-----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, AvVk9pOngO8VlpwHtlAsafBqawpjd9+5rhlwPU5hF3ibAx2lpLQdt1DCun8cw3+e NwZcyLJgDiF8mKzxlXvaLw== 0000891618-98-003928.txt : 19980817 0000891618-98-003928.hdr.sgml : 19980817 ACCESSION NUMBER: 0000891618-98-003928 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980814 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: 98690709 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 PURSUANT TO RULE 424(B)(3) 1 Filed Pursuant to Rule 424(b)(3) and (c) File No. 333-50505 PROSPECTUS SUPPLEMENT NO. 6 DATED AUGUST 14, 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 The table on pages 45 and 46 of the Prospectus setting forth information concerning the Selling Securityholders is superseded by the following table: SELLING SECURITYHOLDERS The following table sets forth the names of the Selling Securityholders, the number of shares of Common Stock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 AMOUNT PRINCIPAL AMOUNT COMMON STOCK OWNED COMMON STOCK OF NOTES OWNED OF NOTES OFFERED PRIOR TO OFFERED NAME PRIOR TO OFFERING(1) HEREBY OFFERING(1)(2) HEREBY ---- -------------------- ------ -------------- ------ AAM/Zazove Institutional Income $ 800,000 $ 800,000 0 0 Fund, L.P. Alexandra Global Investment Fund I, 2,000,000 2,000,000 70,716 0 Inc. Argent Classic Convertible 1,000,000 1,000,000 0 0 Arbitrage Fund L.P. Argent Classic Convertible 1,500,000 1,500,000 0 0 Arbitrage Fund (Bermuda) L.P. BancAmerica Robertson Stephens 195,000 195,000 0 0 BNP Arbitrage SNC 2,550,000 2,550,000 0 0 BT Holdings (New York), Inc. 1,000,000 1,000,000 0 0 Chrysler Corporation Master 2,330,000 2,330,000 0 0 Retirement Trust CIBC Oppenheimer 0 0 0 0
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PRINCIPAL AMOUNT PRINCIPAL AMOUNT COMMON STOCK OWNED COMMON STOCK OF NOTES OWNED OF NOTES OFFERED PRIOR TO OFFERED NAME PRIOR TO OFFERING(1) HEREBY OFFERING(1)(2) HEREBY ---- -------------------- ------ -------------- ------ Contrary Fund LLC 0 0 0 0 Declaration of Trust for the 100,000 100,000 0 0 Defined Benefit Plans of ICI American Holdings Inc. Declaration of Trust for the 65,000 65,000 0 0 Defined Benefit Plans of ZENECA Holdings Inc. Delaware PERS 720,000 720,000 0 0 Delaware State Employees' 335,000 335,000 0 0 Retirement Fund Donaldson, Lufkin & Jenrette 0 0 0 0 Securities Corporation Fidelity American Trust 200,000 200,000 0 0 Fidelity Financial Trust Fidelity 11,800,000 11,800,000 0 0 Convertible Securities Fund Forest Alternative Strategies Fund 112,000 112,000 0 0 II Series A-5I Forest Alternative Strategies Fund 1,760,000 1,760,000 0 0 II LP Series A-5 Forest Alternative Strategies Fund 56,000 56,000 0 0 II LP Series A-5M Forest Alternative Strategies Fund 0 0 0 0 Series B-3 Forest Global Convertible Fund 1,773,000 1,773,000 0 0 Series A-5 Forest Global Convertible Fund 0 0 0 0 Series B-1 Forest Global Convertible Fund 0 0 0 0 Series B-2 Forest Global Convertible Fund 0 0 0 0 Series B-3 Forest Global Convertible Fund 0 0 0 0 Series B-5 Forest Greyhound 0 0 0 0 Forum Capital Markets L.P. 1,000,000 1,000,000 0 0 Fox Family Foundation 10/10/87 0 0 0 0 Fox Family Portfolio Partnership 0 0 0 0
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PRINCIPAL AMOUNT PRINCIPAL AMOUNT COMMON STOCK OWNED COMMON STOCK OF NOTES OWNED OF NOTES OFFERED PRIOR TO OFFERED NAME PRIOR TO OFFERING(1) HEREBY OFFERING(1)(2) HEREBY ---- -------------------- ------ -------------- ------ Forest Performance Fund 0 0 0 0 Heritage Series Trust Small Cap 1,000,000 1,000,000 100,000 0 Stock Fund ICI American Holdings 310,000 310,000 0 0 JMG Convertible Investments, L.P. 500,000 500,000 0 0 LDG Limited 550,000 550,000 0 0 Little Wing L.P. 0 0 0 0 Lincoln National Convertible 1,700,000 1,700,000 0 0 Securities Fund LLT Limited 84,000 84,000 0 0 MainStay Convertible Fund 1,200,000 1,200,000 68,800 0 McMahan Securities Company L.P. 525,000 525,000 0 0 Nalco Chemical Company 160,000 160,000 0 0 Northwestern Mutual Life Insurance 0 0 0 0 Company OCM Convertible Limited Partnership 90,000 90,000 0 0 OCM Convertible Trust 2,725,000 2,725,000 0 0 Pacific Life Insurance Company 3,000,000 3,000,000 0 0 Paloma Securities L.L.C. 2,700,000 2,700,000 0 0 Partner Reinsurance Company, Ltd. 335,000 335,000 0 0 Schroders & Co. Inc. 500,000 500,000 0 0 Silverton International Fund Limited 2,300,000 2,300,000 0 0 Societe Generale Securities Corp. 6,500,000 6,500,000 0 0 State Employees' Retirement Fund of 725,000 725,000 0 0 the State of Delaware State of Connecticut Combined 2,760,000 2,760,000 0 0 Investment Funds Thermo Eletron Balanced Investment 0 0 0 0 Fund TQA Leverage Fund, L.P. 1,100,000 1,100,000 0 0 TQA Vantage Fund, LTD 2,300,000 2,300,000 0 0
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PRINCIPAL AMOUNT PRINCIPAL AMOUNT COMMON STOCK OWNED COMMON STOCK OF NOTES OWNED OF NOTES OFFERED PRIOR TO OFFERED NAME PRIOR TO OFFERING(1) HEREBY OFFERING(1)(2) HEREBY ---- -------------------- ------ -------------- ------ TQA Vantage Plus, LTD 750,000 750,000 0 0 Trade Winds L.P. 0 0 0 0 Triton Capital Investments, Ltd. 500,000 500,000 0 0 Vanguard Convertible Securities 1,990,000 1,990,000 0 0 Fund, Inc. Walker Art Center 220,000 220,000 0 0 Weirton Trust 580,000 580,000 0 0 Zeneca Holdings Trust 310,000 310,000 0 0 ----------- ----------- ------- ----- TOTAL $64,710,000 $64,710,000 239,516 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. Numbers reflect ownership prior to the date of this Supplement. (2) Includes Conversion Shares based on a conversion price of $30.904 per share and a cash payment in lieu of any fractional interest. 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-----