Ikuo Fukuchi, Head of Legal
TDK Corporation
Shibaura Renasite Tower
3-9-1 Shibaura, Minato-ku
Tokyo 108-0023, Japan
81-3-6852-7101
|
Ken Siegel, Esq.
Ivan Smallwood, Esq.
Morrison & Foerster LLP
1-5-1 Marunouchi, Chiyoda-ku
Tokyo 100-6529, Japan
81-3-3214-6522
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CUSIP No.
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45245A107
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1.
|
Names of Reporting Persons/I.R.S. Identification Nos. of Above Persons (Entities Only)
TDK CORPORATION/98-0208363
|
||||||
2.
|
Check the Appropriate Box if a Member of a Group (See Instructions)
|
||||||
(a) o
|
|||||||
(b) o
|
|||||||
3.
|
SEC Use Only
|
||||||
4.
|
Source of Funds (See Instructions)
|
||||||
OO
|
|||||||
5.
|
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
|
||||||
Not applicable.
|
|||||||
6.
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Citizenship or Place of Organization
|
||||||
Japan
|
|||||||
7.
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Sole Voting Power
|
||||||
4,812,390 shares
|
|||||||
Number of
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8.
|
Shared Voting Power
|
|||||
Shares
|
|||||||
Beneficially
|
2,778,374 shares
|
||||||
Owned by Each
|
|||||||
Reporting
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9.
|
Sole Dispositive Power
|
|||||
Person With
|
|||||||
|
4,812,390 shares
|
||||||
|
10.
|
Shared Dispositive Power
|
|||||
2,778,374 shares
|
|||||||
11.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
||||||
7,590,764 shares
|
|||||||
12.
|
Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
|
||||||
Not applicable.
|
|||||||
13.
|
Percent of Class Represented by Amount in Row (11)
|
||||||
18.2%
|
|||||||
14.
|
Type of Reporting Person (See Instructions)
|
||||||
CO |
CUSIP No.
|
45245A107
|
1.
|
Names of Reporting Persons/I.R.S. Identification Nos. of Above Persons (Entities Only)
TDK U.S.A. CORPORATION/95-3304247
|
||||||
2.
|
Check the Appropriate Box if a Member of a Group (See Instructions)
|
||||||
(a) o
|
|||||||
(b) o
|
|||||||
3.
|
SEC Use Only
|
||||||
4.
|
Source of Funds (See Instructions)
|
||||||
OO | |||||||
5.
|
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
|
||||||
Not applicable.
|
|||||||
6.
|
Citizenship or Place of Organization
|
||||||
New York, USA | |||||||
7.
|
Sole Voting Power
|
||||||
|
0 shares
|
||||||
Number of
|
8.
|
Shared Voting Power
|
|||||
Shares
|
|||||||
Beneficially
|
660,946 shares
|
||||||
Owned by Each
|
|||||||
Reporting
|
9.
|
Sole Dispositive Power
|
|||||
Person With
|
|||||||
|
0 shares
|
||||||
|
10.
|
Shared Dispositive Power
|
|||||
660,946 shares
|
|||||||
11.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
||||||
7,590,764 shares
|
|||||||
12.
|
Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
|
||||||
Not applicable. | |||||||
13.
|
Percent of Class Represented by Amount in Row (11)
|
||||||
18.2%
|
|||||||
14.
|
Type of Reporting Person (See Instructions)
|
||||||
CO |
CUSIP No.
|
45245A107
|
1.
|
Names of Reporting Persons/I.R.S. Identification Nos. of Above Persons (Entities Only)
TDK EUROPE S.A./00-0000000
|
||||||
2.
|
Check the Appropriate Box if a Member of a Group (See Instructions)
|
||||||
(a) o
|
|||||||
(b) o
|
|||||||
3.
|
SEC Use Only
|
||||||
4.
|
Source of Funds (See Instructions)
|
||||||
OO | |||||||
5.
|
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
|
||||||
Not applicable.
|
|||||||
6.
|
Citizenship or Place of Organization
|
||||||
LUXEMBOURG
|
|||||||
7.
|
Sole Voting Power
|
||||||
0 shares
|
|||||||
Number of
|
8.
|
Shared Voting Power
|
|||||
Shares
|
|||||||
Beneficially
|
1,941,167 shares
|
||||||
Owned by Each
|
|||||||
Reporting
|
9.
|
Sole Dispositive Power
|
|||||
Person With
|
|||||||
|
0 shares
|
||||||
|
10.
|
Shared Dispositive Power
|
|||||
1,941,167 shares
|
|||||||
11.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
||||||
7,590,764 shares
|
|||||||
12.
|
Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
|
||||||
Not applicable.
|
|||||||
13.
|
Percent of Class Represented by Amount in Row (11)
|
||||||
18.2%
|
|||||||
14.
|
Type of Reporting Person (See Instructions)
|
||||||
CO |
CUSIP No.
|
45245A107
|
1.
|
Names of Reporting Persons/I.R.S. Identification Nos. of Above Persons (Entities Only)
TDK HONGKONG COMPANY LIMITED/00-0000000
|
||||||
2.
