-----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, AGt3NisNuE5pVeL/1zllFyqHangVQVjIVXKYaO7P/zyq8cptbowzIOty8ZtTOfLw DKY+4noEwtw/z4ibRLPgyA== 0000950172-05-001907.txt : 20050613 0000950172-05-001907.hdr.sgml : 20050611 20050613164700 ACCESSION NUMBER: 0000950172-05-001907 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050613 DATE AS OF CHANGE: 20050613 GROUP MEMBERS: RAG AKTIENGESELLSCHAFT 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: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-46189 FILM NUMBER: 05892786 BUSINESS ADDRESS: STREET 1: 2800 BAYVIEW DR CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5106575900 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STEAG ELECTRONIC SYSTEMS AG CENTRAL INDEX KEY: 0001077320 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: RUTTENSCHEIDER STRASSE 1-3 CITY: ESSEN STATE: 2M ZIP: 45128 BUSINESS PHONE: 4152686203 FORMER COMPANY: FORMER CONFORMED NAME: STEAG ELECTRONIC SYSTEMS GMBH DATE OF NAME CHANGE: 19990121 SC 13D/A 1 pa176892.txt AMENDMENT NO. 5 .. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)(1) Mattson Technology, Inc. (Name of Issuer) Common Stock, Par Value $0.001 Per Share (Title of Class of Securities) 57723100 (CUSIP Number) Wilhelm Puschel Member of the Board STEAG Electronic Systems AG Ruettenscheider Strasse 1-3 45128 Essen, Germany Telephone: 011-49-201-801-2215 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Copy to: Marc R. Packer, Esq. Skadden, Arps, Slate, Meagher & Flom LLP 525 University Avenue Palo Alto, CA 94301 Telephone: 650-470-4500 June 9, 2005 (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 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 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 purpose 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). SCHEDULE 13D - ---------------------------- ------------------------------ CUSIP No. 57723100 Page 2 of 12 Pages - ---------------------------- ------------------------------ - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON STEAG Electronic Systems AG - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) OO - ---------- --------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ---------- --------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Germany - ---------- --------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 7,061,144 SHARES -------- --------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY 271,147 OWNED BY -------- -------------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 7,061,144 REPORTING -------- --------------------------------------------------- 10 SHARED DISPOSITIVE POWER PERSON 271,147 WITH - ---------- --------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,332,291 - ---------- --------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ---------- --------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 14.2% (see Item 5) - ---------- --------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) CO - ---------- --------------------------------------------------------------------- SCHEDULE 13D - ---------------------------- ------------------------------ CUSIP No. 57723100 Page 3 of 12 Pages - ---------------------------- ------------------------------ - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON RAG Aktiengesellschaft - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) OO - ---------- --------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ---------- --------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Germany - ---------- --------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 7,061,144 SHARES -------- --------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY 271,147 OWNED BY -------- -------------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 7,061,144 REPORTING -------- --------------------------------------------------- 10 SHARED DISPOSITIVE POWER PERSON 271,147 WITH - ---------- --------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,332,291 - ---------- --------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ---------- --------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 14.2% (see Item 5) - ---------- --------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) CO - ---------- --------------------------------------------------------------------- This Amendment No. 5 to Schedule 13D (this "Amendment No. 5") is being filed by STEAG Electronic Systems AG ("SES") and RAG Aktiengesellschaft ("RAG") pursuant to Rule 13d-2(a) of the Rules and Regulations promulgated under the Securities and Exchange Act of 1934, as amended, to amend and supplement the statement on Schedule 13D filed on January 11, 2001 by SES and STEAG, as amended and supplemented by SES, STEAG and RAG by Amendment No. 1 on May 8, 2002, Amendment No. 2 on February 11, 2004, Amendment No. 3 on February 13, 2004, and Amendment No. 4 on October 