4 1 form4billw.txt BODY 4 1 NASDAC 0001206178 z8gopu#s Officer THERMA-WAVE, INC. 0000828119 94-3000561 12/02/02 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. 1. Name and Address of Reporting Person(s) WARREN, WILLIAM E 1250 RELIANCE WAY FREMONT, CA 94539 2. Issuer Name and Ticker or Trading Symbol THERMA-WAVE, INC. (TWAV) 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) 4. Statement for Month/Day/Year 12/2/02 5. If Amendment, Date of Original (Month/Day/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (specify below) SR. VP BUSINESS OPERATIONS 7. Individual or Joint/Group Filing (Check Applicable Line) [X] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person
Table I Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Security 2)Trans- 3.Trans- 4.Securities Acquired(A) 5)Amount of 6) 7)Nature of action action or Disposed of (D) Securities Indirect Date Code A Beneficially D Beneficial (Month/ or Owned at or Ownership Day/Year) Code V Amount D Price End of Month I ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, Par Value $.01 per share 11/26/02 P 100 A $1.430 D Direct Common Stock, Par Value $.01 per share 11/26/02 P 9,900 A $1.450 D Direct Common Stock, Par Value $.01 per share 11/26/02 P 10,000 A $1.490 D Direct Common Stock, Par Value $.01 per share 11/27/02 P 6,900 A $1.400 D Direct Common Stock, Par Value $.01 per share 11/27/02 P 5,400 A $1.420 D Direct Common Stock, Par Value $.01 per share 11/27/02 P 11,900 A $1.430 D Direct Common Stock, Par Value $.01 per share 11/29/02 P 10,800 A $1.410 59,550 D Direct Table II (PART 1) Derivative Securities Acquired, Disposed of, or Beneficially Owned (Columns 1 through 6) ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 2)Conversion 3)Trans- 4)Trans- 5)Number of Derivative 6)Date Exercisable and Security or Exercise action action Securities Acquired (A) Expiration Date Price of Date Code or Disposed of (D) Derivative Security Code V A D Exercisable Expiration ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $6.000 10/31/98 10/31/07 (right to buy) Non-Qualified Stock Option $7.000 03/30/00 03/30/09 (right to buy) Non-Qualified Stock Option $7.000 05/05/00 05/05/09 (right to buy) Non-Qualified Stock Option $8.930 07/15/97 07/15/07 (right to buy) Non-Qualified Stock Option $10.680 07/15/97 07/15/07 (right to buy) Non-Qualified Stock Option $12.430 07/15/97 07/15/07 (right to buy) Non-Qualified Stock Option $14.180 07/15/97 07/15/07 (right to buy) Non-Qualified Stock Option $15.310 04/24/02 04/23/11 (right to buy) Non-Qualified Stock Option $15.890 07/15/97 07/15/07 (right to buy) Non-Qualified Stock Option $20.000 02/01/01 02/01/10 (right to buy) Non-Qualified Stock Option $21.313 07/31/01 07/28/10 (right to buy) Non-Qualified Stock Option $6.000 10/31/99 10/31/07 (right to buy) Non-Qualified Stock Option $7.000 03/30/01 03/30/09 (right to buy) Non-Qualified Stock Option $7.000 05/05/01 05/05/09 (right to buy) Non-Qualified Stock Option $15.310 04/24/03 04/23/11 (right to buy) Non-Qualified Stock Option $20.000 02/01/02 02/01/10 (right to buy) Non-Qualified Stock Option $21.313 07/31/02 07/28/10 (right to buy) Non-Qualified Stock Option $6.000 10/31/00 10/31/07 (right to buy) Non-Qualified Stock Option $7.000 03/30/02 03/30/09 (right to buy) Non-Qualified Stock Option $7.000 05/05/02 05/05/09 (right to buy) Non-Qualified Stock Option $15.310 04/24/04 04/23/11 (right to buy) Non-Qualified Stock Option $20.000 02/01/03 02/01/10 (right to buy) Non-Qualified Stock Option $21.313 07/31/03 07/28/10 (right to buy) Non-Qualified Stock Option $6.000 10/31/01 10/31/07 (right to buy) Non-Qualified Stock Option $7.000 03/30/03 03/30/09 (right to buy) Non-Qualified Stock Option $7.000 05/05/03 05/05/09 (right to buy) Non-Qualified Stock Option $15.310 04/24/05 04/23/11 (right to buy) Non-Qualified Stock