-----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, LqrnhdXwARnHlaKTvXOLmCNd4Qbd3ry4ZkEjL03R5WupkxJPymMkU2v5fkDZ9c0u nMx7fpL282bD4XnOgaRh8g== 0001047469-99-006448.txt : 19990218 0001047469-99-006448.hdr.sgml : 19990218 ACCESSION NUMBER: 0001047469-99-006448 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990217 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: VEECO INSTRUMENTS INC CENTRAL INDEX KEY: 0000103145 STANDARD INDUSTRIAL CLASSIFICATION: MEASURING & CONTROLLING DEVICES, NEC [3829] IRS NUMBER: 112989601 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-44703 FILM NUMBER: 99544762 BUSINESS ADDRESS: STREET 1: TERMINAL DR CITY: PLAINVIEW STATE: NY ZIP: 11803 BUSINESS PHONE: 5163498300 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WYANT JAMES C CENTRAL INDEX KEY: 0001043400 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O WYKO CORP STREET 2: 2650 EAST ELVIRA ROAD CITY: TUCSON STATE: AZ ZIP: 85706 BUSINESS PHONE: 2128368552 MAIL ADDRESS: STREET 1: WYKO CORPORATION STREET 2: 2650 EAST ELVIRA ROAD CITY: TUCSON STATE: AZ ZIP: 85706 SC 13D/A 1 SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* VEECO INSTRUMENTS INC. (NAME OF ISSUER) COMMON STOCK (TITLE OF CLASS OF SECURITIES) 922417-100 (CUSIP NUMBER) EDWARD H. BRAUN C/O VEECO INSTRUMENTS INC. TERMINAL DRIVE PLAINVIEW, NY 11803 (516) 349-8300 (NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS) COPIES TO: RORY A. GREISS, ESQ. KAYE, SCHOLER, FIERMAN, HAYS & HANDLER, LLP 425 PARK AVENUE NEW YORK, NEW YORK 10022 (212) 836-8000 FEBRUARY 8, 1999 (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of "240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [ ]. Note: Schedules filed in paper format shall include a signed original and five copies of this schedule, including all exhibits. See ' 13d-7(b) for other parties to whom copies are to be sent. Page 1 of 8 Pages *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 2 of 8 Pages SCHEDULE 13D - --------------------- ----------------- CUSIP No. 922 417-100 Page 3 of 8 Pages - --------------------- ----------------- - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS. S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS James C. Wyant, Ph.D. - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) / / (b) / / - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) SOURCE OF FUNDS - ------------------------------------------------------------------------------- (5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / / - ------------------------------------------------------------------------------- (6) CITIZENSHIP OR PLACE OF ORGANIZATION USA - ------------------------------------------------------------------------------- (7) SOLE VOTING POWER NUMBER OF 0 SHARES -------------------------------------------------- BENEFICIALLY (8) SHARED VOTING POWER OWNED BY 1,300,127 shares of Common Stock EACH -------------------------------------------------- REPORTING (9) SOLE DISPOSITIVE POWER PERSON WITH: 0 -------------------------------------------------- (10) SHARED DISPOSITIVE POWER 1,300,127 shares of Common Stock - ------------------------------------------------------------------------------- (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,300,127 shares of Common Stock - ------------------------------------------------------------------------------- (12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) / / - ------------------------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Approximately 8.2% (based on 15,846,697 shares outstanding on February 8, 1999) - ------------------------------------------------------------------------------- (14) TYPE OF REPORTING PERSON (See Instructions) IN - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS. S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Louise A. Wyant - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) / / (b) / / - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) SOURCE OF FUNDS - ------------------------------------------------------------------------------- (5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / / - ------------------------------------------------------------------------------- (6) CITIZENSHIP OR PLACE OF ORGANIZATION USA - ------------------------------------------------------------------------------- (7) SOLE VOTING POWER NUMBER OF 0 SHARES -------------------------------------------------- BENEFICIALLY (8) SHARED VOTING POWER OWNED BY 1,300,127 shares of Common Stock EACH -------------------------------------------------- REPORTING (9) SOLE DISPOSITIVE POWER PERSON WITH: 0 -------------------------------------------------- (10) SHARED DISPOSITIVE POWER 1,300,127 shares of Common Stock - ------------------------------------------------------------------------------- (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,300,127 shares of Common Stock - ------------------------------------------------------------------------------- (12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) / / - ------------------------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Approximately 