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<PAGE>
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
-------------------------
SCHEDULE 13D
(RULE 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND
AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a)
(Amendment No. )*
Trikon Technologies, Inc.
(Name of Issuer)
Common Stock, no par value
(Title of Class of Securities)
896187101
(CUSIP Number)
Stephanie B. Mudick
Deputy General Counsel
Travelers Group Inc.
388 Greenwich Street
New York, New York 10013
(212) 816-8000
(Name, address and telephone number of person
authorized to receive notices and communications)
November 28, 1997
(Date of event which requires filing of this statement)
---------------------
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition which is the subject of this Schedule 13D, and is filing
this schedule because of Rule 13d-1(b)(3) or (4), check the following box / /.
Note: Six copies of this statement, including all exhibits, should be filed
with the Commission. See Rule 13d-1(a) for other parties to whom copies are to
be sent.
(Continued on following pages)
- ------------------------
* The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which
would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purposes of Section 18 of the Securities Exchange Act of
1934 or otherwise subject to the liabilities of that section of the Act but
shall be subject to all other provisions of the Act (however, see the Notes).
Page 1 of 26
<PAGE>
<TABLE>
<CAPTION>
<S> <C> <C>
CUSIP NO. 896187101 13D PAGE 2 OF 26 PAGES
- --------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
TRAVELERS GROUP INC., 52-1568099
- --------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS 00
- --------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e) [ ]
- --------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE
- --------------------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER 0
SHARES
BENEFICIALLY 8 SHARED VOTING POWER 1,093,280
OWNED BY
EACH 9 SOLE DISPOSITIVE POWER 0
REPORTING
PERSON WITH 10 SHARED DISPOSITIVE POWER 1,093,280
- --------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,093,280
- --------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- --------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.7%
- --------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON* HC
- --------------------------------------------------------------------------------------------
</TABLE>
* SEE INSTRUCTIONS BEFORE FILLING OUT
<PAGE>
ITEM 1. SECURITY AND ISSUER.
-------------------
This statement on Schedule 13D is being filed with respect to the Common
Stock, no par value (the "Common Stock"), of Trikon Technologies, Inc., a
California corporation (the "Issuer"), which has its principal executive office
at 9255 Deering Avenue, Chatsworth, California 91311.
ITEM 2. IDENTITY AND BACKGROUND.
-----------------------
(a), (b), (c) and (f) This Statement on Schedule 13D is being filed by
Travelers Group Inc., a Delaware corporation ("TRV"). All of the Common Stock
reported herein is directly beneficially owned by subsidiaries of TRV. The
principal executive offices of TRV are located, and the principal business is
conducted, at 388 Greenwich Street, New York, New York 10013.
TRV is a diversified financial services company engaged, through its
subsidiaries, in investment and asset management services, consumer finance
services and life and property-casualty insurance services.
The names, citizenship, business addresses and principal occupations or
employments of each of the executive officers and directors of TRV are set forth
in Annex A, which is incorporated herein by reference.
(d) and (e) Except as set forth or incorporated by reference herein, during
the last five years, none of TRV or, to the best knowledge of TRV, any of the
persons listed in Annex A hereto, has been convicted in a criminal proceeding
(excluding traffic violations or similar misdemeanors) or has been a party to a
civil proceeding of a judicial or administrative body of competent jurisdiction
and as a result of such proceeding was or is subject to any material judgment,
decree or final order enjoining future violations of, or prohibiting or
mandating activities subject to, federal or state securities laws or finding any
violation with respect to such laws.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
-------------------------------------------------
The source of funds for the purchases of the shares of Common Stock and
Convertible Notes (as defined in Item 5 herein) was working capital of the
TRV subsidiaries which purchased the subject securities. The aggregate
purchase prices of shares of Common Stock and Convertible Notes are shown on
Annex B hereto, which is incorporated herein by reference.
Page 3 of 26 Pages
<PAGE>
ITEM 4. PURPOSE OF TRANSACTION.
----------------------
A portion of the shares of Common Stock and Convertible Notes (as defined in
Item 5 herein) reported herein were purchased by a subsidiary of TRV as part of
a special situations investment. The remainder of the shares of Common Stock and
Convertible Notes reported herein were purchased by a subsidiary of TRV in
connection with market making activities.
