-----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, Un+rqm4SSjfo7X2M6wy3jt6qSlW1o90u7ylnO7Lah4BNKvsuf4MYP/BmG3TCPf+P 5zYl41ucTpDjOOmxNOEcqA== 0000950147-03-000143.txt : 20030211 0000950147-03-000143.hdr.sgml : 20030211 20030211164814 ACCESSION NUMBER: 0000950147-03-000143 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20020930 FILED AS OF DATE: 20030211 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AMTECH SYSTEMS INC CENTRAL INDEX KEY: 0000720500 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 860411215 STATE OF INCORPORATION: AZ FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 10-K/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-11412 FILM NUMBER: 03550611 BUSINESS ADDRESS: STREET 1: 131 S CLARK DR CITY: TEMPE STATE: AZ ZIP: 85281 BUSINESS PHONE: 6029675146 MAIL ADDRESS: STREET 1: 131 SOUTH CLARK DRIVE CITY: TEMPE STATE: AZ ZIP: 85281 FORMER COMPANY: FORMER CONFORMED NAME: QUARTZ ENGINEERING & MATERIALS INC DATE OF NAME CHANGE: 19870715 10-K/A 1 e-9552.txt AMENDMENT NO. 1 TO FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A AMENDMENT NO. 1 (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: September 30, 2002 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from __________ to __________ Commission File Number: 0-11412 AMTECH SYSTEMS, INC. (Exact name of registrant as specified in its charter) Arizona 86-0411215 (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification No.) 131 South Clark Drive, Tempe, Arizona 85281 (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code: 480-967-5146 The undersigned Registrant hereby amends its Form 10-K for the fiscal year ended September 30, 2002, as follows: Part IV, ITEM 13 (EXHIBITS, FINANCIAL STATEMENT SCHEDULES, AND REPORTS ON FORM 8-K) is hereby amended by filing Exhibit Nos. 99.1 and 99.2, which were inadvertently omitted from the Registrant's initial filing of its Form 10-K for the fiscal year ended September 30, 2002. SIGNATURES Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. AMTECH SYSTEMS, INC. February 11, 2003 By: /s/ Jong S. Whang ------------------------------------ Jong S. Whang, President Pursuant to the requirements of the Securities Exchange Act of 1934, this Amendment No. 1 to Form 10-K has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated: SIGNATURE TITLE DATE --------- ----- ---- /s/ Jong S. Whang Chairman of the Board, February 11, 2003 - ------------------------------- President (Chief Executive Jong S. Whang Officer) /s/ Robert T. Hass Vice President-Finance February 11, 2003 - ------------------------------- (Chief Financial & Robert T. Hass Accounting Officer) /s/ * Director February 11, 2003 - ------------------------------- Alvin Katz /s/ * Director February 11, 2003 - ------------------------------- Bruce R. Thaw * By: /s/ Jong S. Whang February 11, 2003 - ------------------------------- Jong S. Whang, Attorney-in-Fact EXHIBIT INDEX
METHOD OF EXHIBIT NO. DESCRIPTION FILING - ----------- ----------- ------ 3.1 Articles of Incorporation A 3.2 Articles of Amendment to Articles of Incorporation, dated April 27, 1983 A 3.3 Articles of Amendment to Articles of Incorporation, dated May 19, 1987 B 3.4 Articles of Amendment to Articles of Incorporation, dated May 2, 1988 C 3.5 Articles of Amendment to Articles of Incorporation, dated May 28, 1993 F 3.6 Articles of Amendment to Articles of Incorporation, dated March 14, 1999 O 3.7 Amended and Restated Bylaws D 4.1 Rights Agreement dated May 17, 1999 M 10.1 Amended and Restated 1995 Stock Option Plan H 10.2 Non-Employee Director Stock Option Plan I 10.3 Employment Agreement with Robert T. Hass, dated May 19, 1992 E 10.4 Registration Rights Agreement with J.S. Whang, dated January 24, 1994 F 10.5 Asset Purchase Agreement, dated July 1, 1997, among the Registrant, P.R. Hoffman Machines Corporation and John R. Krieger J 10.6 1998 Employee Stock Option Plan L 10.7 Sublease Agreement, dated July 1, 1999, between the Registrant and John R. Krieger Q 10.8 Warrant to Purchase Common Stock, dated September 8, 2000 P 10.9 Stock and Warrant Purchase Agreement, dated September 8, 2000 P 10.10 Employment Agreement, dated March 15, 2001, between the Registrant and Jong S. Whang R 21 Subsidiaries of the Registrant N 23 Consent of Independent Auditor * 24 Powers of Attorney ** 99.1 Certification of Principal Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 * 99.2 Certification of Principal Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 *
