-----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, V6Mrl7+bu9oLuEmohk1sB9CcxRrkFKt6UF6yszQME8UIewF1WDBB7oW2B3LolT1g TBFe4iOEYMSAwFIrMdGuEQ== 0000909012-09-000759.txt : 20090422 0000909012-09-000759.hdr.sgml : 20090422 20090422130023 ACCESSION NUMBER: 0000909012-09-000759 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090422 DATE AS OF CHANGE: 20090422 GROUP MEMBERS: MARCO BATTAGLIA SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ULTRATECH INC CENTRAL INDEX KEY: 0000909791 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 943169580 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44773 FILM NUMBER: 09763303 BUSINESS ADDRESS: STREET 1: 3050 ZANKER RD CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 4083218835 MAIL ADDRESS: STREET 1: 3050 ZANKER RD CITY: SAN JOSE STATE: CA ZIP: 95134 FORMER COMPANY: FORMER CONFORMED NAME: ULTRATECH STEPPER INC DATE OF NAME CHANGE: 19930727 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Temujin Fund Management LLC CENTRAL INDEX KEY: 0001408675 IRS NUMBER: 760765915 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 140 BROADWAY STREET 2: 38TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 212-509-3111 MAIL ADDRESS: STREET 1: 140 BROADWAY STREET 2: 38TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 SC 13D/A 1 t305306.txt ULTRATECH SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D/A (AMENDMENT NO. 13) (RULE 13D-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a)(1) ULTRATECH, INC - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (TITLE OF CLASS OF SECURITIES) 010807158 - -------------------------------------------------------------------------------- (CUSIP NUMBER) SEAN T. ARP, 140 BROADWAY, 38TH FLOOR, NEW YORK, NY 10005, (212) 509-3553 - -------------------------------------------------------------------------------- (NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICE AND COMMUNICATIONS) APRIL 21, 2009 - -------------------------------------------------------------------------------- (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 Rule 13d-1(e), 13d-1(f) or 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(b) for other parties to whom copies are to be sent. - -------------- (1) 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 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. 010807158 13D/A Page 2 of 7 Pages - --------- ------------------------------------------------------------------------------------------------------------ 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) TEMUJIN FUND MANAGEMENT, LLC - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A GROUP* (a) (b) |X| - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 3. SEC USE ONLY - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 4. SOURCES OF FUNDS OO (Funds from Investment Advisory Clients). - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - --------- ------------------------------------------------------------------------------------------------------------ - ------------------- ----- -------------------------------------------------------------------------------------------- NUMBER OF 7. SHARES SOLE VOTING POWER ----- -------------------------------------------------------------------------------------------- ----- -------------------------------------------------------------------------------------------- BENEFICIALLY 8. OWNED BY SHARED VOTING POWER 1,126,097 ----- -------------------------------------------------------------------------------------------- ----- -------------------------------------------------------------------------------------------- EACH 9. REPORTING SOLE DISPOSITIVE POWER ----- -------------------------------------------------------------------------------------------- ----- -------------------------------------------------------------------------------------------- PERSON WITH 10. SHARED DISPOSITIVE POWER 1,126,097 ----- -------------------------------------------------------------------------------------------- - --------- ------------------------------------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,126,097 - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 4.8% - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON* IA - --------- ------------------------------------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 010807158 13D/A Page 3 of 7 Pages - --------- ------------------------------------------------------------------------------------------------------------ 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) MARCO BATTAGLIA - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A GROUP* (a) (b) |X| - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 3. SEC USE ONLY - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 4. SOURCES OF FUNDS OO - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES OF AMERICA - --------- ------------------------------------------------------------------------------------------------------------ - ------------------- ----- -------------------------------------------------------------------------------------------- NUMBER OF 7. SHARES SOLE VOTING POWER ----- -------------------------------------------------------------------------------------------- ----- -------------------------------------------------------------------------------------------- BENEFICIALLY 8. OWNED BY SHARED VOTING POWER 1,126,097 ----- -------------------------------------------------------------------------------------------- ----- -------------------------------------------------------------------------------------------- EACH 9. REPORTING SOLE DISPOSITIVE POWER ----- -------------------------------------------------------------------------------------------- ----- -------------------------------------------------------------------------------------------- PERSON WITH 10. SHARED DISPOSITIVE POWER 1,126,097 ----- -------------------------------------------------------------------------------------------- - --------- ------------------------------------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,126,097 - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 4.8% - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON* IN - --------- ------------------------------------------------------------------------------------------------------------ * SEE INSTRUCTIONS BEFORE FILLING OUT!