Subsidiaries of TRV review their respective holdings of Issuer securities
on a continuing basis. Depending on such evaluations of the Issuer's business
and prospects, and upon future developments (including, but not limited to,
market prices of the Common Stock and Convertible Notes and availability and
alternative uses of funds; as well as conditions in the securities markets
and general economic and industry conditions), each subsidiary may acquire
other securities of the Issuer or sell all or a portion of its Common Stock
or Convertible Notes or other securities of the Issuer, now owned or
hereafter acquired. Except as otherwise described herein, none of TRV or, to
the best knowledge of TRV, any of the persons listed in Annex A hereto, has
any plans or proposals relating to or which would result in any of the
transactions described in Items 4 (a)-(j) of Schedule 13D.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
------------------------------------
(a) and (b) TRV is reporting on behalf of subsidiaries whose individual
percentages of beneficial ownership do not exceed 5%. TRV may be deemed to share
voting and dispositive power with respect to shares of Common Stock directly
beneficially owned by its subsidiaries and may be deemed to have an indirect
beneficial interest in such shares. Accordingly, TRV is the only entity whose
indirect beneficial ownership on an aggregate basis exceeds 5%.
As of the date hereof, TRV may be deemed to beneficially own 1,093,280
shares of Common Stock, which includes 14,290 shares of Common Stock and
1,078,990 shares of Common Stock issuable upon conversion of 16,870,000 7.125%
Convertible Notes due 10/15/01 (the "Convertible Notes"). 1,093,280 shares of
Common Stock represents 6.7% of the outstanding shares of Common Stock (based on
16,197,158 shares of Common Stock outstanding, which is the sum of the
15,118,168 shares of Common Stock outstanding as of September 30, 1997, as
reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ended
September 30, 1997, and the 1,078,990 shares that would be issued upon
conversion of the Convertible Notes). Additionally, a subsidiary of TRV holds
a short position of 72,100 shares of Common Stock.
Except as set forth or incorporated by reference herein, none of TRV or, to
the best knowledge of TRV, the persons listed in Annex A hereto, beneficially
owned any Common Stock or Convertible Notes on November 28, 1997.
Page 4 of 26 Pages
<PAGE>
(c) The dates, number of shares and prices per share for all purchases and
sales of Common Stock and Convertible Notes by subsidiaries of TRV from
September 29, 1997 through the date hereof are shown on Annex B hereto, which is
incorporated herein by reference. All such purchases and sales of Common Stock
and Convertible Notes were effected in the over-the-counter market.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR
------------------------------------------
RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER.
------------------------------------------------------
None of TRV or, to the best knowledge of TRV, the persons listed in Annex A
hereto, has any contracts, arrangements, understandings or relationships (legal
or otherwise) with any person with respect to securities of the Issuer.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
--------------------------------
None.
Page 5 of 26 Pages
<PAGE>
ANNEXES
-------
A. Executive Officers and Directors of Travelers Group Inc.
B. Description of Purchases and Sales of shares of Common Stock and
Convertible Notes by subsidiaries of TRV from September 29, 1997
through the date hereof.
Page 6 of 26 Pages
<PAGE>
SIGNATURE
---------
After reasonable inquiry and to the best of its knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
December 16, 1997
TRAVELERS GROUP INC.
BY: /s/ Stephanie B. Mudick
----------------------------------
NAME: Stephanie B. Mudick
TITLE: Assistant Secretary
Page 7 of 26 Pages
<PAGE>
December 1997
ANNEX A
EXECUTIVE OFFICERS AND DIRECTORS OF
-----------------------------------
TRAVELERS GROUP INC.
--------------------
<TABLE>
<CAPTION>
NAME, TITLE AND CITIZENSHIP PRINCIPAL OCCUPATION AND BUSINESS ADDRESS
- --------------------------- -----------------------------------------
<S> <C>
C. Michael Armstrong Chairman & Chief Executive Officer
Director (USA) AT&T Corp.
