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Previous: TRANSPRO INC, 10-Q/A, 1999-07-08 |
Next: PRICE T ROWE CORPORATE INCOME FUND INC, N-30D, 1999-07-08 |
<PAGE> 1
Filed Pursuant to
Rule 424(b)(3) and (c)
File No. 333-50505
PROSPECTUS SUPPLEMENT NO. 12 DATED JULY 8, 1999
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is superseded by the following table: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 NOTES OWNED PRINCIPAL AMOUNT COMMON STOCK OWNED
PRIOR TO OF NOTES OFFERED PRIOR TO COMMON STOCK
NAME OFFERING(1) HEREBY OFFERING(1)(2) OFFERED HEREBY
---- ---------------- --------------- ------------------ --------------
<S> <C> <C> <C> <C>
AAM/Zazove Institutional Income
Fund, L.P. $ 0 $ 0 0 0
Alexandra Global Investment Fund I,
Inc. 0 0 70,716 0
Alexandra Global Investment Fund I
LTD 5,000,000 5,000,000
Amoco Corporation Master Trust 0 0 0 0
Allstate Insurance Company 2,000,000 2,000,000
Argent Classic Convertible Arbitrage
Fund L.P. 0 0 0 0
Argent Classic Convertible Arbitrage
Fund (Bermuda) L.P. 0 0 0 0
Bakers Local 433 Pension Trust 40,000 40,000 0 0
BancAmerica Robertson Stephens 195,000 195,000 0 0
</TABLE>
1.
<PAGE> 2
<TABLE>
<CAPTION>
PRINCIPAL AMOUNT
OF NOTES OWNED PRINCIPAL AMOUNT COMMON STOCK OWNED
PRIOR TO OF NOTES OFFERED PRIOR TO COMMON STOCK
NAME OFFERING(1) HEREBY OFFERING(1)(2) OFFERED HEREBY
---- ---------------- --------------- ------------------ --------------
<S> <C> <C> <C> <C>
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
Retirement Trust 1,370,000 1,370,000 0 0
CIBC Oppenheimer 0 0 0 0
Contrary Fund LLC 0 0 0 0
Declaration of Trust for the Defined
Benefit Plans of ICI American
Holdings Inc. 100,000 100,000 0 0
Declaration of Trust for the Defined
Benefit Plans of ZENECA Holdings Inc. 65,000 65,000 0 0
Delaware PERS 720,000 720,000 0 0
Delaware State Employees' Retirement
Fund 335,000 335,000 0 0
Deutsche Bank Securities 0 0 0 0
Donaldson, Lufkin & Jenrette
Securities Corporation 0 0 0 0
Fidelity American Trust 0 0 0 0
Fidelity Financial Trust Fidelity
Convertible Securities Fund 0 0 0 0
Forest Alternative Strategies Fund
II Series A-5I 0 0 0 0
Forest Alternative Strategies Fund
II LP Series A-5 0 0 0 0
Forest Alternative Strategies Fund
II LP Series A-5M 0 0 0 0
Forest Alternative Strategies Fund
Series B-3 0 0 0 0
Forest Global Convertible Fund
Series A-5 0 0 0 0
Forest Global Convertible Fund
Series B-1 0 0 0 0
Forest Global Convertible Fund
Series B-2 0 0 0 0
Forest Global Convertible Fund
Series B-3 0 0 0 0
</TABLE>
2.
