S-3MEF 1 f68984ors-3mef.txt FORM S-3MEF 1 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON FEBRUARY 1, 2001 REGISTRATION NO. 333- -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------------------ FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ------------------------ AVIRON (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) DELAWARE 77-0309686 (STATE OR OTHER JURISDICTION (I.R.S. EMPLOYER OF INCORPORATION OR ORGANIZATION) IDENTIFICATION NUMBER)
297 NORTH BERNARDO AVENUE MOUNTAIN VIEW, CALIFORNIA 94043 (650) 919-6500 (ADDRESS, INCLUDING ZIP CODE AND TELEPHONE NUMBER, INCLUDING AREA CODE, OF REGISTRANT'S PRINCIPAL EXECUTIVE OFFICES) C. BOYD CLARKE PRESIDENT AND CHIEF EXECUTIVE OFFICER AVIRON 297 NORTH BERNARDO AVENUE MOUNTAIN VIEW, CALIFORNIA 94043 (650) 919-6500 (NAME, ADDRESS, INCLUDING ZIP CODE AND TELEPHONE NUMBER, INCLUDING AREA CODE, OF AGENT FOR SERVICE) COPY TO: ALAN C. MENDELSON, ESQ. LATHAM & WATKINS 135 COMMONWEALTH DRIVE MENLO PARK, CALIFORNIA 94025 (650) 463-4693 APPROXIMATE DATE OF COMMENCEMENT OF PROPOSED SALE TO THE PUBLIC: As soon as practicable after the effective date of this Registration Statement. If the only securities being registered on this Form are pursuant to dividend or interest reinvestment plans, check the following box. [ ] If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, other than securities offered only in connection with dividend or interest reinvestment plans, check the following box. [X] If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. [X] 333-52028 If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. [ ] If delivery of the prospectus is expected to be made pursuant to Rule 434, please check the following box. [ ] CALCULATION OF REGISTRATION FEE ---------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------- TITLE OF EACH CLASS PROPOSED MAXIMUM AGGREGATE AMOUNT OF OF SECURITIES TO BE REGISTERED OFFERING PRICE(1)(2) REGISTRATION FEE ---------------------------------------------------------------------------------------------------------------- Debt Securities............................... -- -- ---------------------------------------------------------------------------------------------------------------- Common Stock, par value $0.001 per share(3)... -- -- ---------------------------------------------------------------------------------------------------------------- Total......................................... $58,000,000 $14,500 ---------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------
(1) Estimated solely for the purpose of calculating the registration fee pursuant to Rule 457(o) of the Securities Act of 1933. Exclusive of accrued interest, if any, on the Debt Securities. (2) Not specified as to each class of securities to be registered hereunder pursuant to General Instruction II(D) to Form S-3 under the Securities Act of 1933. (3) Includes rights to be issued under the registrant's share purchase rights plan. -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- 2 EXPLANATORY NOTE This registration statement is being filed pursuant to Rule 462(b) under the Securities Act of 1933, as amended, and includes the registration statement facing page, this page, the signature pages, an exhibit index, an accountants' consent and an opinion of counsel. Pursuant to Rule 462(b), the contents of our registration statement on Form S-3 (File No. 333-52028), including the exhibits thereto (the "Initial Registration Statement"), are incorporated by reference into this registration statement. This registration statement covers the registration of an additional $58,000,000 aggregate offering price of our common stock and debt securities for sale in the offering referred to in the Initial Registration Statement. Such additional shares of common stock and debt securities are being sold by us. 3 SIGNATURES Pursuant to the requirements of the Securities Act of 1933, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-3 and has duly caused this Registration Statement on Form S-3 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Mountain View, County of Santa Clara, State of California, on February 1, 2001. AVIRON By: /s/ C. BOYD CLARKE ---------------------------------- C. Boyd Clarke Title: President, Chief Executive Officer and Chairman of the Board Pursuant to the requirements of the Securities Act, this Registration Statement has been signed below by the following persons in the capacities and on the dates indicated.
SIGNATURE TITLE DATE ------------------------------------------ ------------------------------------ ---------------- /s/ C. BOYD CLARKE President, Chief Executive Officer February 1, 2001 ------------------------------------------ and Chairman of the Board (Principal C. Boyd Clarke executive officer) /s/ FRED KURLAND Senior Vice President and Chief February 1, 2001 ------------------------------------------ Financial Officer (Principal Fred Kurland financial and accounting officer) * Director February 1, 2001 ------------------------------------------ R. Gordon Douglas, Jr., M.D. * Director February 1, 2001 ------------------------------------------ Dennis M. Fenton, Ph.D. * Director February 1, 2001 ------------------------------------------ Wayne T. Hockmeyer, Ph.D. * Director February 1, 2001 ------------------------------------------ Paul H. Klingenstein * Director February 1, 2001 ------------------------------------------ Alan C. Mendelson * Director February 1, 2001 ------------------------------------------ J. Leighton Read, M.D. * Director February 1, 2001 ------------------------------------------ Bernard Roizman, Sc.D. *By: /s/ C. BOYD CLARKE ---------------------------------------- C. Boyd Clarke Attorney-in-Fact
4 INDEX TO EXHIBITS
EXHIBIT NO. DESCRIPTION OF DOCUMENT ------- ----------------------- 5.1 Opinion of Latham & Watkins. 23.1 Consent of Ernst & Young LLP, Independent Auditors. 23.2 Consent of Latham & Watkins. Reference is made to Exhibit 5.1. 24.1* Power of Attorney.
------------------------- * Incorporated by reference to the correspondingly numbered exhibit to our Registration Statement on Form S-3, File No. 333-52028, Filed December 18, 2000.