-----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, SHDPVybmpb8uHyETAS25OjyaAdLUnvOJgw7qUbPE/IvimiNR+mjmz2vhu8ylVsZW dVCUtS32K7RgrauIl+9Hgg== 0000914190-01-000038.txt : 20010223 0000914190-01-000038.hdr.sgml : 20010223 ACCESSION NUMBER: 0000914190-01-000038 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 GROUP MEMBERS: ESI INVESTMENT COMPANY GROUP MEMBERS: SLYE BRADLEY D SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AUGUST TECHNOLOGY CORP CENTRAL INDEX KEY: 0001063527 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 411729485 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-60375 FILM NUMBER: 1541007 BUSINESS ADDRESS: STREET 1: 4900 W 78TH ST CITY: BLOOMINGTON STATE: MN ZIP: 55435 BUSINESS PHONE: 9528200080 MAIL ADDRESS: STREET 1: 4900 WEST 78TH STREET CITY: BLOOMINGTON STATE: MN ZIP: 55435 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SLYE BRADLEY D CENTRAL INDEX KEY: 0001133272 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 6111 BLUE CIRCLE DRIVE CITY: MINNETONKA STATE: MN ZIP: 55343 BUSINESS PHONE: 9529300100 SC 13G 1 0001.txt SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ___)* AUGUST TECHNOLOGY CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 05106U 10 5 (CUSIP Number) December 31, 2000 (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 the 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 1 of 6 Pages SCHEDULE 13G CUSIP No. 05106U 10 5 Page 2 of 6 Pages 1 NAMES OF REPORTING PERSONS/I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Bradley D. Slye 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] *Joint filing 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. NUMBER OF 5 SOLE VOTING POWER SHARES 82,250 (includes 82,250 shares which may be BENEFICIALLY purchased upon exercise of currently OWNED BY exercisable options) EACH 6 SHARED VOTING POWER REPORTING 1,439,700 PERSON 7 SOLE DISPOSITIVE POWER WITH 82,250 (includes 82,250 shares which may be purchased upon exercise of currently exercisable options) 8 SHARED DISPOSITIVE POWER 1,439,700 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,521,950 (includes 82,250 shares which may be purchased upon exercise of currently exercisable options) 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 12.0 % 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN SCHEDULE 13G CUSIP No. 05106U 10 5 Page 3 of 6 Pages 1 NAMES OF REPORTING PERSONS/I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) ESI Investment Company 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] *Joint filing 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. NUMBER OF 5 SOLE VOTING POWER SHARES 1,439,700 BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 0 EACH 7 SOLE DISPOSITIVE POWER REPORTING 1,439,700 PERSON 8 SHARED DISPOSITIVE POWER WITH 0 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,439,700 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.4 % 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO Answer every item. If an item is inapplicable or the answer is in the negative, so state. Item 1(a) Name of Issuer: August Technology Corporation Item 1(b) Address of Issuer's Principal Executive Offices: 4900 West 78th Street Bloomington, MN 55435 Item 2(a) Name of Person Filing: See Cover Pages Item 1 Item 2(b) Address of Principal Business Office or, if none, residence: 6111 Blue Circle Drive Minnetonka, MN 55353 Item 2(c) Citizenship: See Cover Pages Item 4 Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP No.: See Cover Pages Item 3 Statement filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c): Not applicable Item 4 Ownership See Cover Pages Items 5 through 11 Item 5 Ownership of Five Percent or Less of a Class: If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. 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 Group: Not applicable Item 10 Certifications: Not applicable 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 7, 2001 /s/ Bradley D. Slye Bradley D. Slye ESI INVESTMENT COMPANY By: /s/ Peter R. Peterson Its: President EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1 (k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Common Stock of August Technology Corporation and further agree that this Joint Filing Agreement shall be included as an Exhibit to such joint filings. The undersigned further agree that each party hereto is responsible for the timely filing of such Statement on Schedule 13G and any amendments thereto, and for the accuracy and completeness of the information concerning such party contained herein; provided, however, that no party is responsible for the accuracy or completeness of the information concerning any other party, unless such party knows or has reason to believe that such information is inaccurate. This Joint Filing Agreement may be executed in any number of counterparts, all which taken together shall constitute one and the same instrument. Date: February 7, 2001 /s/ Bradley D. Slye Bradley D. Slye ESI INVESTMENT COMPANY By: /s/ Peter R. Peterson Its: President -----END PRIVACY-ENHANCED MESSAGE-----