8.2% (based on 15,846,697 shares outstanding on February 8, 1999) - ------------------------------------------------------------------------------- (14) TYPE OF REPORTING PERSON (See Instructions) IN - ------------------------------------------------------------------------------- This Amendment No. 1 amends and supplements the Statement on Schedule 13D (the "Schedule 13D") relating to the common stock, par value $.01 per share (the "Common Stock"), of Veeco Instruments Inc., a Delaware corporation (the "Company"), previously filed by James C. Wyant and Louise A. Wyant (the "Reporting Persons"). Except as specifically provided herein, this Amendment does not modify any of the information previously reported on the Schedule 13D. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER Item 5 is hereby amended to read as follows: (a) Each of the Reporting Persons may be deemed to beneficially own in the aggregate 1,300,127 shares of Common Stock, representing approximately 8.2% of the outstanding shares of Common Stock (based on the number of shares of Common Stock outstanding as of February 8, 1999). (b) James C. Wyant and Louise A. Wyant may be deemed to share the power to vote or to direct the vote and to dispose or to direct the disposition of the 1,300,127 shares of Common Stock. (c) During the past sixty (60) days, the Reporting Persons: (i) sold 535,000 shares of Common Stock on February 8, 1999 in a public offering of shares registered on a registration statement on Form S-3 filed pursuant to the Securities Act of 1933 for $49.66 per share (the "Public Offering"), (ii) transferred 25,000 shares of Common Stock to the James C. and Louise A. Wyant Foundation (the "Foundation") of which James C. Wyant and Louise A, Wyant are trustees on December 30, 1998 as a gift for no consideration, and (iii) transferred 140,000 shares of Common Stock to the Foundation on January 15, 1999 as a gift for no consideration. The Foundation sold the 165,000 shares of Common Stock in the Public Offering. Except as set forth above, the Reporting Persons do not beneficially own any shares of Common Stock and have not effected any transaction in shares of Common Stock during the preceding 60 days. (d) To the best knowledge of the Reporting Persons, no person has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the 1,300,127 shares of Common Stock. (e) Not applicable. Page 5 of 8 Pages ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Item 6 is hereby amended to add the following information: 1. PURCHASE AGREEMENT. Pursuant to a Purchase Agreement dated February 2, 1999 (the "Purchase Agreement") among the Company, the Reporting Persons, certain other selling shareholders (collectively, the "Selling Shareholders"), Merrill Lynch, Pierce, Fenner & Smith Incorporated, Donaldson, Lufkin & Jenrette Securities Corporation, NationsBanc Montgomery Securities LLC, Salomon Smith Barney Inc. and SoundView Technology Group, Inc. as representatives of certain other underwriters named therein (collectively, the "Underwriters"), the Reporting Persons sold to the Underwriters 535,000 shares of Common Stock and granted to the Underwriters the option to purchase 105,000 additional shares of Common Stock to cover any over-allotment at any time on or prior to March 4, 1999. See Exhibit 3. 2. LOCKUP LETTER. Pursuant to a lockup letter delivered to the Underwriters the Reporting Persons have agreed, among other things, not to offer or sell any shares of Common Stock or Common Stock equivalents for a period of 90 days from the date of the Purchase Agreement, with limited exceptions. See Exhibit 4. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS 3. Form of Purchase Agreement, dated February 2, 1999, among the Company, the Selling Shareholders and the Underwriters.* 4. Form of Lockup Letter from the Reporting Persons to the Underwriters (included in Exhibit 3).* - -------------------------------- * Incorporated by reference to Exhibit 1.1 to the Company's Registration Statement on Form S-3, (Registration No. 333-70417) filed pursuant to the Securities Act of 1933 on January 29, 1999. Page 6 of 8 Pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated as of February 17, 1999 /s/ James C. Wyant ------------------------ James C. Wyant /s/ Louise A. Wyant ------------------------ Louise A. Wyant Page 7 of 8 Pages INDEX TO EXHIBITS PAGE NO. IN SEQUENTIAL NUMBERING EXHIBIT SYSTEM - ------- ------ 3. Form of Purchase Agreement, dated February 2, 1999, among the Company, the Selling Shareholders and the Underwriters.* 4. Form of Lockup Letter from the Reporting Persons to the Underwriters (included in Exhibit 3).* - -------------------------------- * Incorporated by reference to Exhibit 1.1 to the Company's Registration Statement on Form S-3, (Registration No. 333-70417) filed pursuant to the Securities Act of 1933 on January 29, 1999. Page 8 of 8 Pages -----END PRIVACY-ENHANCED MESSAGE-----