-----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, IAH54Wb6cbeKmPSjrz4Gh4eNJPp3ZPN/cLOv4s4CwvXxUgyom4xbbb8R1aMKH81B NNy+XEqhRlR9ypsvjd459w== 0001047469-98-004313.txt : 19980210 0001047469-98-004313.hdr.sgml : 19980210 ACCESSION NUMBER: 0001047469-98-004313 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980209 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/A SEC ACT: SEC FILE NUMBER: 005-46189 FILM NUMBER: 98525862 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/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 SC 13G/A 1 SC 13G/A OMB Number: 3235-0145 Expires: October 31, 1994 Estimated average burden hours per response.....14.90 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1) 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 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). Page 1 of 5 pages CUSIP NO. 57723100 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* N/A (a) / / (b) / / - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 3,395,850 OWNED BY ---------------------------------------------------------- BY EACH 6 SHARED VOTING POWER REPORTING PERSON 0 WITH ---------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 3,395,850 ---------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,395,850 - ------------------------------------------------------------------------------ 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 23.4% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON * IN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 5 pages CUSIP NO. 57723100 13G PAGE 3 OF 5 PAGES ITEM 1. (a) Name of Issuer: Mattson Technology, Inc. (b) Address of Issuer's Principal Executive Offices: 3550 West Warren Avenue 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. 3550 West Warren Avenue 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: 3,395,850 shares; includes 329,162 shares subject to options exercisable within 60 days of December 31, 1997. (b) Percent of Class: 23.4%, based on 14,188,906 shares outstanding on December 31, 1997. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 3,395,850 (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 3,395,850 (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. Page 3 of 5 pages CUSIP NO. 57723100 13G PAGE 4 OF 5 PAGES 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 THE GROUP Not Applicable. ITEM 10. CERTIFICATION Not applicable. Page 4 of 5 pages CUSIP NO. 57723100 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 3, 1998 /s/ Brad Mattson -------------------------------- Brad Mattson Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----