- Initial Statement of Beneficial Ownership (3)
November 07 2011 - 4:06PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Expires:
November 30, 2011
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Kingdom Ridge Capital, LLC
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2. Date of Event Requiring Statement (MM/DD/YYYY)
11/3/2011
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3. Issuer Name
and
Ticker or Trading Symbol
APPLIED MICRO CIRCUITS CORP [AMCC]
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(Last)
(First)
(Middle)
81 MAIN STREET, SUITE 209,
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
___
X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
WHITE PLAINS, NY 10601
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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7250000
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D
(1)
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Common Stock
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7250000
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I
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See Footnote
(2)
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Common Stock
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30000
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D
(3)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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The reported securities are directly owned by Kingdom Ridge Capital Master Fund, Ltd., which is a reporting person. Kingdom Ridge Capital, LLC and Christopher Zepf may be deemed to indirectly beneficially own the securities directly held by Kingdom Ridge Capital Master Fund, Ltd. See footnote 2.
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(
2)
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The reported securities may be deemed indirectly beneficially owned by Kingdom Ridge Capital, LLC as investment manager of Kingdom Ridge Capital Master Fund, Ltd. The reported securities may also be deemed indirectly beneficially owned by Christopher Zepf as Managing Principal of Kingdom Ridge Capital, LLC. Kingdom Ridge Capital, LLC and Christopher Zepf disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
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(
3)
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The reported securities are directly owned in personal accounts by Christopher Zepf, who is a reporting person.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Kingdom Ridge Capital, LLC
81 MAIN STREET, SUITE 209
WHITE PLAINS, NY 10601
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X
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ZEPF CHRISTOPHER
C/O KINGDOM RIDGE CAPITAL, LLC
81 MAIN STREET, SUITE 209
WHITE PLAINS, NY 10601
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X
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KINGDOM RIDGE CAPITAL MASTER FUND, LTD.
GARDENIA COURT, SUITE 3307
45 MARKET STREET, CAMANA BAY
GRAND CAYMAN, E9 KY1-1103
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X
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Signatures
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Kingdom Ridge Capital, LLC, By: /s/ Christopher Zepf, Managing Principal
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11/7/2011
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**
Signature of Reporting Person
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Date
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/s/ Christopher Zepf
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11/7/2011
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**
Signature of Reporting Person
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Date
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Kingdom Ridge Capital Master Fund, Ltd., By: /s/ Christopher Zepf, Director
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11/7/2011
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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