-----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, CjhgzJ8N28oxUj8kODvMc+GbCHE5qy0NZQ3xt9Q5kMoICWPFDsr6rspyhj7tF8ly TU6q1lMzgKBkKEqY4OdkUg== 0001012870-02-000669.txt : 20020414 0001012870-02-000669.hdr.sgml : 20020414 ACCESSION NUMBER: 0001012870-02-000669 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MATTSON BRAD CENTRAL INDEX KEY: 0000943666 IRS NUMBER: 770208119 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3550 WEST WARREN AVENUE CITY: FREMONT STATE: CA ZIP: 94538 MAIL ADDRESS: STREET 1: C/O MATTSON TECHNOLOGY STREET 2: 3550 WEST WARREN AVENUE CITY: FREMONT STATE: CA ZIP: 94538 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 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-47406 FILM NUMBER: 02547637 BUSINESS ADDRESS: STREET 1: 2800 BAYVIEW DR CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5106575900 SC 13G/A 1 dsc13ga.txt AMENDMENT #5 TO SCHEDULE 13G ----------------------------- OMB Number: 3235-0145 Expires: October 31, 2002 Estimated average burden hours per response......14.90 ----------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5) Mattson Technology, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 57723100 - -------------------------------------------------------------------------------- (CUSIP Number) Check the following box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d - 1(b) [ ] Rule 13d - 1(c) [X] Rule 13d - 1(d) *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 disclosure 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 ("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). SEC 1745 (2/92) Page 1 of 5 pages - ---------------------- ------------------- CUSIP NO. 57723100 SCHEDULE 13G PAGE 2 OF 5 PAGES - ---------------------- ------------------- - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Brad Mattson - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) N/A (a) [_] (b) [_] - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER SHARES 3,426,762 ----------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 0 ----------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 3,426,762 ----------------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 0 - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,426,762 - ------------------------------------------------------------------------------ 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 9.0% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 5 pages - ---------------------- ------------------- CUSIP NO. 57723100 SCHEDULE 13G PAGE 3 OF 5 PAGES - ---------------------- ------------------- Item 1. (a) Name of Issuer: Mattson Technology, Inc. (b) Address of Issuer's Principal Executive Offices: 2800 Bayview Drive Fremont, CA 94538 Item 2. (a) Name of Person Filing: Brad Mattson (b) Address of Principal Business Office or, if none, Residence: Mattson Technology, Inc. 2800 Bayview Drive Fremont, CA 94538 (c) Citizenship: The filing person is a citizen of the United States of America. (d) Title of Class of Securities: Common Stock. (e) CUSIP Number: 57723100 Item 3. Status of Person Filing: Not Applicable. Item 4. Ownership (a) Amount Beneficially Owned: Amount owned "beneficially" within the meaning of rule 13d-3: 3,426,762 shares; includes 182,756 shares subject to options exercisable within 60 days of December 31, 2001. (b) Percent of Class: 9.0%, based on 37,792,420 shares outstanding as of November 12, 2001, as reported by the issuer in its Report on Form 10-Q for the quarter ended September 30, 2001. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 3,426,762 (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 3,426,762 (iv) shared power to dispose or to direct the disposition of: 0 Page 3 of 5 Pages - ---------------------- ------------------- CUSIP NO. 57723100 SCHEDULE 13G PAGE 4 OF 5 PAGES - ---------------------- ------------------- 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 Pursuant to a November 17, 1999 Pledge Agreement between Prudential Securities Incorporated ("Prudential") and Brad Mattson, 1,600,000 of Mr. Mattson's shares are pledged to secure a loan from Prudential to Mr. Mattson. In case of certain events constituting a default under the Pledge Agreement, Prudential may sell the shares and receive the proceeds of any such sale up to the amount required to satisfy in full Mr. Mattson's obligations under the loan and the Pledge Agreement. 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 the Group Not Applicable. Item 10. Certification Not Applicable. Page 4 of 5 pages - ---------------------- ------------------- CUSIP NO. 57723100 SCHEDULE 13G 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 14, 2002 /s/ Brad Mattson ------------------------------------- Brad Mattson Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----