0001645706-16-000003.txt : 20160318 0001645706-16-000003.hdr.sgml : 20160318 20160318141434 ACCESSION NUMBER: 0001645706-16-000003 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160318 DATE AS OF CHANGE: 20160318 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMTECH SYSTEMS INC CENTRAL INDEX KEY: 0000720500 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 860411215 STATE OF INCORPORATION: AZ FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-39482 FILM NUMBER: 161515716 BUSINESS ADDRESS: STREET 1: 131 S CLARK DR CITY: TEMPE STATE: AZ ZIP: 85281 BUSINESS PHONE: 6029675146 MAIL ADDRESS: STREET 1: 131 SOUTH CLARK DRIVE CITY: TEMPE STATE: AZ ZIP: 85281 FORMER COMPANY: FORMER CONFORMED NAME: QUARTZ ENGINEERING & MATERIALS INC DATE OF NAME CHANGE: 19870715 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WANSEM PAUL J VAN DER CENTRAL INDEX KEY: 0001223907 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: 597 LOWELL ROAD CITY: CONCORD STATE: MA ZIP: 01742 SC 13D/A 1 schedule13da.txt SCHEDULE 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO Section 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO Section 240.13d-2(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) AMTECH SYSTEMS, INC. (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 032332504 (CUSIP Number) Bradley C. Anderson Amtech Systems, Inc. 131 South Clark Drive Tempe, Arizona 85281 480-967-5146 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 19, 2016 (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 ss 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 the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent. 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). SCHEDULE 13D CUSIP No. 032332504 1. Name of Reporting Person Paul J. van der Wansem 2. Check the Appropriate Box if a Member of a Group (a) /__/ (b) /__/ 3. SEC Use Only 4. Source of Funds OO 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e) (a) /__/ (b) /__/ 6. Citizenship or Place of Organization Netherlands NUMBER OF 7. Sole Voting Power SHARES BENEFICIALLY 496,536(1) OWNED BY EACH 8. Shared Voting power REPORTING PERSON 87,406(2) WITH 9. Sole Dispositive Power 496,536(1) 10. Shared Dispositive Power 87,406(2) 11. Aggregate Amount Beneficially Owned by Each Reporting Person 583,942 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares /__/ 13. Percent of Class Represented by Amount in Row (11) 4.4%(3) 14. Type of Reporting Person IN (1) Represents 337,293 directly held shares of Amtech Systems, Inc.(the "Company") common stock ("Common Stock") and 159,243 directly held and fully vested options to purchase Company Common Stock. (2) Represents 37,846 indirectly held shares of Company Common Stock by Mr. van der Wansem's spouse, 29,731 indirectly held shares of Company Common Stock by trusts for the benefit of certain members of Mr. van der Wansem's family (the "Family Trusts"), and 19,829 indirectly held shares of Company Common Stock by a charitable foundation (the "Charitable Foundation"). Pursuant to Rule 13d-4, Mr. van der Wansem expressly disclaims beneficial ownership of the shares held by Mr. van der Wansem's spouse, the Family Trust, and the Charitable Foundation. (3) Based on 13,169,697 shares of Company Common Stock issued and outstanding on February 25, 2016 plus 159,243 shares of Company Common Stock issuable upon exercise of fully vested options held by Mr. van der Wansem. Item 1. Security and Issuer. This Amendment No. 1 ("Amendment No. 1") amends and supplements the statement on Schedule 13D filed with the Securities and Exchange Commission (the "SEC") on February 9, 2015 (the"Original Schedule 13D"and, together with this Amendment No. 1, the "Schedule 13D") with respect to the Common Stock of Amtech Systems, Inc., an Arizona corporation (the "Company") the principal executive offices of which are located at 131 South Clark Drive,Tempe, Arizona, 85281. This Amendment No. 1 amends Items 2, 3, 4, 5, 6, and 7 as set forth below. Item 2. Identity and Background. Item 2 of this Schedule 13D is amended and restated as follows: (a) This statement is filed by Paul J. van der Wansem (the "Reporting Person"). (b) The principal business address of the Reporting Person is 23 Esquire Road, North Billerica, Massachusetts 01862. (c) The Reporting Person is a member of the Company's board of directors (the "Board"). (d) During the past five years, the Reporting Person has not been convicted in a criminal proceeding. (e) During the past five years, the Reporting Person has not been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction as a result of which the Reporting Person was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. (f) The Reporting Person is a citizen of the Netherlands. Item 3. Source and Amount of Funds or Other Consideration. Item 3 of this Schedule 13D is amended by adding the following: On February 19, 2016, the Reporting Person and his spouse resigned their positions as general partners of a family limited partnership which holds 118,476 shares of Company Common Stock and no longer have voting interest in the limited partnership. Item 4. Purpose of Transaction. The information set forth in Item 3 above is hereby incorporated by reference into this Item 4. Item 5. Interest in Securities of the Issuer. Item 5 of this Schedule 13D is amended and restated as follows: (a) Based on the Form 10-K/A filed by the Company on March 3, 2016, the aggregate number of shares of Common Stock of the Company issued and outstanding as of February 25, 2016 was 13,169,697. Aggregate number of shares of Company Common Stock beneficially owned: 583,942 Percentage: 4.4% (b) 1. Sole power to vote or to direct vote: 496,536 2. Shared power to vote or to direct vote: 87,406 3. Sole power to dispose or to direct the disposition: 496,536 4. Shared power to dispose or to direct disposition: 87,406 (c) Except as described in Items 3 and 4 of this Schedule 13D, there have been no transactions in shares of Company Common Stock by the Reporting Person during the past sixty days. (d) With respect to the 37,846 shares of Company Common Stock held by the Reporting Person's spouse, for which he disclaims beneficial ownership, his spouse is entitled to receive and or direct dividends. Other than the Company shares of Common Stock held by his wife, no other person other than the Reporting Person is known to have the right to receive,or the power to direct the receipt of dividends from, or proceeds from the sale of, the Reporting Person's shares of Company Common Stock. (e) The Reporting Person ceased to be the beneficial owner of more than 5% of the Common Stock on February 19, 2016. Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. There are no contracts, arrangements, understandings or relationships between the Reporting Person and any other person with respect to any security of the Company. Item 7. Material to Be Filed as Exhibits. None. 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: March 17, 2016 By: /s/ Paul J. van der Wansem Name: Paul J. van der Wansem Title: Director