1
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON JUNE 1, 2001
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
------------------
SCHEDULE TO
ISSUER TENDER OFFER STATEMENT
UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE
SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 1)
VAN KAMPEN SENIOR FLOATING RATE FUND
(NAME OF ISSUER)
VAN KAMPEN SENIOR FLOATING RATE FUND
(NAME OF PERSON(S) FILING STATEMENT)
Common Shares of Beneficial Interest, Par Value $0.01 per Share
(Title of Class of Securities)
920960-101
(CUSIP Number of Class of Securities)
A. Thomas Smith III
Managing Director, General Counsel and Secretary
Van Kampen Investments Inc.
1 Parkview Plaza
P.O. Box 5555
Oakbrook Terrace, IL 60181-5555
(630) 684-6000
(Name, Address and Telephone Number of Person Authorized to Receive
Notices and Communications on Behalf of Person(s) Filing Statement)
Copies to:
Wayne W. Whalen, Esq.
Thomas A. Hale, Esq.
Skadden, Arps, Slate, Meagher & Flom (Illinois)
333 W. Wacker Drive
Chicago, Illinois 60606
(312) 407-0700
CALCULATION OF FILING FEE
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
Transaction Valuation $268,026,608(a) Amount of Filing Fees: $53,605(b)
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
(a) Calculated as the aggregate maximum purchase price to be paid for
30,914,257 shares in the offer.
(b) Calculated as 1/50 of 1% of the Transaction Valuation.
[X] Check box if any part of the fee is offset as provided by Rule 0-11(a)(2)
and identify the filing with which the offsetting fee was previously
paid. Identify the previous filing by registration statement number, or
the Form or Schedule and the date of its filing.
Amount Previously Paid: $53,605
Form or Registration No.: Schedule TO
Filing Party: Van Kampen Senior Floating Rate Fund
Date Filed: April 20, 2001
[ ] Check the box if the filing relates solely to preliminary communications
made before the commencement of a tender offer.
Check the appropriate boxes below to designate any transactions to which the
statement relates:
[ ] third-party tender offer subject to Rule 14d-1.
[X] issuer tender offer subject to Rule 13e-4.
[ ] going-private transaction subject to Rule 13e-3.
[ ] amendment to Schedule 13D under Rule 13d-2.
[X] Check the following box if the filing is a final amendment reporting the
results of the tender offer.
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
2
This Amendment No. 1 to the Issuer's Tender Offer Statement on Schedule TO
filed with the Securities and Exchange Commission on April 20, 2001, by Van
Kampen Senior Floating Rate Fund (the "Fund"), with respect to the tender offer
to purchase 30,914,257 of the Trust's outstanding common shares of beneficial
interest, par value $0.01 per share, amends such statement on Schedule TO to add
the following supplemental information: the number of common shares of
beneficial interest of the Trust validly tendered through the expiration date
and not withdrawn was 15,655,864. All 15,655,864 such shares were purchased in
their entirety at the price of $8.57 per share, the net asset value at the time
the offer expired. Payment for the shares was mailed prior to the date hereof.
The Schedule TO is hereby terminated.
Item 9. Material to Be Filed as Exhibits.
The following materials are hereby filed as additional Exhibits to the
Schedule TO:
(a) (8) -- Text of Completion Press Release dated June 1, 2001
3
SIGNATURE
After due 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.
VAN KAMPEN SENIOR FLOATING RATE FUND
Dated: June 1, 2001 /s/ STEPHEN L. BOYD
--------------------------------------------------------
Stephen L. Boyd,
Executive Vice President and Chief Investment Officer
2
4
EXHIBIT INDEX
EXHIBIT DESCRIPTION
------- -----------
(a)(1)(i) Advertisement printed in The Wall Street Journal.*
(ii) Offer to Purchase (including Financial Statements).*
(a)(2) Form of Letter of Transmittal (including Guidelines for
Certification of Taxpayer Identification Number).*
(a)(3)(i) Form of Letter to Brokers, Dealers, Commercial Banks, Trust
Companies and Other Nominees.*
(ii) Form of Letter to Clients of Brokers, Dealers, Commercial
Banks, Trust Companies and Other Nominees.*
(iii) Form of Letter to Selling Group Members.*
(iv) Form of Operations Notice.*
(a)(4) Form of Letter to Shareholders who have requested Offer to
Purchase.*
(a)(5) Text of Press Release dated April 20, 2001.*
(a)(6) Text of completion Press Release dated June 1, 2001.+
(b)(1) Third Amendment and Restatement of Credit Agreement between
Van Kampen Prime Rate Income Trust, Van Kampen Senior
Floating Rate Fund, Various Financial Institutions and Bank
of American, N.A., as agent, dated as of September 13, 2000.*
(d)(1) Investment Advisory Agreement between Van Kampen Senior
Floating Rate Fund and Van Kampen Investment Advisory Corp.,
dated as of December 19, 1997.*
(d)(2) Administration Agreement between Van Kampen Senior Floating
Rate Fund and Van Kampen Investments Inc., dated as of
December 19, 1997.*
(d)(3) Offering Agreement between Van Kampen Senior Floating Rate
Fund and Van Kampen Funds Inc., dated as of December 19,
1997.*
(d)(4) Service Plan of Van Kampen Senior Floating Rate Fund.*
(g)-(h) Not applicable.
+ Filed herewith
* Previously filed in the Trust's Schedule TO filed with the Securities and
Exchange Commission on April 20, 2001.
3