- ---------- * Filed herewith. ** Previously filed. A Incorporated by reference to Amtech's Form S-18 Registration Statement No. 2-83934-LA. B Incorporated by reference to Amtech's Annual Report on Form 10-K for the fiscal year ended September 30, 1987. C Incorporated by reference to Amtech's Annual Report on Form 10-K for the fiscal year ended September 30, 1988. D Incorporated by reference to Amtech's Annual Report on Form 10-K for the fiscal year ended September 30, 1991. E Incorporated by reference to Amtech's Annual Report on Form 10-K for the fiscal year ended September 30, 1993. F Incorporated by reference to Amtech's Form S-1 Registration Statement No. 33-77368. G Incorporated by reference to Amtech's Form S-8 Registration Statement relating to the Amended and Restated 1995 Stock Option Plan and the 1995 Stock Bonus Plan filed with the Securities and Exchange Commission on September 9, 1997. H Incorporated by reference to Amtech's Form S-8 Registration Statement relating to the Non-Employee Directors Stock Option Plan filed with the Securities and Exchange Commission on August 8, 1996. I Incorporated by reference to Amtech's Current Report on Form 8-K dated July 1, 1997. J Incorporated by reference to Amtech's Proxy Statement for shareholders meeting held on March 20, 1998. K Incorporated by reference to Amtech's Current Report on Form 8-K, dated May 17,1999. L Incorporated by reference to Amtech's Annual Report on Form 10-K for the fiscal year ended September 30, 1997. M Incorporated by reference to Amtech's Proxy Statement for the annual shareholders meeting held on February 26, 1999. N Incorporated by reference to Amtech's Current Report on Form 8-K dated September 22, 2000. O Incorporated by reference to Amtech's Annual Report on Form 10-K for the fiscal year ended September 30, 1999. P Incorporated by reference to Amtech's Quarterly Report on Form 10-Q for the quarter ended March 31, 2001. EX-23 3 ex23.txt CONSENT OF KPMG LLP EXHIBIT 23 FORM OF CONSENT INDEPENDENT AUDITOR'S CONSENT The Board of Directors Amtech Systems, Inc.: We consent to the incorporation by reference in the Form 10-K/A of Amtech Systems, Inc. of our report dated November 27, 2002, with respect to the consolidated balance sheet of Amtech Systems, Inc. as of September 30, 2002, and the related consolidated statements of operations, stockholders' equity, and cash flows for the year then ended, and the related financial statement schedule, which report appears in the September 30, 2002, annual report on Form 10-K of Amtech Systems, Inc. /s/ KPMG LLP Phoenix, Arizona February 7, 2003 EX-99.1 4 ex99-1.txt CERTIFICATION PURSUANT TO SECTION 906 OF SARBANES EXHIBIT 99.1 AMTECH SYSTEMS, INC. AND ITS SUBSIDIARIES CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report on Form 10-K of Amtech Systems, Inc. (the "Company") for the fiscal year ended September 30, 2002, as filed with the Securities and Exchange Commission on the date hereof (the "Report"), I, Jong S. Whang, President and Chief Executive Officer of the Company, certify, pursuant to 18 U.S.C. ss. 1350, as adopted pursuant to ss. 906 of the Sarbanes-Oxley Act of 2002, that: (1) The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and (2) The information contained in the Report fairly presents, in all material respects, the financial condition and result of operations of the Company. /s/ Jong S. Whang - ------------------------------------- Jong S. Whang President and Chief Executive Officer February 11, 2003 EX-99.2 5 ex99-2.txt CERTIFICATION PURSUANT TO SECTION 906 OF SARBANES EXHIBIT 99.2 AMTECH SYSTEMS, INC. AND ITS SUBSIDIARIES CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report on Form 10-K of Amtech Systems, Inc. (the "Company") for the fiscal year ended September 30, 2002, as filed with the Securities and Exchange Commission on the date hereof (the "Report"), I, Robert T. Hass, Vice President - Finance and Chief Financial Officer of the Company, certify, pursuant to 18 U.S.C. ss. 1350, as adopted pursuant to ss. 906 of the Sarbanes-Oxley Act of 2002, that: (1) The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and (2) The information contained in the Report fairly presents, in all material respects, the financial condition and result of operations of the Company. /s/ Robert T. Hass - ---------------------------- Robert T. Hass Vice President - Finance and Chief Financial Officer February 11, 2003 -----END PRIVACY-ENHANCED MESSAGE-----