-----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, QTWhLYOMgyxa3CfN9y4wqmnAUiECBWYixrCc92Itwl3c0pIAzpao1SoD9sFt53Ew RPdFj/XYPLTRT1BHDJBI3w== 0000912057-97-005177.txt : 19970222 0000912057-97-005177.hdr.sgml : 19970222 ACCESSION NUMBER: 0000912057-97-005177 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MATTSON TECHNOLOGY INC CENTRAL INDEX KEY: 0000928421 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 770208119 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-46189 FILM NUMBER: 97532315 BUSINESS ADDRESS: STREET 1: 3550 WEST WARREN AVE CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5106575900 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MATTSON BRAD CENTRAL INDEX KEY: 0000943666 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 3550 WEST WARREN AVENUE CITY: FREMONT STATE: CA ZIP: 94538 SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 MATTSON TECHNOLOGY, INC. ---------------------------------- (Name of Issuer) Common Stock ---------------------------------- (Title of Class of Securities) 57723100 ---------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement / /. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *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). Page 1 of 5 Pages CUSIP No. 57723100 13G Page 2 of 5 Pages --------- --- --- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Brad Mattson - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* N/A (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power 3,351,104 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 0 -------------------------------------------------- (7) Sole Dispositive Power 3,351,104 -------------------------------------------------- (8) Shared Dispositive Power 0 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 3,351,104 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* / / N/A - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 23.5% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 5 Pages Page 3 of 5 Pages --- --- ITEM 1(A). NAME OF ISSUER: Mattson Technology, Inc. - ------------------------------------------------------------------------------- ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 3550 West Warren Avenue, Fremont, CA 94538 - ------------------------------------------------------------------------------- ITEM 2(A). NAME OF PERSON(S) FILING: Brad Mattson - ------------------------------------------------------------------------------- ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: Mattson Technology, Inc. 3550 West Warren Avenue, Fremont, CA 94538 - ------------------------------------------------------------------------------- ITEM 2(C). CITIZENSHIP: The filing person is a citizen of the United States of America. - ------------------------------------------------------------------------------- ITEM 2(D). TITLE OF CLASS OF SECURITIES: Common Stock - ------------------------------------------------------------------------------- ITEM 2(E). CUSIP NUMBER: 57723100 - ------------------------------------------------------------------------------- ITEM 3. TYPE OF PERSON: Not Applicable ITEM 4. OWNERSHIP: (a) Amount owned "beneficially" within the meaning of rule 13d-3: 3,351,104 shares; includes 284,416 shares which are subject to rights to purchase within 60 days of December 31, 1996 pursuant to the exercise of stock options. --------------------------------------------------------------------------- Page 4 of 5 Pages --- --- (b) Percent of Class: 23.5%, based on 14,239,109 shares outstanding on November 7, 1996, per the Company's Report on Form 10-Q for quarter ended September 29, 1996. --------------------------------------------------------------------------- (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 3,351,104 shares ----------------------------------------------------------------- (ii) shared power to vote or to direct the vote: 0 ----------------------------------------------------------------- (iii) sole power to dispose or to direct the disposition of: 3,351,104 shares ----------------------------------------------------------------- (iv) shared power to dispose or to direct the disposition of: 0 ----------------------------------------------------------------- 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 GROUP: Not Applicable ITEM 10. CERTIFICATION: Not Applicable Page 5 of 5 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. Date: February 5 ,1997 --- /s/ Brad Mattson ---------------------------------------- Brad Mattson -----END PRIVACY-ENHANCED MESSAGE-----