295 North Maple Avenue
Basking Ridge, New Jersey 07920
Judith Arron Executive Director
Director (USA) Carnegie Hall Corporation
8811 Seventh Avenue
New York, New York 10019
Kenneth J. Bialkin Partner
Director (USA) Skadden, Arps, Slate, Meagher & Flom LLP
919 Third Avenue
New York, New York 10022
Edward H. Budd Retired Chairman
Director (USA) Travelers Insurance Companies
One Tower Square
Hartford, Connecticut 06183
Joseph A. Califano, Jr. Chairman & Chief Executive Officer
Director (USA) The Center on Addiction & Substance Abuse
at Columbia University
152 West 57th Street
New York, New York 10019
Douglas D. Danforth Executive Associates
Director (USA) One PPG Place
Suite 2210
Pittsburgh, Pennsylvania 15222
James Dimon President & Chief Operating Officer
Director & Executive Travelers Group Inc.
Officer (USA) 388 Greenwich Street
New York, New York 10013
</TABLE>
Page 8 of 26 Pages
<PAGE>
<TABLE>
<CAPTION>
<S> <C>
Leslie B. Disharoon Former Chairman, President & Chief
Director (USA) Executive Officer
Monumental Corporation
2 Chittenden Lane
Owings Mills, Maryland 21117
The Honorable Gerald R. Ford Former President of the United States
Director (USA) Post Office Box 927
Rancho Mirage, California 92270
Thomas W. Jones Vice Chairman
Director & Executive Officer Travelers Group Inc.
(USA) 388 Greenwich Street
New York, New York 10013
Ann Dibble Jordan Consultant
Director (USA) Former Director of Social Services,
University of Chicago Medical Center
4610 Kenmore Drive, NW
Washington, DC 20007
Robert I. Lipp Vice Chairman
Director & Executive Travelers Group Inc.
Officer (USA) 388 Greenwich Street
New York, New York 10013
Michael T. Masin Vice Chairman & President - International
Director (USA) GTE Corporation
One Stamford Forum
Stamford, Connecticut 06904
Deryck C. Maughan Vice Chairman
Director (Great Britain) Travelers Group Inc.
388 Greenwich Street
New York, New York 10013
Dudley C. Mecum Managing Director
Director (USA) Capricorn Management
30 East Elm Street
Greenwich, Connecticut 06830
</TABLE>
Page 9 of 26 Pages
<PAGE>
<TABLE>
<CAPTION>
<S> <C>
Andrall E. Pearson Chairman & Chief Executive Officer
Director (USA) Tricon Global Restaurants, Inc.
660 Steamboat Road
Greenwich, Connecticut 06830
Frank J. Tasco Retired Chairman
Director (USA) Marsh & McLennan Companies, Inc.
1166 Avenue of the Americas
New York, New York 10036
Linda J. Wachner Chairman, President & Chief Executive Officer
Director (USA) Warnaco Group Inc.
90 Park Avenue
New York, New York 10016
Sanford I. Weill Chairman & Chief Executive Officer
Director & Executive Officer Travelers Group Inc.
(USA) 388 Greenwich Street
New York, New York 10013
Joseph R. Wright, Jr. Chairman & Chief Executive Officer
Director (USA) AMTEC, Inc.
599 Lexington Avenue
New York, New York 10022-6030
Arthur Zankel Co-Managing Partner
Director (USA) First Manhattan Company
437 Madison Avenue
New York, New York 10022
Steven D. Black Vice Chairman & Chief Operating Officer
Executive Officer (USA) Smith Barney Inc.
388 Greenwich Street
New York, New York 10013
Michael A. Carpenter Executive Vice President
Executive Officer (USA) Travelers Group Inc.
One Tower Square
Hartford, Connecticut 06183
</TABLE>
Page 10 of 26 Pages
<PAGE>
<TABLE>
<CAPTION>
<S> <C>
Charles J. Clarke Chairman & Chief Executive Officer--
Executive Officer (USA) Commercial Lines
Travelers Property Casualty Corp.
One Tower Square
Hartford, Connecticut 06183
Donald R. Cooper Chairman
Executive Officer (USA) Resource Deployment Inc.
