SC 13D/A 1 d25973_13da.txt AMENDMENT NO. 3 CUSIP No. 292659109 13D Page 1 of 8 Pages SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 3)(1) Energy Conversion Devices, Inc. (Name of Issuer) Common Stock, $.01 par value (Title of Class of Securities) 292659109 (CUSIP Number) Mr. Yuji Inoue General Manager of Finance Division Canon Inc. 30-2, Shimomaruko 3-chome Ohta-ku Tokyo 146-8501, Japan Telephone No.: 011-81-3-3758-2111 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) May 23, 2001 (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, for other parties to whom copies are to be sent. (continued on following pages) (page 1 of 8 pages) -------- (1) 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 the disclosures provided in a prior cover page. The information required in 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 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. 292659109 13D Page 2 of 8 Pages -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Canon Inc. No I.R.S. identification no. (non-U.S. entity) -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |_| -------------------------------------------------------------------------------- 3. SEC USE ONLY -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS OO -------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |_| -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION Japan -------------------------------------------------------------------------------- NUMBER OF 7. SOLE VOTING POWER SHARES 857,905 BENEFICIALLY 8. SHARED VOTING POWER OWNED BY 0 EACH 9. SOLE DISPOSITIVE POWER REPORTING 857,905 PERSON WITH 10. SHARED DISPOSITIVE POWER 0 -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 857,905 shares -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_| -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.6% -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON CO -------------------------------------------------------------------------------- CUSIP No. 292659109 13D Page 3 of 8 Pages Canon Inc. ("Canon") hereby amends and supplements its report on Schedule 13D, originally filed on April 21, 2000 (the "Schedule 13D") with respect to the purchase of the common stock, par value $.01 (the "Common Stock"), of Energy Conversion Devices, Inc. (the "Issuer). Cover Page. The responses set forth in disclosure items 7, 9, 11 and 13 of the Schedule 13D cover page are hereby amended and restated as follows: (7) 857,905 (9) 857,905 (11) 857,905 shares (13) 4.6% Item 2. Identity and Background Exhibit A to the Schedule 13D is hereby deleted in its entirety and replaced with the Exhibit A attached to this Amendment No. 3. All statements made in the Schedule 13D regarding the persons listed on Exhibit A are hereby incorporated by reference and made with respect to the persons listed on Exhibit A attached to this Amendment No. 3. Item 4. Purpose of the Transaction The response set forth in Item 4 of the Schedule 13D is hereby amended and restated in its entirety as follows: Canon acquired its shares of Common Stock pursuant to the Purchase Agreement for investment purposes in connection with its divestiture of the USSC Shares. Canon does not seek to exercise control over the Issuer through its ownership of Common Stock. An employee of a U.S. subsidiary of Canon served on the Board of Directors of the Issuer until October 27, 2000. There are no agreements or understandings with the Issuer or any of the holders of its Common Stock obligating the Issuer or any holder representation of Canon on the Board. Canon will, from time to time, continue to dispose of the shares of Common Stock still held by it based on future market conditions and other relevant factors. Item 5. Interest in Securities of the Issuer The response set forth in Item 5 of the Schedule 13D is hereby amended and restated in its entirety as follows: (a) As of the date of this Amendment No. 3, Canon beneficially owns 857,905 shares of Common Stock, constituting approximately 4.6% of the outstanding shares of Common Stock, based on the Issuer's Form 10-Q for the period ended December 31, 2000. To the best of CUSIP No. 292659109 13D Page 4 of 8 Pages Canon's knowledge, none of the individuals listed in Exhibit A beneficially own any shares of Common Stock. (b) Canon has sole power to vote the 857,905 shares of Common Stock beneficially owned by it. (c) Canon acquired 700,000 shares of Common Stock on April 11, 2000 as disclosed pursuant to Item 3 above. On the dates set forth in Exhibit C, Canon sold the number of shares of Common Stock at the price per share set forth opposite the respective date. With the exception of the sale of shares of Common Stock on April 17, 2001, which were sold under a registration statement on Form S-3, the shares were sold in "brokers' transactions" pursuant to Rule 144 under the Securities Act of 