-----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, KVxOyB0uWVTkI+bmDNdG2PLPMUumkOdlBX/nBxRL92WrxgcAZdYFAygx+yJb3IMi LHzYGUOfP+qDGR2j8s2a0w== 0000932799-06-000276.txt : 20060814 0000932799-06-000276.hdr.sgml : 20060814 20060814112648 ACCESSION NUMBER: 0000932799-06-000276 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060814 DATE AS OF CHANGE: 20060814 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASM INTERNATIONAL N V CENTRAL INDEX KEY: 0000351483 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 980101743 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-58375 FILM NUMBER: 061027763 BUSINESS ADDRESS: STREET 1: JAN VAN EYCKLAAN 10 STREET 2: 3723 BC BILTHOVEN CITY: THE NETHERLANDS STATE: P7 BUSINESS PHONE: 6022434221 MAIL ADDRESS: STREET 1: JAN VAN EYCKLAAN 10 STREET 2: 3723 BC BILTHOVEN CITY: NETHERLANDS STATE: AR ZIP: 85012 FORMER COMPANY: FORMER CONFORMED NAME: ADVANCED SEMICONDUCTOR MATERIALS INTERNATIONAL N V DATE OF NAME CHANGE: 19950530 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MELLON HBV ALTERNATIVE STRATEGIES LLC CENTRAL INDEX KEY: 0001218315 IRS NUMBER: 134050836 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 200 PARK AVE STREET 2: STE 3300 CITY: NEW YORK STATE: NY ZIP: 10166-3399 BUSINESS PHONE: 2128083941 MAIL ADDRESS: STREET 1: 200 PARK AVE STREET 2: STE 3300 CITY: NEW YORK STATE: NY ZIP: 10166-3399 SC 13D/A 1 asmi13da4.txt SCHEDULE 13D/A 8/4/06 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 4 -------- ASM International N.V. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value Euro 0.4 per share - ------------------------------------------------------------------------------- (Title of Class of Securities) N07045102 - ------------------------------------------------------------------------------- (CUSIP Number) Mellon HBV Alternative Investment Strategies LLC 200 Park Avenue, Suite 5400 New York, NY 10166-3399 (212) 922-8200 - ------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) August 7, 2006 - ------------------------------------------------------------------------------- (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(e), 13d-1(f) or 13d-1(g), check the following box.[_] Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent. *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 purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") 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). CUSIP No. N07045102 - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only) Mellon HBV Alternative Strategies LLC I.R.S. No.: 13-4050836 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[X] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 4,098,018 - -------------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - -------------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 4,098,018 - -------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON 4,098,018 - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see Instructions) [ ] - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.8% - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (see Instructions) IA - ------------------------------------------------------------------------------- Amendment No. 4 to Schedule 13D relating to ASM International N.V. Introduction: Mellon HBV, the Reporting Person, is filing this Amendment No. 4 to Schedule 13D relating to ASM International N.V. (the "Issuer" or "ASMI") to disclose recent discussions with the Issuer and an increase in the Reporting Person's beneficial ownership of Common Stock. MHBV is in discussion with the Issuer regarding matters we believe to be of concern to the Issuer's Shareholders. MHBV has proposed to include on the agenda for the upcoming Extraordinary General Meeting scheduled for November 27, 2006 a proposal for Shareholder consideration relating to a resolution or motion on the proposed split between the back end operations and front end operations of the business of the Issuer. MHBV and the Issuer are presently discussing the exact nature and scope of the agenda item for the Extraordinary General Meeting. During the Annual General Meeting of May 19, 2006, the ASMI Board and Supervisory Board have committed themselves to (propose to) adapt the process of appointment and dismissal of board members to the Dutch Corporate Governance standard. Such adaptation at least entails that the present system of binding nominations by the ASMI Board for appointment and that dismissal of Board members can be set aside by a majority shareholders' vote. Item 5. Interest in Securities of the Issuer. (a) As of August 7, 2006, it may be deemed that on behalf of private affiliated investment funds and separately managed accounts over which it exercises discretionary authority the Reporting Person beneficially owns 4,098,018 shares of the Issuer's Common Stock (the "Shares"), representing approximately 7.8% of the outstanding Common Stock (based on 52,678,952 shares outstanding as reported by the Issuer, on its Annual Report on Form 20-F for its fiscal year ended December 31, 2005). (c) The table below sets forth transactions in the Issuer's Common Stock that the Reporting Person effected during the past sixty (60) days relating to the Issuer. Each transaction set forth below is sale. Date Action Currency* Number of Price Shares 05/31/06 Buy EUR 53,065 13.3337 06/01/06 Buy EUR 5,000 13.2500 06/05/06 Buy EUR 30,776 13.1878 06/06/06 Buy EUR 65,000 12.8384 06/07/06 Buy EUR 5,000 12.5600 06/08/06 Buy EUR 7,742 12.1599 06/08/06 Buy EUR 32,258 12.1599 06/12/06 Buy EUR 1,936 12.0950 06/12/06 Buy EUR 8,064 12.0950 06/29/06 Buy EUR 43,878 12.1102 06/30/06 Buy EUR 25,000 12.1900 07/12/06 Sell EUR 5,000 12.0500 07/13/06 Buy EUR 24,905 11.7420 07/13/06 Buy EUR 25,000 11.7300 07/14/06 Buy EUR 15,000 11.5267 7/18/06 Buy EUR 15,000 11.28 7/21/06 Buy EUR 15,000 11.09 7/25/06 Buy EUR 31,613 11.46 7/25/06 Buy EUR 25,000 11.47 7/26/06 Buy EUR 15,400 11.47 7/26/06 Buy EUR 25,000 11.50 7/27/06 Buy EUR 20,000 11.42 7/27/06 Buy EUR 50,000 11.45 06/30/06 Sell EUR 5,199 15.8039 06/30/06 Sell EUR 1,787 15.8039 06/30/06 Sell EUR 1,815 15.8039 06/30/06 Sell EUR 884 15.8039 06/30/06 Sell EUR 14,310 15.8039 06/30/06 Sell EUR 1,181 15.8039 07/27/06 Buy EUR 20,000 11.4239 07/27/06 Buy EUR 50,000 11.4500 08/02/06 Sell EUR 14,000 12.4509 08/03/06 Sell EUR 9,450 12.35 08/03/06 Buy EUR 12,765 12.35 08/04/06 Buy EUR 21,093 12.43 08/03/06 Sell EUR 318 15.44 08/03/06 Buy EUR 318 15.44 08/04/06 Sell EUR 936 15.62 08/07/06 Buy EUR 56,089 12.3661 ________________________________ * As of the date hereof, the conversion rate is 1EUR = 1.2877 US Dollars. (Source: Wall Street Journal) SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: August 7, 2006 Mellon HBV Alternative Strategies LLC, a Delaware Limited Liability Company By: /s/ William F. Harley -------------------------------- William F. Harley III Chief Investment Officer -----END PRIVACY-ENHANCED MESSAGE-----