Option $20.000 02/01/04 02/01/10 (right to buy) Non-Qualified Stock Option $21.313 07/31/04 07/28/10 (right to buy) Non-Qualified Stock Option $2.480 08/05/03 08/05/12 (right to buy) Table II (PART 2) Derivative Securities Acquired, Disposed of, or Beneficially Owned (Columns 1,3 and 7 through 11) ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 3)Trans- 7)Title and Amount 8)Price 9)Number of 10) 11)Nature of Security action of Underlying of Deri- Derivative Indirect Date Securities vative Securities D Beneficial Amount or Security Beneficially or Ownership Number of Owned at I - Title Shares End of Month ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option Common Stock, Par Value $.01 1,125 1,125 D Direct (right to buy) per share Non-Qualified Stock Option Common Stock, Par Value $.01 2,000 2,000 D Direct (right to buy) per share Non-Qualified Stock Option Common Stock, Par Value $.01 4,500 4,500 D Direct (right to buy) per share Non-Qualified Stock Option Common Stock, Par Value $.01 429 429 D Direct (right to buy) per share Non-Qualified Stock Option Common Stock, Par Value $.01 429 429 D Direct (right to buy) per share Non-Qualified Stock Option Common Stock, Par Value $.01 429 429 D Direct (right to buy) per share Non-Qualified Stock Option Common Stock, Par Value $.01 429 429 D Direct (right to buy) per share Non-Qualified Stock Option Common Stock, Par Value $.01 21,250 21,250 D Direct (right to buy) per share Non-Qualified Stock Option Common Stock, Par Value $.01 429 429 D Direct (right to buy) per share Non-Qualified Stock Option Common Stock, Par Value $.01 5,000 5,000 D Direct (right to buy) per share Non-Qualified Stock Option Common Stock, Par Value $.01 5,000 5,000 D Direct (right to buy) per share Non-Qualified Stock Option Common Stock, Par Value $.01 1,125 1,125 D Direct (right to buy) per share #2 Non-Qualified Stock Option Common Stock, Par Value $.01 2,000 2,000 D Direct (right to buy) per share #2 Non-Qualified Stock Option Common Stock, Par Value $.01 4,500 4,500 D Direct (right to buy) per share #2 Non-Qualified Stock Option Common Stock, Par Value $.01 21,250 21,250 D Direct (right to buy) per share #2 Non-Qualified Stock Option Common Stock, Par Value $.01 5,000 5,000 D Direct (right to buy) per share #2 Non-Qualified Stock Option Common Stock, Par Value $.01 5,000 5,000 D Direct (right to buy) per share #2 Non-Qualified Stock Option Common Stock, Par Value $.01 1,125 1,125 D Direct (right to buy) per share #3 Non-Qualified Stock Option Common Stock, Par Value $.01 2,000 2,000 D Direct (right to buy) per share #3 Non-Qualified Stock Option Common Stock, Par Value $.01 4,500 4,500 D Direct (right to buy) per share #3 Non-Qualified Stock Option Common Stock, Par Value $.01 21,250 21,250 D Direct (right to buy) per share #3 Non-Qualified Stock Option Common Stock, Par Value $.01 5,000 5,000 D Direct (right to buy) per share #3 Non-Qualified Stock Option Common Stock, Par Value $.01 5,000 5,000 D Direct (right to buy) per share #3 Non-Qualified Stock Option Common Stock, Par Value $.01 1,125 1,125 D Direct (right to buy) per share #4 Non-Qualified Stock Option Common Stock, Par Value $.01 2,000 2,000 D Direct (right to buy) per share #4 Non-Qualified Stock Option Common Stock, Par Value $.01 4,500 4,500 D Direct (right to buy) per share #4 Non-Qualified Stock Option Common Stock, Par Value $.01 21,250 21,250 D Direct (right to buy) per share #4 Non-Qualified Stock Option Common Stock, Par Value $.01 5,000 5,000 D Direct (right to buy) per share #4 Non-Qualified Stock Option Common Stock, Par Value $.01 5,000 5,000 D Direct (right to buy) per share #4 Non-Qualified Stock Option Common Stock, Par Value $.01 9,000 9,000 D Direct (right to buy) per share Explanation of Responses:
SIGNATURE OF REPORTING PERSON /S/ WARREN, WILLIAM E DATE 12/02/02