307 West 7th Street
Fort Worth, Texas 76102
Peter M. Dawkins Chairman & Chief Executive Officer
Executive Officer (USA) Travelers Group Diversified
Distribution Services, Inc.
388 Greenwich Street
New York, New York 10013
Irwin Ettinger Executive Vice President
Executive Officer (USA) Travelers Group Inc.
388 Greenwich Street
New York, New York 10013
Jay S. Fishman Senior Vice President
Executive Officer (USA) Travelers Group Inc.
388 Greenwich Street
New York, New York 10013
Jeffrey B. Lane Vice Chairman
Executive Officer (USA) Travelers Group Inc.
388 Greenwich Street
New York, New York 10013
Jon C. Madonna Vice Chairman
Executive Officer (USA) Travelers Group Inc.
388 Greenwich Street
New York, New York 10013
Marjorie Magner President & Chief Operating Officer
Executive Officer (USA) Commercial Credit Company
300 St. Paul Place
Baltimore, Maryland 21202
Heidi G. Miller Senior Vice President & Chief Financial Officer
Executive Officer (USA) Travelers Group Inc.
388 Greenwich Street
New York, New York 10013
</TABLE>
Page 11 of 26 Pages
<PAGE>
<TABLE>
<CAPTION>
<S> <C>
Joseph J. Plumeri II Vice Chairman
Executive Officer (USA) Travelers Group Inc.
388 Greenwich Street
New York, New York 10013
Charles O. Prince, III Executive Vice President, General
Executive Officer (USA) Counsel & Secretary
Travelers Group Inc.
388 Greenwich Street
New York, New York 10013
Marc P. Weill Senior Vice President
Executive Officer (USA) Travelers Group Inc.
388 Greenwich Street
New York, New York 10013
Robert B. Willumstad Chairman & Chief Executive Officer
Executive Officer (USA) Commercial Credit Company
300 St. Paul Place
Baltimore, Maryland 21202
</TABLE>
Page 12 of 26 Pages
<PAGE>
ANNEX B
Set forth below are the purchases and sales of shares of Common Stock by
subsidiaries of TRV from September 29, 1997 through the date hereof. The
following purchases and sales were made in connection with market making
activities.
<TABLE>
<CAPTION>
NUMBER OF NUMBER OF
TRADE DATE SHARES PURCHASED SHARES SOLD PRICE PER SHARE
- ----------- ----------------- ----------- -----------------
<S> <C> <C> <C>
10/06/97 1,000 $ 8.50
500 $ 8.50
500 $ 8.25
800 $ 8.25
200 $ 8.38
10/07/97 300 $ 9.00
200 $ 9.00
1,000 $ 9.00
1,500 $ 9.00
1,000 $ 8.88
800 $ 9.00
300 $ 9.00
10/08/97 17,600 $ 8.90
1,000 $ 9.00
100 $ 8.81
10/09/97 1,000 $ 6.13
3,500 $ 6.00
200 $ 6.13
17,600 $ 8.89
