-----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, CWl2a7aAZc8Ks17u9lfJLoR0xne/+LmKKF3PPoKW1xsrvPITVsREKuIjF8Z29btA wnrR3IY4UC+PU2x3dTFNRw== 0000905718-02-000143.txt : 20020415 0000905718-02-000143.hdr.sgml : 20020415 ACCESSION NUMBER: 0000905718-02-000143 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020405 GROUP MEMBERS: JGAUDIOSI@LOWENSTEIN.COM FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROCKER DAVID A /NY/ CENTRAL INDEX KEY: 0000919275 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 45 ROCKEFELLER PLAZA STREET 2: SUITE 1759 CITY: NEW YORK STATE: NY ZIP: 10111 BUSINESS PHONE: 212-397-1220 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRIKON TECHNOLOGIES INC CENTRAL INDEX KEY: 0000868326 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 954054321 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48552 FILM NUMBER: 02603157 BUSINESS ADDRESS: STREET 1: RINGLAND WAY STREET 2: 222 W. ORANGE GROVE AVE NP18 2TA CITY: NEWPORT, GWENT STATE: X0 BUSINESS PHONE: 011-44-1-633-414-000 MAIL ADDRESS: STREET 1: 9255 DEERING AVENUE STREET 2: 9255 DEERING AVENUE CITY: SACHATSWORTH STATE: CA ZIP: 91311 FORMER COMPANY: FORMER CONFORMED NAME: PLASMA & MATERIALS TECHNOLOGIES INC DATE OF NAME CHANGE: 19950713 SC 13G 1 trikontech13g.txt 13G FOR TRIKON TECHNOLOGIES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* TRIKON TECHNOLOGIES, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, no par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 896187408 - -------------------------------------------------------------------------------- (CUSIP Number) March 26, 2002 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule 13G is filed: |_| Rule 13d-1(b) |X| Rule 13d-1(c) |_| 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 in 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). CUSIP NO. 896187101 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. Of Above Persons (entities only): David A. Rocker - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a)______ (b)_______ - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization: United States - -------------------------------------------------------------------------------- Number of Shares Beneficially Owned by 5. Sole Voting Power 659,756* Each Reporting Person With: 6. Shared Voting Power 0 7. Sole Dispositive Power 659,756* 8. Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person: 659,756* - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions): N/A - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9): 5.1% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions): IN - -------------------------------------------------------------------------------- * Amount includes: (i) 425,200 shares of Trikon Technologies, Inc. common stock, no par value (the "Common Stock"); (ii) 199,300 shares of Common Stock owned by Compass Holdings, Ltd., a corporation organized under the International Business Companies Ordinance of the British Virgin Islands; and (iii) 35,256 shares of Common Stock owned by Helmsman Holding, Ltd., a corporation organized under the International Business Companies Ordinance of the British Virgin Islands. David A. Rocker has sole voting and dispositive power over the aggregate amount of 659,756 shares of Common Stock by virtue of his positions as the sole managing partner of Rocker Partners, L.P. and as the president of Rocker Offshore Management Company, Inc., the investment advisor to Compass Holdings, Ltd. and Helmsman Holdings, Ltd. - -------------------------------------------------------------------------------- Item 1. (a) Name Of Issuer: Trikon Technologies, Inc. - -------------------------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices: Ringland Way, Newport, Gwent NP18 2TA, United Kingdom - -------------------------------------------------------------------------------- Item 2. (a) Name of Person Filing: David A. Rocker - -------------------------------------------------------------------------------- (b) Address of Principal Business Office or, if none, Residence: c/o Rocker Partners, L.P., Suite 1759, 45 Rockefeller Plaza, New York, New York 10111 - -------------------------------------------------------------------------------- (c) Citizenship: United States - -------------------------------------------------------------------------------- (d) Title of Class of Securities: Common Stock, no par value - -------------------------------------------------------------------------------- (e) CUSIP Number: 896187408 - -------------------------------------------------------------------------------- Item 3. If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) |_| Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o); (b) |_| Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c); (c) |_| Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c); (d) |_| Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); (e) |_| An 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) |_| A parent holding company or control person in accordance with with Section 240.13d- 1(b)(1)(ii)(G); (h) |_| A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) |_| A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) |_| Group, in accordance with Section 240.13d-1(b)(1)(ii)(J). Item 4. Ownership. (a) Amount beneficially owned (as of March 26, 2002): 659,756 (b) Percent of Class (as of March 26, 2002): 5.1% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 659,756 (ii) Shared power to vote or to direct the vote 0. (iii)Sole power to dispose or to direct the disposition of 659,756 (iv) Shared power to dispose or to direct the disposition of 0. 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. N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. N/A Item 8. Identification and Classification of Members of the Group. N/A Item 9. Notice of Dissolution of Group. N/A Item 10. Certification. By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of such securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 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. April 4, 2002 Date /s/David A. Rocker David A. Rocker Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001) -----END PRIVACY-ENHANCED MESSAGE-----