-----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, HvTG0dbs1g219oWVru+vTzSijt+JRg+vjEf3y/gHQbiTYl6Wyvy9cETNxSdYkrl4 M6ksmxvlcRSF+uAh5IbEoA== 0000891618-00-000929.txt : 20000215 0000891618-00-000929.hdr.sgml : 20000215 ACCESSION NUMBER: 0000891618-00-000929 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN XTAL TECHNOLOGY CENTRAL INDEX KEY: 0001051627 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 943031310 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-55653 FILM NUMBER: 544134 BUSINESS ADDRESS: STREET 1: 4821 TECHNOLOGY DRIVE CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5106835900 MAIL ADDRESS: STREET 1: 4311 SOLAR WAY CITY: FREMONT STATE: CA ZIP: 94538 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: YOUNG MORRIS S CENTRAL INDEX KEY: 0001078582 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 4281 TECHNOLOGY DRIVE CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5106385900 MAIL ADDRESS: STREET 1: 4281 TECHNOLOGY DRIVE CITY: FREMONT STATE: CA ZIP: 94538 SC 13G 1 SCHEDULE 13G FOR MORRIS S. YOUNG 1 ---------------------------- OMB Number: 3235-0145 Expires: October 31, 1994 Estimated average burden hours per response.....14.90 ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* American Xtal Technology, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 030514-10-3 ------------------------------------------------- (CUSIP Number) Not applicable - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) *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 disclosure 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 1 of 8 pages 2 CUSIP NO. 030514-10-3 SCHEDULE 13G PAGE 2 OF 8 PAGES --------------------- ----- ----- (1) NAMES OF REPORTING PERSON Morris S. Young, as Trustee of the Young Family Trust and General Partner of the Morris S. Young Family Ltd. Partnership --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States of America --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF 1,917,271 SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 40,000 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH 1,917,271 -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 40,000 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,957,271 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* [X] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.5% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN --------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 2 OF 8 PAGES ----- ----- 3 CUSIP NO. 030514-10-3 SCHEDULE 13G PAGE 3 OF 8 PAGES --------------------- ----- ----- (1) NAMES OF REPORTING PERSON Vicke I. Young, as Trustee of the Young Family Trust and General Partner of the Morris S. Young Family Ltd. Partnership --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States of America --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF 1,917,271 SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 40,000 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH 1,917,271 -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 40,000 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,957,271 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* [X] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.5% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN --------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 3 OF 8 PAGES ----- ----- 4 CUSIP NO. 030514-10-3 SCHEDULE 13G PAGE 4 OF 8 PAGES --------------------- ----- ----- ITEM 1. (a) Name of Issuer: American Xtal Technology, Inc. (b) Address of Issuer's Principal Executive Offices: 4281 Technology Drive Fremont, CA 94538 ITEM 2. (a) Name of Person Filing: Morris S. Young & Vicke I. Young, each in his/her capacity as Trustee of the Young Family Trust and as General Partner of the Morris S. Young Family Ltd. Partnership (b) Address of Principal Business Office or, if none, Residence: Morris S. Young Vicke I. Young 4281 Technology Drive 4281 Technology Drive Fremont, CA 94538 Fremont, CA 94538 (c) Citizenship: Morris S. Young: United States of America Vicke I. Young: United States of America (d) Title of Class of Securities: Common Stock (e) CUSIP Number: Not applicable. ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240.13d-1(b), OR 240.13d-2(b), CHECK WHETHER THE PERSON FILING IS A: (a) [ ] Broker or Dealer registered under section 15 of the Act (b) [ ] Bank as defined in section 3(a)(6) of the Act Page 4 of 8 pages 5 CUSIP NO. 030514-10-3 SCHEDULE 13G PAGE 5 OF 8 PAGES --------------------- ----- ----- (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (e) [ ] Investment adviser in accordance with SECTION 240.13d-1(b)(1)(ii)(E) (f) [ ] An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); (g) [ ] Parent Holding Company, in accordance with Section 240.13d-1(b)(ii)(G) (Note: See Item 7) (h) [ ] Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (i) [ ] Church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (j) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(H) ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: 1,957,271 (b) Percent of Class: 10.5%, based on 18,658,919 shares outstanding on December 31, 1999. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 1,917,271(1) (ii) shared power to vote or to direct the vote: 40,000(2) (iii) sole power to dispose or to direct the disposition of: 1,917,271(3) - ----------------- (1) Either Morris S. Young or Vicke I. Young may act in their individual capacity as Trustee of the Young Family Trust to vote or direct the vote of 735,071 shares and as General Partner of the Morris S. Young Family Ltd. Partnership to vote or direct the vote of 1,132,200 shares. (2) 20,000 shares are held by the children of Morris S. and Vicke I. Young and 20,000 shares are held jointly by George Liu, Morris Young's father-in-law, and Vicke I. Young. Page 5 of 8 pages 6 CUSIP NO. 030514-10-3 SCHEDULE 13G PAGE 6 OF 8 PAGES --------------------- ----- ----- (iv) shared power to dispose or to direct the disposition of: 40,000(4) ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF THE GROUP Not applicable. ITEM 10. CERTIFICATION Not applicable. - ----------------- (3) Either Morris S. Young or Vicke I. Young may act in their individual capacity as Trustee of the Young Family Trust to dispose or direct the disposition of 735,071 shares and as General Partner of the Morris S. Young Family Ltd. Partnership to dispose or direct the disposition of 1,132,200 shares. (4) 20,000 shares are held by the children of Morris S. and Vicke I. Young and 20,000 shares are held jointly by George Liu, Morris Young's father-in-law, and Vicke I. Young. Page 6 of 8 pages 7 CUSIP NO. 030514-10-3 SCHEDULE 13G PAGE 7 OF 8 PAGES --------------------- ----- ----- SIGNATURE After reasonable 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. Date: February 14, 2000 /s/ Morris S. Young ---------------------------------------- Morris S. Young /s/ Vicke I. Young ---------------------------------------- Vicke I. Young Page 7 of 8 pages 8 CUSIP NO. 030514-10-3 SCHEDULE 13G PAGE 8 OF 8 PAGES --------------------- ----- ----- EXHIBIT A JOINT FILING AGREEMENT WHEREAS, the statement on Schedule 13G to which this agreement is an exhibit (the "Joint Statement") is being filed on behalf of two or more persons (collectively, the "Reporting Persons"); and WHEREAS, the Reporting Persons prefer to file the Joint Statement on behalf of both Reporting Persons rather than individual statements on Schedule 13G on behalf of each of the Reporting Persons; NOW, THEREFORE, the undersigned hereby agree as follows with each of the other Reporting Persons: 1. Each of the Reporting Persons is individually eligible to use the Joint Statement. 2. Each of the Reporting Persons is responsible for the timely filing of the Joint Statement and any amendments thereto. 3. Each of the Reporting Persons is responsible for the completeness and accuracy of the information concerning such person contained in the Joint Statement. 4. None of the Reporting Persons is responsible for the completeness or accuracy of the information concerning the other Reporting Persons contained in the Joint Statement, unless such person knows or has reason to believe that such information is inaccurate. 5. The undersigned agree that the Joint Statement is, and any amendment thereto will be, filed on behalf of each of the Reporting Persons. Date: February 14, 2000 /s/ Morris S. Young ---------------------------------------- Morris S. Young /s/ Vicke I. Young ---------------------------------------- Vicke I. Young Page 8 of 8 pages -----END PRIVACY-ENHANCED MESSAGE-----