UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 20-F/A
(Amendment No. 1)
Registration Statement pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 | ||
Annual Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2001 | ||
Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to |
Commission File Number: 0-13355
ASM INTERNATIONAL N.V.
fka ADVANCED SEMICONDUCTOR MATERIALS INTERNATIONAL N.V.
(Exact name of Registrant as specified in its charter)
The Netherlands
(Jurisdiction of incorporation or organization)
Jan van Eycklaan 10, 3723 BC Bilthoven, the Netherlands
(Address of principal executive offices)
Securities registered or to be registered pursuant to
Section 12(b) of the Act: None
Securities registered or to be registered pursuant to
Section 12(g) of the Act: Common Shares
Securities for which there is a reporting obligation
pursuant to Section 15(d) of the Act: None
Indicate the number of outstanding shares of each of the issuer’s classes of capital or common stock as of the close of the period covered by the annual report: 49,070,296 common shares; no preferred shares.
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Sections 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.
Yes No
Indicate by check mark which financial statement item the registrant has elected to follow:
Item 17 Item 18
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This amendment to the ASM International N.V. Form 20-F filed March 28, 2002 amends Part III, Item 19 (Exhibits) to include additional exhibits.
Part III
Item 19.Exhibits
Exhibit Number | Description | Incorporated by Reference to: | Included Herein: | |||
1.1 | English translation of ASM International N.V.’s Compiled Articles of Association, as amended | Exhibit 3.1 to Registrant’s 6-K filed on November 6, 2001 | ||||
4.1 | 1994 Stock Option Plan | Exhibit 99.1 to the Registrant’s S-8 filed October 25, 1999 | ||||
4.2 | Debenture Purchase Agreement Part 1 | Exhibit 4.2 to the Registrant’s Form F-3 filed on December 13, 1999 | ||||
4.3 | Debenture Purchase Agreement Part 2 | Exhibit 4.2 to the Registrant’s Form F-3 filed on December 13, 1999 | ||||
4.4 | Zero Coupon Debenture | Exhibit 4.3 to the Registrant’s Form F-3 filed on December 13, 1999 | ||||
4.5 | Common Stock Purchase Warrant | Exhibit 4.4 to the Registrant’s Form F-3 filed on December 13, 1999 | ||||
4.6 | Supplemental Common Stock Purchase Warrant | Exhibit 4.5 to the Registrant’s Form F-3 filed on December 13, 1999 | ||||
4.7 | Registration Rights Agreement | Exhibit 4.6 to the Registrant’s Form F-3 filed on December 13, 1999 | ||||
4.8 | Equity Line Financing Agreement between ASM International N.V. and Canadian Imperial Holdings Inc. dated July 6, 2000 | Exhibit 23.1 to Registrant’s 6-K filed on September 6, 2000 | ||||
4.9 | Amendment No. 1 to the Equity Line Agreement between ASM International N.V. and Canadian Imperial Holdings Inc. | Exhibit 4.9 to Registrant’s 20-F filed on March 9, 2001 | ||||
4.10 | Credit Agreement among ASM International N.V., Canadian Imperial Bank of Commerce and Advanced Semiconductor Materials (Netherlands Antilles) N.V. dated July 6, 2000 | Exhibit 23.2 to Registrant’s 6-K filed on September 6, 2000 |
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Exhibit Number | Description | Incorporated by Reference to: | Included Herein: | |||
4.11 | Amendment No. 1 to the Credit Agreement among ASM International N.V. and Canadian Imperial Bank of Commerce, Advanced Semiconductor Materials (Netherlands Antilles) N.V. | Exhibit 4.11 to Registrant’s 20-F filed on March 9, 2001 | ||||
4.12 | Registration Rights Agreement between ASM International N.V. and Canadian Imperial Holdings Inc. dated July 6, 2000 | Exhibit 23.3 to Registrant’s 6-K filed on September 6, 2000 | ||||
4.13 | Amendment No. 1 to the Registration Rights Agreement between ASM International N.V. and Canadian Imperial Holdings Inc. | Exhibit 4.13 to Registrant’s 20-F filed on March 9, 2001 | ||||
4.14 | Security Agreement among ASM International N.V., Advanced Semiconductor Materials (Netherlands Antilles), N.V. and Canadian Imperial Bank of Commerce dated July 6, 2000 | Exhibit 23.4 to the Registrant’s 6-K filed on September 6, 2000 | ||||
4.15 | Supplement No. 1 to the Security Agreement between ASM International N.V. , Advanced Semiconductor Materials (Netherlands Antilles), N.V. and Canadian Imperial Bank of Commerce | Exhibit 4.15 of Registrant’s 20-F filed on March 9, 2001 | ||||
4.16 | Purchase Agreement dated November 14, 2001 between ASM International N.V. and CIBC World Markets Corp. for purchase of $100 million of 5% Convertible Subordinated Notes | X | ||||
4.17 | Indenture Agreement dated November 19, 2001 and Citibank, N.A. relating to 5% Convertible Subordinated Notes | X | ||||
10.1 | Auditor’s Consent | Exhibit 10.1 to the Form 20-F filed March 28, 2002 | ||||
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SIGNATURES
The registrant certifies that it meets all of the requirements for filing on Form 20-F/A and has duly caused and authorized the undersigned to sign this amendment to the annual report on its behalf.
ASM INTERNATIONAL N.V. | ||||
Date: May 10, 2002 | /s/ Arthur H. Del Prado | |||
Arthur H. del Prado | ||||
Managing Director and | ||||
Chief Executive Officer |
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