-----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, TiV9mTrIDHtK8m9a0RehgPG65hxvMk9/g94nkevgNmmNYPENqEvrDXGFCL11Oz5P r2LaOdKv1hZiDgix189wMQ== 0001047469-98-004095.txt : 19980209 0001047469-98-004095.hdr.sgml : 19980209 ACCESSION NUMBER: 0001047469-98-004095 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980206 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: SEC FILE NUMBER: 005-44773 FILM NUMBER: 98524296 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 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ____________________ Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) AND (c) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No. ) ULTRATECH STEPPER, INC. - ------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - ------------------------------------------------------------------------------- (Title of Class of Securities) 904034 10 5 - ------------------------------------------------------------------------------- (CUSIP Number) CUSIP NO. 904034 10 5 13G Page 2 of 5 Pages - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS ARTHUR W. ZAFIROPOULO - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER 1,740,719 SHARES OF ------------------------------------------------------------- 6 SHARED VOTING POWER SHARES None BENEFICIALLY ------------------------------------------------------------- OWNED BY 7 SOLE DISPOSITIVE POWER REPORTING 1,740,719 SHARES PERSON ------------------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER None - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,740,719 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.4% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP NO. 904034 10 5 Page 3 of 5 Pages - ------------------------------------------------------------------------------- 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 Pages - ------------------------------------------------------------------------------- Item 4(a) AMOUNT BENEFICIALLY OWNED: 1,740,719 Shares of Common Stock Item 4(b) PERCENT OF CLASS: 8.4% Item 4(c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (i) sole power to vote or to direct the vote: 1,740,719 */ (ii) shared power to vote or to direct the vote: None. (iii) sole power to dispose or to direct the disposition of: 1,740,719 **/ 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. CUSIP NO. 904034 10 5 Page 5 of 5 Pages - ------------------------------------------------------------------------------- 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. February 6, 1998 /s/ Arthur W. Zafiropoulo -------------------------------------------- Arthur W. Zafiropoulo Chief Executive Officer -----END PRIVACY-ENHANCED MESSAGE-----