10,000 $ 6.25
10,000 $ 6.00
2,000 $ 6.25
3,000 $ 6.25
1,000 $ 6.13
1,000 $ 6.13
10,000 $ 6.25
200 $ 6.13
500 $ 6.03
700 $ 5.94
7,500 $ 6.03
1,000 $ 6.00
1,000 $ 6.13
1,000 $ 6.13
2,000 $ 6.13
800 $ 6.03
</TABLE>
Page 13 of 26 Pages
<PAGE>
<TABLE>
<S> <C> <C> <C>
600 $ 6.13
5,000 $ 6.25
1,600 $ 6.13
2,000 $ 6.00
1,000 $ 6.00
300 $ 6.13
1,000 $ 6.00
2,000 $ 6.00
10/10/97 1,500 $ 5.88
200 $ 6.25
144 $ 6.25
1,500 $ 6.00
2,000 $ 6.06
1,000 $ 6.00
1,000 $ 5.88
400 $ 5.81
250 $ 6.06
800 $ 6.19
1,500 $ 6.06
300 $ 6.25
300 $ 6.25
2,500 $ 6.00
300 $ 6.06
1,000 $ 5.75
2,000 $ 5.50
4,000 $ 5.75
2,000 $ 6.13
500 $ 5.00
500 $ 5.00
1,000 $ 5.94
200 $ 4.91
2,000 $ 5.06
2,000 $ 5.50
1,000 $ 5.25
1,000 $ 5.00
1,000 $ 5.13
300 $ 4.91
200 $ 5.19
200 $ 5.19
2,000 $ 5.13
200 $ 4.91
4,000 $ 5.25
1,000 $ 5.00
1,000 $ 5.75
2,000 $ 5.25
</TABLE>
Page 14 of 26 Pages
<PAGE>
<TABLE>
<S> <C> <C> <C>
10/14/97 1,000 $ 5.13
5,000 $ 5.31
500 $ 5.19
1,000 $ 5.13
600 $ 5.44
150 $ 5.63
3,500 $ 5.19
200 $ 5.06
5,000 $ 5.63
1,000 $ 5.75
1,000 $ 5.75
3,500 $ 5.13
3,000 $ 5.19
1,000 $ 5.13
1,000 $ 5.25
3,000 $ 5.75
2,000 $ 5.69
1,000 $ 5.31
1,000 $ 5.31
6,000 $ 5.31
1,000 $ 5.75
200 $ 5.75
1,500 $ 5.25
1,000 $ 5.75
3,000 $ 5.75
1,000 $ 5.75
2,000 $ 5.75
2,000 $ 5.75
2,000 $ 5.63
10/15/97 1,000 $ 5.56
500 $ 5.50
100 $ 5.50
200 $ 5.50
200 $ 5.50
2,000 $ 5.75
10/16/97 500 $ 5.63
1,000 $ 5.50
1,000 $ 5.28
2,000 $ 5.28
300 $ 5.38
2,000 $ 5.25
485 $ 5.53
500 $ 5.50
1,500 $ 5.50
700 $ 5.47
</TABLE>
Page 15 of 26 Pages
<PAGE>
<TABLE>
<S> <C> <C> <C>
350 $ 5.28
1,000 $ 5.50
10/17/97 1,000 $ 5.19
2,000 $ 5.19
1,000 $ 5.13
300 $ 5.00
500 $ 5.44
1,000 $ 5.25
10/20/97 100 $ 5.19
200 $ 5.38
1,000 $ 5.31
2,000 $ 5.25
1,300 $ 5.19
5,000 $ 5.19
10/21/97 1,000 $ 5.25
2,000 $ 5.25
500 $ 5.25
10/22/97 5,000 $ 5.19
2,000 $ 5.19
400 $ 5.19
5,000 $ 5.19
1,700 $ 5.19
3,000 $ 5.19
2,000 $ 5.19
16,000 $ 5.19
6,000 $ 5.19
1,000 $ 5.13
3,000 $ 5.19
1,000 $ 5.00
1,000 $ 5.00
9,000 $ 5.25
5,300 $ 5.19
2,000 $ 5.00
25,000 $ 5.19
5,000 $ 5.19
100 $ 5.25
4,200 $ 5.19
4,600 $ 5.19
10/23/97 980 $ 4.63
500 $ 4.88
1,000 $ 4.75
10/24/97 1,000 $ 4.88
10/27/97 2,000 $ 4.63
500 $ 4.25
3,500 $ 4.75
</TABLE>
Page 16 of 26 Pages
<PAGE>
<TABLE>
<S> <C> <C> <C>
1,000 $ 4.75
1,000 $ 4.63
5,800 $ 4.25
800 $ 4.25
1,000 $ 4.25
1,000 $ 4.25
500 $ 4.50
2,000 $ 4.50
1,300 $ 4.50
1,000 $ 4.38
10,000 $ 4.38
1,000 $ 4.63
1,500 $ 4.06