29, 2004 (the "Amended Statement"), with respect to the common stock, par value $0.001 per share ("Mattson Stock"), of Mattson Technology, Inc., a Delaware corporation ("Mattson"). Capitalized terms used in this Amendment No. 5 and not otherwise defined herein have the meanings set forth in the Amended Statement. The information set forth in response to each separate Item shall be deemed to be a response to all Items where such information is relevant. Item 2. Identity and Background. (f) Annex A is amended in its entirety as set forth in this Amendment No. 5. Item 5. Interest in Securities of the Issuer. Item 5(a) of the Amended Statement is hereby amended and restated in its entirety as follows: "As of the date of this Amendment No. 5, SES and RAG each beneficially own 7,332,291 shares of Mattson Stock, which represents approximately 14.2% of the outstanding shares of Mattson Stock based on 51,732,214 shares of Mattson Stock outstanding as of May 2, 2005, as reported in Mattson's Quarterly Report on Form 10-Q for its fiscal quarter ended March 27, 2005. As of the date of this Amendment No. 5, except as described herein, none of SES, RAG nor, to the best knowledge of each of SES and RAG, any of the individuals referred to in Schedule A, beneficially owns any Mattson Stock or securities convertible into Mattson Stock." Item 5(b) of the Amended Statement is hereby amended and supplemented as follows: (1) The first sentence of the first paragraph of Item 5(b) is amended and restated in its entirety as follows: "Each of SES (directly) and RAG (indirectly) has the sole power to vote and dispose of 7,061,144 shares of Mattson Stock." (2) The third paragraph of Item 5(b) is deleted. 4 Item 5(c) of the Amended Statement is hereby amended and supplemented as follows: "On June 9, 2005, SES sold an aggregate of 1,800,000 shares of Mattson Stock at a price of $7.50 per share. Such shares were sold on the Nasdaq Stock Market in reliance upon Rule 144 promulgated under the Securities Act of 1933, as amended." 5 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. Dated: June 13, 2004 STEAG ELECTRONIC SYSTEMS AG By: /s/ Werner Beder ------------------------------------------- Name: Werner Beder Title: Member of the Board of Directors By: /s/ Welhelm Puschel ------------------------------------------- Name: Welhelm Puschel Title: Member of the Board of Directors RAG AKTIENGESELLSCHAFT By: /s/ Ulrich Weber ------------------------------------------- Name: Ulrich Weber Title: Member of the Board By: /s/ Christoph Mueller ------------------------------------------- Name: Christoph Mueller Title: Senior Vice President 6 Schedule A to the Amended Statement is hereby amended and restated to read in its entirety as follows: SCHEDULE A A. Directors and Executive Officers of RAG. The following table sets forth the name, current business or home address and present principal occupation of each of the executive officers and directors of RAG. Unless otherwise indicated, each of these individuals is a citizens of the Federal Republic of Germany.
Name and Business or Home Address Position with RAG and Present Principal and Citizenship Occupation or Employment Dr. Werner Mueller Chairman of the Management Board of RAG RAG AG Chairman of the Supervisory Board of STEAG Rellinghauser Strasse 1-11 45128 Essen Germany Prof. Dr. Dr. Utz-Hellmuth Felcht Member of the Management Board of RAG RAG AG Member of the Supervisory Board of STEAG Rellinghauser Strasse 1-11 45128 Essen Germany Bernd Toenjes Member of the Management Board of RAG RAG AG Rellinghauser Strasse 1-3 45128 Essen Germany Dr. Peter Schoerner Member of the Management Board of RAG RAG AG Member of the Supervisory Board of STEAG Rellinghauser Strasse 1-11 45128 Essen Germany
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Name and Business or Home Address Position with RAG and Present Principal and Citizenship Occupation or Employment Ulrich Weber Member of the Management Board of RAG RAG AG Rellinghauser Strasse 1-11 45128 Essen Germany Dr. Wulf H. Bernotat Chairman of the Supervisory Board of RAG E. ON AG Chairman of the Board of Management and Chief Executive E. ON-Platz Officer of E. ON AG 40479 Dusseldorf Germany Hubertus Schmoldt First Deputy Chairman of the Supervisory Board of RAG Konigsworther Platz 6 Chief Executive Officer of the IG BCE 30167 Hanover Germany Fritz Kollorz Deputy Chairman of the Supervisory Board of RAG Industriegewerkschaft Bergban, Chemie, Energie Deputy Chairman of the Supervisory Board of STEAG Konigsworther Platz 6 Member of the Executive Main Board of the IG BCE 30167 Hannover Germany Berthold A. Bonekamp Deputy Chairman of the Supervisory Board of RAG RWE AG Member of the Management Board of RWE Energy AG Opernplatz 1 45128 Essen Germany Elvira Rohde Deputy Chairman of the Supervisory Board of RAG RAG AG Chairman of the Works Council of RAG Castroper Strasse 295 44627 Herne Germany
