-----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, VZCxVdS414mcUqId+0aPEIoA1/L6M8ULExithe4E/ziVtBmJYyzqhKiICsC/HfpV Z+gXkS4G8BV9GHU3GSDETg== 0001012870-97-000177.txt : 19970225 0001012870-97-000177.hdr.sgml : 19970225 ACCESSION NUMBER: 0001012870-97-000177 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970206 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ULTRATECH STEPPER 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 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-44773 FILM NUMBER: 97519269 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ZAFIROPOULO ARTHUR W CENTRAL INDEX KEY: 0000939376 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G 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 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ____________________ Schedule 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 (Amendment No. ___)* ULTRATECH STEPPER, INC. ----------------------- (Name of Issuer) COMMON STOCK ------------ (Title of Class of Securities) 904034 10 5 ----------- (CUSIP Number) * The remainder of this cover page shall be filled out for a reporting person's 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 purposes of Section 18 of the Securities Exchange Act of 1934 (the "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). (CONTINUED ON FOLLOWING PAGE(S)) (Page 1 of 5 Pages) - ----------------------- --------------------- CUSIP NO. 904034 10 5 13G PAGE 2 OF 5 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Arthur W. Zafiropoulo Social Security Number: ###-##-#### - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S.A. - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 1,984,228 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 None OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 1,984,228 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 None - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 1,984,228 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11 9.8% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! Cusip No. 904034 10 5 Page 3 of 5 ATTACHMENT TO SCHEDULE 13G Item 1(a) Name of Issuer: -------------- Ultratech Stepper, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: ----------------------------------------------- 3050 Zanker Road San Jose, CA 95134 Item 2(a) Name of Person Filing: --------------------- Arthur W. Zafiropoulo Item 2(b) Address of Principal Business Office or Residence: ------------------------------------------------- c/o Ultratech Stepper, Inc. 3050 Zanker Road San Jose, CA 95134 Item 2(c) Citizenship: U.S.A. ----------- Item 2(d) Title and Class of Securities: Common Stock ----------------------------- Item 2(e) CUSIP Number: 904034 10 5 ------------ Item 3 Not applicable. -------------- Item 4 Ownership --------- Cusip No. 904034 10 5 Page 4 of 5 Item 4(a) Amount Beneficially Owned: ------------------------- 1,984,228 Shares of Common Stock Item 4(b) Percent of Class: ---------------- 9.8% Item 4(c) Number of shares as to which such person has: -------------------------------------------- (i) sole power to vote or to direct the vote: 1,984,228* (ii) shared power to vote or to direct the vote: None. (iii) sole power to dispose or to direct the disposition of: 1,984,228* shares of Common Stock (iv) shared power to dispose or to direct the disposition of: None. Item 5 Not applicable. -------------- Item 6 Not applicable. -------------- Item 7 Not applicable. -------------- Item 8 Not applicable. -------------- Item 9 Not applicable. -------------- - ---------------------- *Includes 100,000 shares held by a charitable foundation in the name of the "Zafiropoulo Family Foundation" established pursuant to Section 501(c)(3) of the Internal Revenue Code of 1986, as amended, of which the Reporting Person has voting or dispositive power only to the extent that he is on the board of directors of the foundation. An option to purchase 1,000 shares of Common Stock granted to a son of the Reporting Person, of which the Reporting Person does not have voting or dispositive power is not included in these share numbers because the son resides apart from the Reporting Person. PAGE 5 OF 5 Cusip No. 904034 10 5 Item 10 Certification: By signing below, I certify that, to the best of my ------------- knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes 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. January 28, 1997 ---------------- /s/ Arthur W. Zafiropoulo ----------------------------------- Arthur W. Zafiropoulo Chief Executive Officer -----END PRIVACY-ENHANCED MESSAGE-----