1933. Except for such sales, neither Canon nor any of the persons listed in Exhibit A hereto effected any transactions in Common Stock in the past 60 days. (d) No person other than Canon has the right to receive or the power to direct the receipt of dividends from, or the proceeds of the sale of, the shares of Common Stock beneficially owned by Canon. (e) Canon ceased to be the beneficial owner of more than 5% of the outstanding shares of Common Stock on May 15, 2001. Item 7. Material to be Filed as Exhibits The response set forth in Item 7 of the Schedule 13D is hereby amended and restated in its entirety as follows: Exhibit A - Information concerning executive officers and directors of Canon (name, business address and present principal occupation or employment of each); Exhibit B - Registration Rights Agreement; and Exhibit C - Information concerning sales of shares of Common Stock by Canon for the past 60 days (date, amount of shares and share price). [The remainder of this page is intentionally left blank.] CUSIP No. 292659109 13D Page 5 of 8 Pages 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. Date: May 29, 2001 CANON INC. By: /s/ Toshizo Tanaka ----------------------------------- Toshizo Tanaka, Senior Managing Director and Group Executive of Finance & Accounting Headquarters CUSIP No. 292659109 13D Page 6 of 8 Pages EXHIBIT A INFORMATION CONCERNING CANON'S EXECUTIVE OFFICERS AND DIRECTORS
-------------------------------------------------------------------------------------------------------------------- Business in Charge or Position Main Occupation Name Business Address -------------------------------------------------------------------------------------------------------------------- President & C.E.O. Fujio Mitarai 30-2 Shimomaruko, 3-chome, Ohta-ku, Tokyo 146-8501 Japan -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- Group Executive of Senior Managing Technology Management 30-2 Shimomaruko, 3-chome, Ohta-ku, Tokyo Director Headquarters Ichiro Endo 146-8501 Japan -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- Chief of Global Marketing Promotion Committee; Group Executive of Human Senior Managing Resources Management & 30-2 Shimomaruko, 3-chome, Ohta-ku, Tokyo Director Organization Headquarters Yukio Yamashita 146-8501 Japan -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- Senior Managing Group Executive of Finance 30-2 Shimomaruko, 3-chome, Ohta-ku, Tokyo Director & Accounting Headquarters Toshizo Tanaka 146-8501 Japan -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- Group Executive of Internet Business 30-2 Shimomaruko, 3-chome, Ohta-ku, Tokyo Managing Director Development Headquarters Takashi Saito 146-8501 Japan -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- Chief of Global Environmental Promotion Committee; Group Executive of Production Management 30-2 Shimomaruko, 3-chome, Ohta-ku, Tokyo Managing Director Headquarters Yusuke Emura 146-8501 Japan -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- President of Canon U.S.A., One Canon Plaza, Lake Success, NY 11042, Managing Director Inc. Kinya Uchida U.S.A. -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- Chief Executive of Optical Products Operations; Chief of Digital Industry 20-2, Kiyohara-Kogyodanchi, Managing Director Business Promotion Akira Tajima Utsunomiya-shi, Tochigi 321-3292, Japan -------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------
CUSIP No. 292659109 13D Page 7 of 8 Pages
-------------------------------------------------------------------------------------------------------------------- Business in Charge or Position Main Occupation Name Business Address -------------------------------------------------------------------------------------------------------------------- Chief of Global Legal Affairs; Group Executive of Corporate Intellectual Property and Legal 30-2 Shimomaruko, 3-chome, Ohta-ku, Tokyo Managing Director Headquarters Nobuyoshi Tanaka 146-8501 Japan -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- Chief Executive of Image Communication Products 30-2 Shimomaruko, 3-chome, Ohta-ku, Tokyo Managing Director Operations Tsuneji Uchida 146-8501 Japan -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- Chief Executive of Peripheral Products 30-2 Shimomaruko, 3-chome, Ohta-ku, Tokyo Managing Director Operations Junji Ichikawa 146-8501 Japan -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- President of Canon Europa N.V.; President of Canon Bovenkerkerweg 59-61 1185 XB Amstelveen, Managing Director Europe Ltd. Hajime Tsuruoka The Netherlands -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- Executive V.P. of Canon One Canon Plaza, Lake Success, NY 11042, Director U.S.A., Inc. Toru Takahashi U.S.A. -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- Group Executive of New 30-2 Shimomaruko, 3-chome, Ohta-ku, Tokyo