CUSIP No. 010807158 13D/A Page 4 of 7 Pages ITEM 4 PURPOSE OF TRANSACTION Item 4 is amended by the following: The Reporting Persons disposed of the Common Stock of the Issuer in the ordinary course of business. ITEM 5 INTEREST IN SECURITIES OF THE ISSUER Item 5 is amended by the following: (a)-(b) The Reporting Persons may be deemed, for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, to be the beneficial owners of an aggregate of 1,126,097 shares of Common Stock as of April 21, 2009 which represents 4.8% of the Issuer's outstanding shares of Common Stock. The percentage calculation was based on the number of shares of Common Stock the Issuer reported as outstanding as of February 23, 2009 on its Form 10-K as filed with the Commission on February 27, 2009. The amount of outstanding shares of Common Stock on such Annual Report was 23,602,695. Sole Shared Sole Shared Voting Voting Dispositive Dispositive Power Power Power Power ------------------------------------------------ Temujin Fund Management, LLC 1,126,097 1,126,097 Marco Battaglia 1,126,097 1,126,097 The aggregate amount of shares owned by the Reporting Persons is 1,126,097. (c) Except as set forth below, there have been no transactions in the Common Stock by any of the Reporting Persons since the last Schedule 13D/A filed on March 18, 2009. CUSIP No. 010807158 13D/A Page 5 of 7 Pages Since the last Schedule 13D/A filed on March 18, 2009, the Reporting Persons effected the following sales of shares of Common Stock in open market transactions: DATE SHARES SOLD PRICE ---- ----------- ----- 03/17/09 13,259 11.14 03/18/09 3,426 11.28 03/18/09 13,759 11.60 03/18/09 11,800 11.70 03/18/09 11,693 11.70 03/19/09 1,200 11.44 03/20/09 8,516 11.53 03/20/09 200 11.56 03/23/09 400 11.55 03/23/09 4,100 11.83 03/23/09 10,000 11.85 03/23/09 4,800 11.78 03/24/09 287 11.63 03/25/09 4,716 11.56 03/25/09 1,200 11.55 03/26/09 3,000 12.87 03/26/09 1,300 12.88 03/26/09 200 12.88 03/27/09 12,300 12.89 03/30/09 11,761 12.55 03/31/09 18,900 12.61 03/31/09 1,400 12.77 03/31/09 700 12.76 04/01/09 18,090 12.80 04/01/09 7,800 12.88 04/01/09 8,200 12.87 04/02/09 23,396 13.23 04/02/09 5,237 13.21 04/02/09 12,300 13.39 04/03/09 14,758 12.95 04/03/09 2,902 12.97 04/03/09 5,700 12.94 04/09/09 22,407 13.06 04/09/09 900 12.98 04/09/09 400 12.98 04/20/09 14,702 13.21 04/20/09 6,600 13.13 04/20/09 5,000 13.08 04/21/09 33,938 13.34 04/21/09 36,500 13.36 04/21/09 19,800 13.28 CUSIP No. 010807158 13D/A Page 6 of 7 Pages (d) - (e): Not applicable. ITEM 7 MATERIAL TO BE FILED AS EXHIBITS Item 7 is amended by the following: Joint Filing Agreement, dated as of April 21, 2009, by and among Temujin Fund Management, LLC and Marco Battaglia. CUSIP No. 010807158 13D/A Page 7 of 7 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. April 21, 2009 Date TEMUJIN FUND MANAGEMENT, LLC /s/ Marco Battaglia Signature Marco Battaglia, Chief Executive Officer Name/Title April 21, 2009 Date MARCO BATTAGLIA /s/ Marco Battaglia Signature The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. SEE ss.240.13d-7 for other parties for whom copies are to be sent. INDEX TO EXHIBITS Exhibit 1 Joint Filing Agreement dated as of April 21, 2009, by and among Temujin Fund Management, LLC and Marco Battaglia. EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them a Statement on Schedule 13D (including amendments thereto) with regard to the common stock of Ultratech, Inc., and further agree that this Joint Filing Agreement be included as an Exhibit to such joint filings. In evidence thereof, the undersigned, being duly authorized, hereby execute this Agreement as of April 21, 2009. April 21, 2009 Date TEMUJIN FUND MANAGEMENT, LLC /s/ Marco Battaglia Signature Marco Battaglia, Chief Executive Officer Name/Title April 21, 2009 Date MARCO BATTAGLIA /s/ Marco Battaglia Signature -----END PRIVACY-ENHANCED MESSAGE-----