-----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, VBtEURGplIzAG/q/Db0pz6oW9nQxyP8h2v4uaGYX71VWINDirr/Cs6a7f6tixvod 0wPPNm5qDxAfm98Si4uotg== 0000932799-06-000306.txt : 20060927 0000932799-06-000306.hdr.sgml : 20060927 20060927082014 ACCESSION NUMBER: 0000932799-06-000306 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060927 DATE AS OF CHANGE: 20060927 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: 061110033 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 asmi13d3.txt 13D/A SEPT 22, 2006 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 5 -------- 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 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) September 22, 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 4,082,205 - -------------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - -------------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 4,082,205 - -------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON 4,082,205 - ------------------------------------------------------------------------------- 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) 7.7% - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (see Instructions) IA - ------------------------------------------------------------------------------- Amendment No. 5 to Schedule 13D relating to ASM International N.V. Introduction: Mellon HBV Alternative Strategies LLC (the "Reporting Person" or "MHBV"), is filing this Amendment No. 5 to Schedule 13D relating to ASM International NV (the "Issuer" or "ASMI") to disclose recent discussions with the Issuer and transactions related to the Issuer's Common Stock. MHBV has reached an agreement with the Issuer regarding matters we believe to be of concern to the Issuer's Shareholders. As a result of the discussion between the Issuer and MHBV, as disclosed in the Reporting Person's Amendment No. 4 to Schedule 13D filed August 7, 2006, the Issuer has confirmed that it will include on the agenda for the upcoming Extraordinary General Meeting scheduled for November 27, 2006 (the "Extraordinary Meeting") a proposal for Shareholder consideration relating to a motion on the proposed split between the back end operations and front end operations of the business of the Issuer and its investment in ASM Pacific Technology Ltd. The Reporting Person anticipates, at the appropriate time, soliciting from the Issuer's Shareholders their support for such motion. Nothing contained herein shall constitute a solicitation for any Shareholder action. The Issuer's agreement to include this proposal is conditioned upon the agreement by the Reporting Person to request no further proposals be placed on the agenda for the Extraordinary Meeting. Item 5. Interest in Securities of the Issuer. (a) As of September 22, 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 3,731,235 shares of the Issuer's Common Stock and options to purchase 350,970 shares of the Issuer's Common Stock (collectively, the "Shares"), representing approximately 7.7% 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 period since the Reporting Person's most recent filing on Schedule 13D, dated August 7, 2006, relating to the Issuer. - ------------------------------------------------------------------- TRADE DATE ACTION QUANTITY PRICE CURRENCY* - ------------------------------------------------------------------- - ------------------------------------------------------------------- 8/11/06 SELL 13,940 12.4425 EURO - ------------------------------------------------------------------- 8/17/06 SELL 22,515 13.5642 EURO - ------------------------------------------------------------------- 8/22/06 SELL 41,282 13.5097 EURO - ------------------------------------------------------------------- 8/23/06 SELL 31,000 13.4330 EURO - ------------------------------------------------------------------- 8/24/06 SELL 20,000 13.4300 EURO - ------------------------------------------------------------------- 8/25/06 SELL 22,616 13.4179 EURO - ------------------------------------------------------------------- 8/29/06 SELL 40,430 13.4164 EURO - ------------------------------------------------------------------- 8/30/06 SELL 60,000 13.4899 EURO - ------------------------------------------------------------------- 9/1/06 SELL 30,000 13.6235 EURO - ------------------------------------------------------------------- 9/4/06 SELL 50,000 13.6800 EURO - ------------------------------------------------------------------- 9/6/06 SELL 35,000 13.6343 EURO - ------------------------------------------------------------------- The Reporting Person acquired options to purchase 227,500 shares of the Issuer's Common Stock at 16.000 Euro per share on September 18, 2006, and 132,200 shares of the Issuer's Common Stock at an exercise price of 16.000 Euro per share on September 19, 2006, each at a purchase price of 30 Euro cents per share. Each option expires in December 2006. - -------------------------------- * As of the date hereof, the conversion rate is 1EUR = 1.2788 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: September 22, 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-----