1,200 $ 4.13
10,000 $ 4.38
40,000 $ 4.13
2,000 $ 4.25
3,300 $ 4.25
1,000 $ 4.25
1,000 $ 4.25
1,000 $ 4.25
1,000 $ 4.75
25,000 $ 4.13
10/28/97 5,000 $ 4.25
1,000 $ 3.97
2,580 $ 3.88
1,000 $ 3.75
3,500 $ 3.75
1,000 $ 3.75
1,500 $ 3.75
1,500 $ 3.75
1,000 $ 3.75
3,000 $ 3.50
10,000 $ 4.25
4,000 $ 3.69
4,000 $ 4.13
500 $ 4.13
5,000 $ 4.13
4,000 $ 4.13
25,000 $ 4.25
1,000 $ 3.50
200 $ 4.38
1,000 $ 4.25
1,000 $ 4.19
1,000 $ 4.19
</TABLE>
Page 17 of 26 Pages
<PAGE>
<TABLE>
<S> <C> <C> <C>
2,000 $ 4.13
1,000 $ 4.25
1,000 $ 4.00
1,500 $ 4.25
2,000 $ 4.25
500 $ 4.25
250 $ 4.25
5,000 $ 4.25
1,500 $ 4.25
500 $ 4.25
5,000 $ 3.63
1,600 $ 4.25
10,000 $ 4.00
20,000 $ 4.13
300 $ 3.75
1,000 $ 3.75
1,500 $ 3.88
2,000 $ 4.13
25 $ 3.75
4,000 $ 3.75
5,500 $ 3.63
25,000 $ 3.50
3,000 $ 3.75
10/29/97 5,000 $ 4.63
1,000 $ 4.63
1,000 $ 4.44
1,000 $ 4.63
1,000 $ 4.44
1,000 $ 4.44
1,000 $ 4.44
1,000 $ 4.44
700 $ 4.25
500 $ 4.25
1,000 $ 4.63
1,000 $ 4.44
10,000 $ 4.25
5,000 $ 4.44
5,000 $ 4.13
10,000 $ 4.19
15,000 $ 4.50
1,000 $ 4.63
1,000 $ 4.44
1,000 $ 4.25
1,000 $ 4.63
100 $ 4.44
</TABLE>
Page 18 of 26 Pages
<PAGE>
<TABLE>
<S> <C> <C> <C>
1,000 $ 4.63
5,000 $ 4.69
1,900 $ 4.56
10/30/97 1,000 $ 4.19
1,000 $ 4.19
5,000 $ 4.19
1,000 $ 4.00
100 $ 4.13
5,873 $ 4.00
500 $ 4.13
400 $ 3.75
1,000 $ 4.00
2,000 $ 4.00
10,000 $ 4.19
200 $ 4.19
10,000 $ 4.13
1,000 $ 4.00
10/31/97 1,000 $ 4.00
2,000 $ 4.06
1,700 $ 4.06
10,000 $ 4.00
1,000 $ 4.00
2,000 $ 4.00
1,000 $ 4.00
1,000 $ 4.00
1,000 $ 4.00
200 $ 4.13
1,000 $ 4.00
1,300 $ 4.06
1,000 $ 4.00
1,000 $ 4.00
1,000 $ 4.00
15,000 $ 4.00
1,000 $ 4.00
1,000 $ 4.00
1,000 $ 4.00
1,000 $ 4.00
1,000 $ 4.00
1,000 $ 4.00
1,000 $ 4.00
1,000 $ 4.00
1,000 $ 4.00
1,000 $ 4.00
1,000 $ 4.00
700 $ 4.06
</TABLE>
Page 19 of 26 Pages
<PAGE>
<TABLE>
<S> <C> <C> <C>
1,000 $ 4.00
11/03/97 500 $ 4.13
2,000 $ 4.13
1,000 $ 4.00
1,000 $ 4.00
1,000 $ 4.00
110 $ 4.00
500 $ 4.00
1,000 $ 4.00
5,000 $ 4.00
15,000 $ 4.00
200 $ 4.06
1,300 $ 4.06
11/04/97 1,900 $ 4.00
1,200 $ 4.00
1,000 $ 4.06
1,000 $ 4.00
4,000 $ 4.00
10,000 $ 4.00
100 $ 4.06
11/05/97 1,000 $ 4.00
1,000 $ 4.06
5,000 $ 4.00
1,000 $ 4.06
11/06/97 10,000 $ 4.00
11/07/97 1,000 $ 3.56
300 $ 3.75
11/10/97 1,000 $ 3.50
5,000 $ 3.63
2,400 $ 3.50
3,000 $ 3.63
3,000 $ 3.50
15,000 $ 3.63
2,600 $ 3.50
2,000 $ 3.63
1,500 $ 3.63
2,400 $ 3.50
450 $ 3.50
5,000 $ 3.50
11/11/97 200 $ 3.25
900 $ 3.00
