-----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, WfDRU8DxhYyaFh7yKSWR8Vso+Kmgrz0vxVVUFG6R2515BieKZuN7Z2E2HXD4cfWI 6348x5QMaUwxuYW0AJJ+oA== 0001012870-02-000742.txt : 20020414 0001012870-02-000742.hdr.sgml : 20020414 ACCESSION NUMBER: 0001012870-02-000742 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020215 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PARIKH MIHIR CENTRAL INDEX KEY: 0000940965 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1745 MCCANDLESS DRIVE CITY: MILPITAS STATE: CA ZIP: 95035 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASYST TECHNOLOGIES INC /CA/ CENTRAL INDEX KEY: 0000909326 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 942944251 STATE OF INCORPORATION: CA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-42489 FILM NUMBER: 02552337 BUSINESS ADDRESS: STREET 1: 48761 KATO RD CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5106615000 MAIL ADDRESS: STREET 1: 48761 KATO ROAD CITY: FREMONT STATE: CA ZIP: 94538 SC 13G 1 dsc13g.txt SCHEDULE 13G ----------------------------------- OMB APPROVAL ----------------------------------- OMB Number: 3235-0145 Expires: October 31, 2002 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. ______)* Asyst Technologies, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 04648X 10 7 - -------------------------------------------------------------------------------- (CUSIP Number) April 19, 2001 - -------------------------------------------------------------------------------- (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) [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). Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. Page 1 of 5 pages - ---------------------- ------------------- CUSIP NO. 04648X 10 7 SCHEDULE 13G PAGE 2 OF 4 PAGES - ---------------------- ------------------- - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Mihir Parikh - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S.A. - ------------------------------------------------------------------------------ NUMBER OF SOLE VOTING POWER 5 SHARES 1,463,195* ----------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER 6 OWNED BY 460,428** ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 1,463,195* ----------------------------------------------------------- PERSON SHARED DISPOSITIVE POWER 8 WITH 460,428** - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 1,923,623*** - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11 5.14% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 IN - ------------------------------------------------------------------------------ *Includes 1,446,195 shares issuable pursuant to options to purchase common stock exercisable within 60 days of December 31, 2001. 4,249 shares are subject to repurchase. Page 2 of 5 pages **6,400 Shares are held in Irrevocable Trusts for Dr. Parikh's children. Dr. Parikh is Co-Trustee of these Trusts; 390,828 are held in Mihir and Nancy Parikh Living Trust DTD 4/3/86 of which Dr. Parikh is a Co-Trustee; 63,200 shares are held by a custodian for the benefit of Dr. Parikh's children. Dr. Parikh disclaims beneficial ownership of the custodial shares. *** As of 12/31/01; See above footnotes. Page 3 of 5 pages Item 1. (a) Name of Issuer Asyst Technologies, Inc. (b) Address of Issuer's Principal Executive Offices 48761 Kato Road Fremont, CA 94583 Item 2. (a) Name of Person Filing Mihir Parikh (b) Address of Principal Business Office or, if none, Residence 48761 Kato Road Fremont, CA 94583 (c) Citizenship U.S.A. (d) Title of Class of Securities Common Stock (e) CUSIP Number 04648X 10 7 Item 3. If this statement is filed pursuant to (S)(S) 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a: Not applicable. Item 4. Ownership Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount Beneficially Owned: 1,923,623 as of 12/31/01 (Includes 1,446,195 shares issuable pursuant to options to purchase common stock exercisable within 60 days of December 31, 2001; 4,249 shares are subject to repurchase; 6,400 shares are held in Irrevocable Trusts for Dr. Parikh's children. Dr. Parikh is Co-Trustee of these Trusts; 390,828 shares are held in the Mihir and Nancy Parikh Living Trust DTD 4/3/86 of which Dr. Parikh is a Co-Trustee; 63,200 shares are held by a custodian for the benefit of Dr. Parikh's children. Dr. Parikh disclaims beneficial ownership of the custodial shares. (b) Percent of Class: 5.14% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 1,463,195 (Includes 1,446,195 shares issuable pursuant to options to purchase common stock exercisable within 60 days of December 31, 2001; 4,249 shares are subject to repurchase.) (ii) Shared power to vote or to direct the vote: 460,428 (6,400 shares are held in Irrevocable Trusts for Dr. Parikh's children. Dr. Parikh is Co-Trustee of these Trusts; 390,828 shares are held in the Mihir and Nancy Parikh Living Trust DTD 4/3/86 of which Dr. Parikh is a Co-Trustee; 63,200 shares are held by a custodian for the benefit of Dr.Parikh's children. Dr. Parikh disclaims beneficial ownership of the custodial shares.) (iii) Sole power to dispose or to direct the disposition of: 1,463,195 (Includes 1,446,195 shares issuable pursuant to options to purchase common stock exercisable within 60 days of December 31, 2001; 4,249 shares are subject to repurchase.) (iv) Shared power to dispose or to direct the disposition of: 460,428 (6,400 shares are held in Irrevocable Trusts for Dr. Parikh's children. Dr. Parikh is Co-Trustee of these Trusts; 390,828 shares are held in the Mihir and Nancy Parikh Living Trust DTD 4/3/86 of which Dr. Parikh is a Co-Trustee; 63,200 shares are held by a custodian for the benefit of Dr. Parikh's children. Dr. Parikh disclaims beneficial ownership of the custodial shares.) Page 4 of 5 pages 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 a Group Not Applicable. 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 the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 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. 2/13/01 -------------------------------------------- Date /s/ Mihir Parikh -------------------------------------------- Signature Mihir Parikh -------------------------------------------- Name/Title Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----