF NOTES OWNED NOTES COMMON STOCK COMMON STOCK PRIOR TO OFFERED OWNED PRIOR TO OFFERED NAME OFFERING(1) HEREBY OFFERING(1)(2) HEREBY ---- ----------- -------- -------------- ---------- Alexandra Global Investment $2,000,000 $2,000,000 70,716 0 Fund I, Inc. Argent Classic Convertible 1,000,000 1,000,000 0 0 Arbitrage Fund L.P. Argent Classic Convertible 2,000,000 2,000,000 0 0 Arbitrage Fund (Bermuda) L.P. BancAmerica Robertson 1,250,000 1,250,000 0 0 Stephens BT Holdings (New York), Inc. 1,000,000 1,000,000 0 0 Chrysler Corporation Master 2,630,000 2,630,000 0 0 Retirement Trust Declaration of Trust for the 800,000 800,000 0 0 Defined Benefit Plans of ICI American Holdings Inc.
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PRINCIPAL PRINCIPAL AMOUNT OF AMOUNT OF NOTES OWNED NOTES COMMON STOCK COMMON STOCK PRIOR TO OFFERED OWNED PRIOR TO OFFERED NAME OFFERING(1) HEREBY OFFERING(1)(2) HEREBY ---- ----------- -------- --------------- -------- Declaration of Trust for the 500,000 500,000 0 0 Defined Benefit Plans of ZENECA Holdings Inc. Delaware PERS 720,000 720,000 0 0 Delaware State Employees' 2,850,000 2,850,000 0 0 Retirement Fund Donaldson, Lufkin & Jenrette 5,575,000 5,575,000 0 0 Securities Corporation Fidelity Financial Trust Fidelity Convertible Securities 11,800,000 11,800,000 0 0 Forest Alternative 60,000 60,000 0 0 Strategies Fund II Series A-5I Forest Alternative 1,175,000 1,175,000 0 0 Strategies Fund II LP Series A-5 Forest Alternative 30,000 30,000 0 0 Strategies Fund II LP Series A-5M Forest Alternative 135,000 135,000 0 0 Strategies Fund Series B-3 Forest Global Convertible 1,175,000 1,175,000 0 0 Fund Series A-5 Forest Global Convertible 100,000 100,000 0 0 Fund Series B-1 Forest Global Convertible 75,000 75,000 0 0 Fund Series B-2 Forest Global Convertible 50,000 50,000 0 0 Fund Series B-3 Forest Global Convertible 75,000 75,000 0 0 Fund Series B-5 Forest Greyhound 100,000 100,000 0 0 Fox Family Foundation 55,000 55,000 0 0 10/10/87 Fox Family Portfolio 200,000 200,000 0 0 Partnership Forest Performance Fund 75,000 75,000 0 0 Heritage Series Trust Small 1,000,000 1,000,000 100,000 0 Cap Stock Fund ICI American Holdings 310,000 310,000 0 0 JMG Convertible Investments, 500,000 500,000 0 0 L.P. Lincoln National Convertible 2,040,000 2,040,000 0 0 Securities Fund LLT Limited 45,000 45,000 0 0 MainStay Convertible Fund 3,000,000 3,000,000 68,800 0
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PRINCIPAL PRINCIPAL AMOUNT OF AMOUNT OF NOTES OWNED NOTES COMMON STOCK COMMON STOCK PRIOR TO OFFERED OWNED PRIOR TO OFFERED NAME OFFERING(1) HEREBY OFFERING(1)(2) HEREBY ---- ----------- -------- ---------------- ---------- Nalco Chemical Company 160,000 160,000 0 0 Northwestern Mutual Life 2,000,000 2,000,000 0 0 Insurance Company OCM Convertible Limited 150,000 150,000 0 0 Partnership OCM Convertible Trust 3,645,000 3,645,000 0 0 Pacific Life Insurance 3,000,000 3,000,000 0 0 Company Paloma Securities L.L.C. 1,200,000 1,200,000 0 0 Partner Reinsurance Company, 375,000 375,000 0 0 Ltd. Silverton International Fund 800,000 800,000 0 0 Limited Societe Generale Securities 6,500,000 6,500,000 0 0 Corp. State Employees' Retirement 820,000 820,000 0 0 Fund of the State of Delaware State of Connecticut 3,120,000 3,120,000 0 0 Combined Investment Funds Thermo Eletron Balanced 850,000 850,000 0 0 Investment Fund Triton Capital Investments, 500,000 500,000 0 0 Ltd. Vanguard Convertible 2,260,000 2,260,000 0 0 Securities Fund, Inc. Walker Art Center 265,000 265,000 0 0 Weirton Trust 695,000 695,000 0 0 Zeneca Holdings Trust 310,000 310,000 0 0 ----------- ----------- ----------- ----------- TOTAL $68,975,000 $68,975,000 239,516 0 =========== =========== =========== ===========
- --------------- (1) Beneficial ownership is determined in accordance with the Rule of the SEC and generally includes voting or investment power with respect to securities. Except as otherwise indicated by footnote, and subject to community property laws where applicable, the persons named in the table have sole voting and investment power with respect to all shares on Common Stock shown as beneficially owned by them. (2) Includes Conversion Shares based on a conversion price of $30.904 per share and a cash payment in lieu of any fractional interest. 3. 4 Because the Selling Securityholders may offer all or some of the Notes that they hold and/or Conversion Shares pursuant to the offering contemplated by this Prospectus, and because there are currently no agreements, arrangements or understandings with respect to the sale of any of the Notes or Conversion Shares by the Selling Securityholders, no estimate can be given as to the principal amount of Notes or Conversion of Shares that will be held by the Selling Securityholders after completion of this offering. 4. -----END PRIVACY-ENHANCED MESSAGE-----