1,000 $ 2.63
1,000 $ 3.25
11/12/97 1,000 $ 3.00
1,000 $ 3.00
</TABLE>
Page 20 of 26 Pages
<PAGE>
<TABLE>
<S> <C> <C> <C>
8,000 $ 3.00
1,000 $ 3.75
8,000 $ 3.13
1,000 $ 3.75
500 $ 3.63
3,000 $ 3.13
1,000 $ 3.38
3,000 $ 3.13
6,000 $ 3.88
1,000 $ 3.84
1,000 $ 3.00
1,000 $ 3.75
350 $ 3.75
1,000 $ 3.06
1,000 $ 3.63
1,000 $ 3.63
100 $ 3.50
1,000 $ 3.63
1,400 $ 3.50
2,000 $ 3.50
1,980 $ 3.63
1,000 $ 2.94
1,000 $ 3.69
10,000 $ 3.38
1,000 $ 3.06
2,000 $ 3.38
5,000 $ 3.38
1,500 $ 3.38
4,000 $ 3.38
5,000 $ 3.38
10,000 $ 3.38
1,000 $ 3.75
10,000 $ 3.38
9,166 $ 3.63
5,000 $ 3.50
45,000 $ 3.31
1,000 $ 3.63
600 $ 2.88
1,000 $ 3.75
1,000 $ 3.50
5,000 $ 3.75
11/13/97 1,700 $ 3.50
800 $ 3.38
1,000 $ 3.00
1,000 $ 3.00
</TABLE>
Page 21 of 26 Pages
<PAGE>
<TABLE>
<S> <C> <C> <C>
400 $ 2.84
600 $ 2.88
500 $ 2.75
200 $ 2.75
1,000 $ 3.50
2,000 $ 2.81
2,000 $ 2.75
400 $ 2.63
1,000 $ 2.38
800 $ 2.50
150 $ 2.50
400 $ 2.56
200 $ 2.56
1,000 $ 2.50
1,500 $ 2.63
10,000 $ 2.63
1,000 $ 2.63
800 $ 2.63
1,000 $ 2.63
300 $ 2.56
1,000 $ 2.63
1,000 $ 2.63
1,000 $ 2.63
1,000 $ 2.63
50 $ 2.63
1,000 $ 2.75
10,000 $ 3.38
15,000 $ 2.50
20,000 $ 2.63
600 $ 2.56
1,000 $ 2.56
11/14/97 2,000 $ 2.56
300 $ 2.75
1,000 $ 3.50
1,000 $ 2.75
2,000 $ 2.75
800 $ 2.56
1,000 $ 2.75
10,000 $ 2.75
3,000 $ 2.75
3,000 $ 2.75
1,000 $ 2.69
1,000 $ 2.75
1,000 $ 2.75
200 $ 2.69
</TABLE>
Page 22 of 26 Pages
<PAGE>
<TABLE>
<S> <C> <C> <C>
1,000 $ 2.69
7,500 $ 2.75
3,000 $ 2.75
200 $ 2.75
400 $ 2.75
5,000 $ 2.75
5,000 $ 2.75
1,000 $ 2.75
40 $ 2.56
100 $ 2.75
3,000 $ 2.81
1,000 $ 2.75
2,000 $ 2.75
1,000 $ 2.75
11/17/97 500 $ 2.97
1,400 $ 2.94
100 $ 2.97
1,000 $ 2.94
2,000 $ 2.94
8,000 $ 2.97
6,000 $ 2.88
1,000 $ 2.94
1,000 $ 2.88
11/18/97 4,000 $ 2.50
4,000 $ 2.50
1,000 $ 2.50
11/19/97 500 $ 2.25
1,000 $ 2.13
1,000 $ 2.06
2,500 $ 2.13
1,000 $ 2.13
4,000 $ 2.06
4,000 $ 2.13
5,000 $ 2.13
15,000 $ 2.06
500 $ 2.03
900 $ 2.25
11/20/97 1,000 $ 2.25
1,000 $ 2.25
1,000 $ 2.25
1,000 $ 2.25
7,000 $ 2.25
3,000 $ 2.22
2,000 $ 2.13
1,500 $ 2.06
</TABLE>
Page 23 of 26 Pages
<PAGE>
<TABLE>
<S> <C> <C> <C>
4,000 $ 2.25
1,000 $ 2.25
2,000 $ 2.38
1,200 $ 2.38
3,000 $ 2.38
1,300 $ 2.38
325 $ 2.25
1,000 $ 2.31
300 $ 2.31
11,000 $ 2.28
1,016 $ 2.34
5,000 $ 2.19
800 $ 2.25
2,000 $ 2.06
1,900 $ 2.13
39,000 $ 2.17
Total 852,275 531,349
</TABLE>
The following purchases and sales were made as part of a
special situations investment.
