-----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, EHBbHYOG6eRmMaTOqqVZ+A/F/iuLmUTowp+Xyr+j6pTpk6oxTidnujUncn4dYuFR Yu87BmRG8np3HssdT1PHYw== 0000891618-98-005159.txt : 19981201 0000891618-98-005159.hdr.sgml : 19981201 ACCESSION NUMBER: 0000891618-98-005159 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19981130 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: 98761282 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 PROS. SUPP. NO.9 DATED 11/30/98 TO 5/4/98 PROS. 1 Filed Pursuant to Rule 424(b)(3) and (c) File No. 333-50505 PROSPECTUS SUPPLEMENT NO. 9 DATED NOVEMBER 30, 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 The table on pages 45 and 46 of the Prospectus setting forth information concerning the Selling Securityholders is superseded by the following table: SELLING SECURITYHOLDERS The following table sets forth the names of the Selling Securityholders, the number of shares of Common Stock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 OF PRINCIPAL COMMON NOTES AMOUNT OF STOCK COMMON OWNED PRIOR NOTES OWNED PRIOR STOCK TO OFFERED TO OFFERED NAME 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. Amoco Corporation Master Trust 1,165,000 1,165,000 Argent Classic Convertible 0 0 0 0 Arbitrage Fund L.P. Argent Classic Convertible 1,500,000 1,500,000 0 0 Arbitrage Fund (Bermuda) L.P. Bakers Local 433 Pension Trust 40,000 40,000 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
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PRINCIPAL AMOUNT OF PRINCIPAL COMMON NOTES AMOUNT OF STOCK COMMON OWNED PRIOR NOTES OWNED PRIOR STOCK TO OFFERED TO OFFERED NAME OFFERING(1) HEREBY OFFERING(1)(2) HEREBY ---- ----------- ------ -------------- ------ Chrysler Corporation Master 1,370,000 1,370,000 0 0 Retirement Trust CIBC Oppenheimer 0 0 0 0 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 Deutsche Bank Securities 0 0 0 0 Donaldson, Lufkin & Jenrette 0 0 0 0 Securities Corporation Fidelity American Trust 0 0 0 0 Fidelity Financial Trust Fidelity 0 0 0 0 Convertible Securities Fund Forest Alternative Strategies Fund 82,000 82,000 0 0 II Series A-5I Forest Alternative Strategies Fund 1,295,000 1,295,000 0 0 II LP Series A-5 Forest Alternative Strategies Fund 41,000 41,000 0 0 II LP Series A-5M Forest Alternative Strategies Fund 0 0 0 0 Series B-3 Forest Global Convertible Fund 1,303,000 1,303,000 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
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PRINCIPAL AMOUNT OF PRINCIPAL COMMON NOTES AMOUNT OF STOCK COMMON OWNED PRIOR NOTES OWNED PRIOR STOCK TO OFFERED TO OFFERED NAME OFFERING(1) HEREBY OFFERING(1)(2) HEREBY ---- ----------- ------ -------------- ------ Forest Greyhound 0 0 0 0 Forest Performance Fund 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 Hawaiian Airlines Inc. FBO Pension 120,000 120,000 Plan for Employees Rep. by the IAM Hawaiian Airlines Inc. UAD 1/1/76 30,000 30,000 FBO Pension Plan for Salaried Individual (SAL) 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 The James and Abigail Campbell 75,000 75,000 Foundation Jeffries and Company Inc. 20,000 20,000 JMG Convertible Investments, L.P. 500,000 500,000 0 0 Kapiolani Health 80,000 80,000 LDG Limited 450,000 450,000 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 64,000 64,000 0 0 MainStay Convertible Fund 1,200,000 1,200,000 68,800 0 Maui Publishing Company Retirement 10,000 10,000 Plan McMahan Securities Company L.P. 505,000 505,000 0 0 Minnesota Bakers Union Pension Fund 30,000 30,000 Morgan Stanley Dean Witter 415,000 415,000 Nalco Chemical Company 160,000 160,000 0 0 Navesink Equity Derivative Fund, LDC 2,000,000 2,000,000 0 0
3. 4
PRINCIPAL AMOUNT OF PRINCIPAL COMMON NOTES AMOUNT OF STOCK COMMON OWNED PRIOR NOTES OWNED PRIOR STOCK TO OFFERED TO OFFERED NAME OFFERING(1) HEREBY OFFERING(1)(2) HEREBY ---- ----------- ------ -------------- ------ Northwestern Mutual Life Insurance 0 0 0 0 Company OCM Convertible Limited Partnership 50,000 50,000 0 0 OCM Convertible Trust 1,415,000 1,415,000 0 0 Pacific Life Insurance Company 3,000,000 3,000,000 0 0 Paloma Securities L.L.C. 1,500,000 1,500,000 0 0 Partner Reinsurance Company, Ltd. 225,000 225,000 0 0 Pepperdine University Pool A#1 175,000 175,000 Schroders & Co. Inc. 250,000 250,000 0 0 Silverton International Fund Limited 1,500,000 1,500,000 0 0 Societe Generale Securities Corp. 6,500,000 6,500,000 0 0 SSI Balanced Hedge Partnership 45,000 45,000 State Employees' Retirement Fund of 385,000 385,000 0 0 the State of Delaware State of Connecticut Combined 1,280,000 1,280,000 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 TQA Vantage Plus, LTD 550,000 550,000 0 0 Tracor, Inc. Employees Retirement 110,000 110,000 Plan Trade Winds L.P. 0 0 0 0 Triton Capital Investments, Ltd. 500,000 500,000 0 0 Twin City Bakery Drivers Pension 20,000 20,000 Fund Unity House 80,000 80,000 Vanguard Convertible Securities 875,000 875,000 0 0 Fund, Inc. Walker Art Center 220,000 220,000 0 0
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PRINCIPAL AMOUNT OF PRINCIPAL COMMON NOTES AMOUNT OF STOCK COMMON OWNED PRIOR NOTES OWNED PRIOR STOCK TO OFFERED TO OFFERED NAME OFFERING(1) HEREBY OFFERING(1)(2) HEREBY ---- ----------- ------ -------------- ------ Weirton Trust 200,000 200,000 0 0 Zeneca Holdings Trust 310,000 310,000 0 0 -------------- -------------- ------- ------- TOTAL $46,820,000.00 $46,820,000.00 239,516 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. 5. -----END PRIVACY-ENHANCED MESSAGE-----