-----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, R6T0oHzssA8ps+QV0F3FTgRZemm16jBJGI6oAtXBquDnglvutVKEWcnvOUlL4v5K PMeFCZGtzkskcNe7yxcbiw== 0000927087-97-000324.txt : 19971222 0000927087-97-000324.hdr.sgml : 19971222 ACCESSION NUMBER: 0000927087-97-000324 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971219 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: COSTCO COMPANIES INC CENTRAL INDEX KEY: 0000909832 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-VARIETY STORES [5331] IRS NUMBER: 330572969 STATE OF INCORPORATION: CA FISCAL YEAR END: 0830 FILING VALUES: FORM TYPE: 424B3 SEC ACT: SEC FILE NUMBER: 333-40049 FILM NUMBER: 97741657 BUSINESS ADDRESS: STREET 1: 999 LAKE DRIVE CITY: ISSAQUAH STATE: WA ZIP: 98027- BUSINESS PHONE: (206)-313-8100 MAIL ADDRESS: STREET 1: 999 LAKE DRIVE CITY: ISSAQUAD STATE: WA ZIP: 98027 FORMER COMPANY: FORMER CONFORMED NAME: PRICE/COSTCO INC DATE OF NAME CHANGE: 19930728 424B3 1 SUPPLEMENT DATED DECEMBER 19, 1997 TO PROSPECTUS DATED NOVEMBER 26, 1997 COSTCO COMPANIES, INC. The following table sets forth certain information as of December 19, 1997, as to the security ownership of persons not named as Selling Securityholders in the Prospectus dated November 26, 1997, and information reflecting additional securities acquired by Donaldson Lufkin & Jenrette Securities Corp. ("DLJ") since it was named as a Selling Shareholder in the Prospectus. Amounts shown for DLJ are not adjusted for any sales that DLJ may have made pursuant to the Registration Statement of which the Prospectus and this Prospectus Supplement form a part. DLJ has provided and will continue to provide financial advisory services to Costco Companies, Inc. (the "Company") for which DLJ has received customary fees. Hamilton E. James, a Managing Director of DLJ, is a member of the Board of Directors of the Company. Except as set forth for DLJ, none of the Selling Securityholders listed below has had a material relationship with the Company or any of its predecessors or affiliates within the past three years.
Shares of Face Amount of Common Stock Notes Owned Owned Prior Selling Securityholder Prior to Offering to Offering(1) Argent Classic Convertible Arbitrage Fund $22,500,000 255,476 (Bermuda) L.P. Baptist Health 513,000 5,824 Black Diamond Ltd. 3,297,000 37,435 Black Diamond Partners, L.P. 3,524,000 40,013 Boston Museum of Fine Arts 218,000 2,475 BT Holdings (New York) Inc. 6,500,000 73,804 Donaldson, Lufkin & Jenrette Securities 73,770,000 (2) 837,621 (2) Corporation Dunham & Associates Fund III 62,000 703 Dunham & Associates Fund II 139,000 1,578 Engineers Joint Pension Fund 803,000 9,117 Highbridge Capital Corp. 323,000 3,667 Natwest Securities 2,000,000 22,709 New York Life Insurance Company 30,000,000 340,635 Nicholas-Applegate Global Growth & Income 160,000 1,816 Fund Nicholas-Applegate Income & Growth Fund 6,678,000 75,825 Northwestern Mutual Life Insurance Company 5,000,000 (3) 130,830 (4) Rich Yakomin 10,000,000 113,545 San Diego City Retirement 1,597,000 18,133 San Diego County Convertible 6,749,000 76,631 Silverton International Fund Limited 2,000,000 22,709 Strategic Money Management Company, B.V. 3,000,000 34,063 TCW Group, Inc. 27,045,000 307,082 Tribeca Investments, L.L.C. 17,990,000 204,267 Wake Forest University 1,247,000 14,159 Worldwide Transactions Limited 356,000 4,042 (1) Includes the Shares into which the Notes are convertible. (2) Includes securities previously registered. (3) Includes $1,000,000 in principal amount held in The Northwestern Mutual Life Insurance Company Group Annuity Separate Account. (4) As the parent of Northwestern Mutual Series Fund, Inc. and affiliate of Mason Street Funds, Inc., the Selling Securityholder is the indirect beneficial owner with shared investment and shared voting power over an additional 74,058 shares of Common Stock.
The date of this Prospectus Supplement is December 19, 1997. -----END PRIVACY-ENHANCED MESSAGE-----