<PAGE> 3
<TABLE>
<CAPTION>
PRINCIPAL AMOUNT
OF NOTES OWNED PRINCIPAL AMOUNT COMMON STOCK OWNED
PRIOR TO OF NOTES OFFERED PRIOR TO COMMON STOCK
NAME OFFERING(1) HEREBY OFFERING(1)(2) OFFERED HEREBY
---- ---------------- --------------- ------------------ --------------
<S> <C> <C> <C> <C>
Forest Global Convertible Fund
Series B-5 0 0 0 0
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
Plan for Employees Rep. By the IAM 120,000 120,000 0 0
Hawaiian Airlines Inc. UAD 1/1/76
FBO Pension Plan for Salaried
Individual (SAL) 30,000 30,000 0 0
Heritage Series Trust Small Cap
Stock Fund 1,000,000 1,000,000 100,000 0
ICI American Holdings 310,000 310,000 0 0
The James and Abigail Campbell
Foundation 75,000 75,000 0 0
Jeffries and Company Inc. 20,000 20,000 0 0
JMG Convertible Investments, L.P. 500,000 500,000 0 0
Kapiolani Health 80,000 80,000 0 0
LDG Limited 150,000 150,000 0 0
Little Wing L.P. 0 0 0 0
Lincoln National Convertible
Securities Fund 1,700,000 1,700,000 0 0
LLT Limited 0 0 0 0
MainStay Convertible Fund 0 0 68,800 0
Maui Publishing Company Retirement
Plan 10,000 10,000 0 0
McMahan Securities Company L.P. 505,000 505,000 0 0
Minnesota Bakers Union Pension Fund 30,000 30,000 0 0
Morgan Stanley Dean Witter 0 0 0 0
Nalco Chemical Company 160,000 160,000 0 0
</TABLE>
3.
<PAGE> 4
<TABLE>
<CAPTION>
PRINCIPAL AMOUNT
OF NOTES OWNED PRINCIPAL AMOUNT COMMON STOCK OWNED
PRIOR TO OF NOTES OFFERED PRIOR TO COMMON STOCK
NAME OFFERING(1) HEREBY OFFERING(1)(2) OFFERED HEREBY
---- ---------------- --------------- ------------------ --------------
<S> <C> <C> <C> <C>
Navesink Equity Derivative Fund, LDC 2,000,000 2,000,000 0 0
Northwestern Mutual Life Insurance
Company 0 0 0 0
OCM Convertible Limited Partnership 50,000 50,000 0 0
OCM Convertible Trust 680,000 680,000 0 0
Pacific Life Insurance Company 2,500,000 2,500,000 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 0 0
Sage Capital 1,250,000 1,250,000 0 0
Schroders & Co. Inc. 3,500,000 3,500,000 0 0
Silverton International Fund Limited 1,500,000 1,500,000 0 0
Societe Generale Securities Corp. 4,370,000 4,370,000 0 0
SSI Balanced Hedge Partnership 45,000 45,000 0 0
State Employees' Retirement Fund of
the State of Delaware 360,000 360,000 0 0
State of Connecticut Combined
Investment Funds 1,280,000 1,280,000 0 0
Thermo Eletron Balanced Investment
Fund 0 0 0 0
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 450,000 450,000 0 0
Tracor, Inc. Employees Retirement
Plan 110,000 110,000 0 0
Trade Winds L.P. 0 0 0 0
Triton Capital Investments, Ltd. 500,000 500,000 0 0
Twin City Bakery Drivers Pension Fund 20,000 20,000 0 0
Unity House 80,000 80,000 0 0
Vanguard Convertible Securities
Fund, Inc. 0 0 0 0
</TABLE>
4.
<PAGE> 5
<TABLE>
<CAPTION>
PRINCIPAL AMOUNT
OF NOTES OWNED PRINCIPAL AMOUNT COMMON STOCK OWNED
PRIOR TO OF NOTES OFFERED PRIOR TO COMMON STOCK
NAME OFFERING(1) HEREBY OFFERING(1)(2) OFFERED HEREBY
---- ---------------- --------------- ------------------ --------------
<S> <C> <C> <C> <C>
Walker Art Center 50,000 50,000 0 0
Weirton Trust 200,000 200,000 0 0
---------- ---------- ---------- ----------
Zeneca Holdings Trust 310,000 310,000 0 0
-------------- -------------- -------------- --------------
TOTAL $43,620,000.00 $43,620,000.00 239,516 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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