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Previous: SOUTHERN FINANCIAL BANCORP INC, SC 13D/A, 1998-11-30 |
Next: RESIDENTIAL ACCREDIT LOANS INC, 424B5, 1998-11-30 |
<PAGE> 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is superseded by the following table: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.
<TABLE>
<CAPTION>
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
---- ----------- ------ -------------- ------
<S> <C> <C> <C> <C>
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
</TABLE>
1.
<PAGE> 2
<TABLE>
<CAPTION>
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
---- ----------- ------ -------------- ------
<S> <C> <C> <C> <C>
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
</TABLE>
2.
<PAGE> 3
<TABLE>
<CAPTION>
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
---- ----------- ------ -------------- ------
<S> <C> <C> <C> <C>
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
</TABLE>
3.
<PAGE> 4
<TABLE>
<CAPTION>
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
---- ----------- ------ -------------- ------
<S> <C> <C> <C> <C>
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
</TABLE>
4.
<PAGE> 5
<TABLE>
<CAPTION>
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
---- ----------- ------ -------------- ------
<S> <C> <C> <C> <C>
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
============== ============== ======= =======
</TABLE>
- ----------
(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.
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