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Name and Business or Home Address Position with RAG and Present Principal and Citizenship Occupation or Employment Professor Dr. Ekkehard Schulz Deputy Chairman of the Supervisory Board of RAG ThyssenKrupp AG Chairman of the Management Board of ThyssenKrupp AG August-Thyssen-Strasse 1 40211 Dusseldorf Germany Ralf Blauth Member of the Supervisory Board of RAG Degussa AG Chairman of the Worker's Council of Degussa AG Paul-Baumann-Strasse 1 Building 1425 45775 Marl Germany Mr. Klaus Brandner Economic and Labor Market- political speaker of the German Parliament Social Democratic Party (SPD) of the Lower House of Platz der Republik German Parliament 11011 Berlin Member of the Supervisory Board of RAG Germany Dr. Hans Michael Gaul Member of the Supervisory Board of RAG E.ON AG Member of the Supervisory Board of STEAG E.ON-Platz 1 Member of the Management Board of E.ON AG 40479 Dusseldorf Germany Wolfgang Junge Member of the Supervisory Board of RAG Schulstrasse 94 Chairman of the Worker's Council of Mining East (Bergwerk 59192 Bergkamen Ost) Germany Dr. Manfred Krueper Member of the Supervisory Board of RAG E.ON AG Member of the Management Board of E.ON AG E.ON-Platz 1 40479 Dusseldorf Germany
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Name and Business or Home Address Position with RAG and Present Principal and Citizenship Occupation or Employment Ludwig Ladzinski Member of the Supervisory Board of RAG Deutsche Steinkohle AG Chairman of the General Works Council of Deutsche Horsthofstrasse 10 Steinkohle AG 46244 Bottrop Germany Dr. Norbert Lammert Member of the Supervisory Board of RAG German Parliament Vice President of German Parliament Platz der Republik 11011 Berlin Germany Martin Becker Member of the Supervisory Board of RAG Bergwerk Saar Chairman of the Works Council of the Saar Mine Willy-Brandt-Strasse 7 66352 Grossrosseln Germany Prof. h.c. Dr. Ulrich Middelmann Member of the Supervisory Board of RAG Thyssen Krupp AG Deputy Chairman of the Management Board of ThyssenKrupp AG August-Thyssen-Strasse1 40211 Dusseldorf Germany Heinz Putzhammer Member of the Supervisory Board of RAG Bundesvorstand des Deutschen Member of the Federal Executive Board of the DGB Gewerkschaftsbundes Henriette-Herz-Platz 2 10178 Berlin Germany Hans W. Reich Member of the Supervisory Board of RAG Kreditanstalt fur Wiederaufbau Member of the Management Board of the Kreditanstalt fur Palmengartenstrasse 5-9 Wiederaufbau 60325 Frankfurt Germany
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Name and Business or Home Address Position with RAG and Present Principal and Citizenship Occupation or Employment Dr. Klaus Sturany Member of the Supervisory Board of RAG RWE AG Member of Management Board of RWE AG Opernplatz 1 45128 Essen Germany Citizen of Austria Prof. Dr. Franz-Josef Wodopia Member of the Supervisory Board of RAG Grosse Egge 11 Member of the Supervisory Board of STEAG 30826 Garbsen Head of the Mining and Energy Industry Section of the IG Germany BCE Michel Wurth Member of the Supervisory Board of RAG Arcelor Chief Financial Officer, Senior Executive Vice President 19, Avenue de la Liberte of Arcelor L-2930 Luxembourg Jan Zilius Member of the Supervisory Board of RAG Opernplatz 1 Member of the Management Board of RWE AG 45128 Essen Germany
B. Directors and Executive Officers of SES The following table sets forth the name, current business or home address and present principal occupation of each of the executive officers and directors of SES. Each of these individuals is a citizen of the Federal Republic of Germany.
Position with SES and Present Name and Business or Home Address Principal Occupation or Employment Werner Beder Vice President + Accounting of RAG Coal International AG RAG Coal International AG Member of the Management Board of SES Rellinghauser Strasse 1-11 45128 Essen Germany
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Position with SES and Present Name and Business or Home Address Principal Occupation or Employment Wilhelm Puschel Vice President + Treasury of RAG Coal International AG RAG Coal International AG Member of the Management Board of SES Rellinghauser Strasse 1-11 45128 Essen Germany Dr. Jurgen Stadelhofer Chairman of the Management Board of RAG Coal International AG RAG Coal International AG Chairman of the Supervisory Board of SES Rellinghauser Strasse 1-11 45128 Essen Germany Heribert Protzek Member of the Management Board of RAG Coal International AG RAG Coal International AG Vice Chairman of the Supervisory Board of SES Rellinghauser Strasse 1-11 45128 Essen Germany Christoph Danzer-Vanotti Member of the Management Board of RAG Coal International AG RAG Coal International AG Member of the Supervisory Board of SES Rellinghauser Strasse 1-11 45128 Essen Germany
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