|
Check the Appropriate Box if a Member of a Group (See Instructions)
|
||||||
(a) o
|
|||||||
(b) o
|
|||||||
3.
|
SEC Use Only
|
||||||
4.
|
Source of Funds (See Instructions)
|
||||||
OO | |||||||
5.
|
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
|
||||||
Not applicable.
|
|||||||
6.
|
Citizenship or Place of Organization
|
||||||
HONG KONG | |||||||
7.
|
Sole Voting Power
|
||||||
0 shares
|
|||||||
Number of
|
8.
|
Shared Voting Power
|
|||||
Shares
|
|||||||
Beneficially
|
63,757 shares
|
||||||
Owned by Each
|
|||||||
Reporting
|
9.
|
Sole Dispositive Power
|
|||||
Person With
|
|||||||
|
0 shares
|
||||||
|
10.
|
Shared Dispositive Power
|
|||||
63,757 shares
|
|||||||
11.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
||||||
7,590,764 shares
|
|||||||
12.
|
Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
|
||||||
Not applicable. | |||||||
13.
|
Percent of Class Represented by Amount in Row (11)
|
||||||
18.2%
|
|||||||
14.
|
Type of Reporting Person (See Instructions)
|
||||||
CO |
CUSIP No.
|
45245A107
|
1.
|
Names of Reporting Persons/I.R.S. Identification Nos. of Above Persons (Entities Only)
TDK SINGAPORE (PRIVATE) LIMITED/00-0000000
|
||||||
2.
|
Check the Appropriate Box if a Member of a Group (See Instructions)
|
||||||
(a) o
|
|||||||
(b) o
|
|||||||
3.
|
SEC Use Only
|
||||||
4.
|
Source of Funds (See Instructions)
|
||||||
OO | |||||||
5.
|
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
|
||||||
Not applicable.
|
|||||||
6.
|
Citizenship or Place of Organization
|
||||||
SINGAPORE | |||||||
7.
|
Sole Voting Power
|
||||||
0 shares
|
|||||||
Number of
|
8.
|
Shared Voting Power
|
|||||
Shares
|
|||||||
Beneficially
|
112,504 shares
|
||||||
Owned by Each
|
|||||||
Reporting
|
9.
|
Sole Dispositive Power
|
|||||
Person With
|
|||||||
|
0 shares
|
||||||
|
10.
|
Shared Dispositive Power
|
|||||
112,504 shares
|
|||||||
11.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
||||||
7,590,764 shares
|
|||||||
12.
|
Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
|
||||||
Not applicable. | |||||||
13.
|
Percent of Class Represented by Amount in Row (11)
|
||||||
18.2%
|
|||||||
14.
|
Type of Reporting Person (See Instructions)
|
||||||
CO |
|
Items 2(a) and (b) are hereby amended and restated in their entirety as follows:
|
|
(a)
|
Name of Persons Filing: TDK Corporation (“TDK”), TDK U.S.A. Corporation (“TUC”), TDK Europe S.A. (“TES”), TDK Hongkong Company Limited (“THK”), and TDK SINGAPORE (PRIVATE) LIMITED (“TSP”).
|
|
This Schedule 13D is being filed by (i) TUC by virtue of its ownership of 660,946 shares of Imation common stock, (ii) TES by virtue of its ownership of 1,941,167 shares of Imation common stock, (iii) TSP by virtue of its ownership of 112,504 shares of Imation common stock, (iv) THK by virtue of its ownership of all of the outstanding common stock of TSP and its ownership of 63,757 shares of Imation common stock, and (vii) TDK by virtue of its ownership of 4,812,390 shares of Imation common stock and its direct or indirect ownership of all of the outstanding common stock or other equity of the other Reporting Persons (TUC, TES, THK, TSP and TDK collectively, the “Reporting Persons” and each, a “Reporting Person”).
|
|
See Item 1 of each cover page.
|
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(b)
|
Included in the attached Exhibit 99.A is information concerning the principal business office of each of the Reporting Persons. Exhibit 99.A is incorporated into and made a part of this Amendment.
|
|
4.
|
*** Agreement, dated as of September 28, 2015, by and between Imation Corp. and TDK Corporation.
|
***
|
Confidential portions of this document have been redacted and filed separately with the Securities and Exchange Commission.
|
|
Signature
|
By:
|
/s/ Takehiro Kamigama
|
||
Name:
|
Takehiro Kamigama
|
||
Title :
|
President & CEO
|
By:
|
/s/ Francis J. Sweeney Jr.
|
||
Name:
|
Francis J. Sweeney Jr.
|
||
Title:
|
President & CEO
|
By:
|
/s/ Tetsuji Yamanishi
|
||
Name:
|
Tetsuji Yamanishi
|
||
Title:
|
President
|
By:
|
/s/ Motoi Kumagai
|
||
Name:
|
Motoi Kumagai
|
||
Title:
|
President & CEO
|
By:
|
/s/ Kiyoshi Takimura
|
||
Name:
|
Kiyoshi Takimura
|
||
Title:
|
Managing Director
|