<TABLE>
<CAPTION>
NUMBER OF NUMBER OF PRICE PER
TRADE DATE SHARES PURCHASED SHARES SOLD SHARE
- ----------- ----------------- ----------- --------------
<S> <C> <C> <C>
11/06/97 5,000 $ 4.0000
5,000 $ 4.0000
11/07/97 5,000 $ 3.7500
1,000 $ 3.7500
11/10/97 36,300 $ 3.6250
11/12/97 3,000 $ 3.0000
2,500 $ 2.8750
2,000 $ 3.1250
11/19/97 5,000 $ 2.0000
15,000 $ 2.0625
11/21/97 5,000 $ 2.3750
5,000 $ 2.3750
5,000 $ 2.3750
11/26/97 9,800 $ 2.3125
200 $ 2.3125
10,000 $ 2.3125
Total 62,500 52,300
</TABLE>
Page 24 of 26 Pages
<PAGE>
Set forth below are the purchases and sales of Convertible Notes by
subsidiaries of TRV from September 29, 1997 through the date hereof. The
following purchases and sales were made in connection with market making
activities.
<TABLE>
<CAPTION>
NUMBER OF NUMBER OF
CONVERTIBLE CONVERTIBLE PRICE PER
TRADE DATE NOTES PURCHASED NOTES SOLD CONVERTIBLE NOTE
- ----------- --------------- ----------- -----------------
<S> <C> <C> <C>
10/08/97 465,000 $ 78.00
370,000 $ 78.00
150,000 $ 78.00
1,110,000 $ 78.00
470,000 $ 78.00
120,000 $ 78.00
465,000 $ 78.00
500,000 $ 78.75
600,000 $ 78.75
250,000 $ 78.75
650,000 $ 78.75
500,000 $ 78.75
80,000 $ 78.00
10/14/97 2,000,000 $ 57.50
400,000 $ 56.00
1,500,000 $ 56.00
100,000 $ 56.00
10/17/97 1,000,000 $ 56.50
11/12/97 1,000,000 $ 58.00
500,000 $ 59.25
500,000 $ 57.00
3,000,000 $ 59.00
11/14/97 500,000 $ 50.00
11/24/97 50,000 $ 45.00
12/04/97 500,000 $ 46.00
Total 7,280,000 9,500,000
</TABLE>
Page 25 of 26 Pages
<PAGE>
The following purchases and sales were made as part of a special
situations investment.
<TABLE>
<CAPTION>
NUMBER OF NUMBER OF
CONVERTIBLE CONVERTIBLE PRICE PER
TRADE DATE NOTES PURCHASED NOTES SOLD CONVERTIBLE NOTE
- ----------- --------------- ----------- ----------------
<S> <C> <C> <C>
11/06/97 300,000 $51.0000
11/10/97 600,000 $53.2500
11/12/97 1,000,000 $60.0000
1,000,000 $60.2500
1,500,000 $60.2500
11/14/97 4,000,000 $51.0000
12/02/97 750,000 $46.7500
1,500,000 $47.2500
Total 10,650,000
</TABLE>
Page 26 of 26 Pages
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