Director Business Headquarters Muneo Adachi 146-8501 Japan -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- Chief Executive of i 30-2 Shimomaruko, 3-chome, Ohta-ku, Tokyo Director Priner Products Operations Teruomi Takahashi 146-8501 Japan -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- Group Executive of Core Technology Development Headquarters; Group Executive of Display 30-2 Shimomaruko, 3-chome, Ohta-ku, Tokyo Director Development Headquarters Hironori Yamamoto 146-8501 Japan -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- Group Executive of General Affairs Headquarters; Group Executive of Information & Communication Systems 30-2 Shimomaruko, 3-chome, Ohta-ku, Tokyo Director Headquarters Akiyoshi Moroe 146-8501 Japan -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- Group Executive of Corporate Strategy & 30-2 Shimomaruko, 3-chome, Ohta-ku, Tokyo Director Development Headquarters Kunio Watanabe 146-8501 Japan -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- Chief Executive of Office 30-2 Shimomaruko, 3-chome, Ohta-ku, Tokyo Director Imaging Products Operations Ikuo Soma 146-8501 Japan -------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------
CUSIP No. 292659109 13D Page 8 of 8 Pages
-------------------------------------------------------------------------------------------------------------------- Business in Charge or Position Main Occupation Name Business Address -------------------------------------------------------------------------------------------------------------------- Director President of Canon Yoroku Adachi 9/F, The Hong Kong Club Building, 3A HongKong Co., Ltd. Charter Road, Central, Hong Kong -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- Director Chief Executive of Yasuo Mitsuhashi 30-2 Shimomaruko, 3-chome, Ohta-ku, Tokyo Chemical Products Operations 146-8501 Japan --------------------------------------------------------------------------------------------------------------------
EXHIBIT C
------------------------------------------------------------------------------------------- Date Number of Shares Price per Share (US$) =========================================================================================== 4/17/2001 3,500 24.50 ------------------------------------------------------------------------------------------- 4/18/2001 10,000 24.51 ------------------------------------------------------------------------------------------- 4/19/2001 10,000 24.83 ------------------------------------------------------------------------------------------- 4/20/2001 10,000 24.92 ------------------------------------------------------------------------------------------- 4/23/2001 10,000 24.55 ------------------------------------------------------------------------------------------- 4/24/2001 10,000 24.65 ------------------------------------------------------------------------------------------- 4/25/2001 10,000 24.63 ------------------------------------------------------------------------------------------- 4/26/2001 10,000 24.60 ------------------------------------------------------------------------------------------- 5/7/2001 500 28.45 ------------------------------------------------------------------------------------------- 5/8/2001 10,000 27.37 ------------------------------------------------------------------------------------------- 5/9/2001 10,000 27.29 ------------------------------------------------------------------------------------------- 5/10/2001 10,000 27.78 ------------------------------------------------------------------------------------------- 5/11/2001 10,000 27.14 ------------------------------------------------------------------------------------------- 5/14/2001 10,000 27.22 ------------------------------------------------------------------------------------------- 5/15/2001 10,000 27.60 ------------------------------------------------------------------------------------------- 5/16/2001 10,000 27.23 ------------------------------------------------------------------------------------------- 5/17/2001 10,000 28.70 ------------------------------------------------------------------------------------------- 5/18/2001 10,000 31.71 ------------------------------------------------------------------------------------------- 5/21/2001 10,000 32.04 ------------------------------------------------------------------------------------------- 5/22/2001 10,000 32.19 ------------------------------------------------------------------------------------------- 5/23/2001 10,000 31.32 ------------------------------------------------------------------------------------------- 5/24/2001 10,000 31.31 ------------------------------------------------------------------------------------------- 5/25/2001 10,000 32.20 -------------------------------------------------------------------------------------------