0000934999-19-000010.txt : 20191108
0000934999-19-000010.hdr.sgml : 20191108
20191108154221
ACCESSION NUMBER: 0000934999-19-000010
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20191108
DATE AS OF CHANGE: 20191108
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: Brooks Automation, Inc.
CENTRAL INDEX KEY: 0000933974
STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559]
IRS NUMBER: 043040660
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-45079
FILM NUMBER: 191203912
BUSINESS ADDRESS:
STREET 1: 15 ELIZABETH DRIVE
CITY: CHELMSFORD
STATE: MA
ZIP: 01824
BUSINESS PHONE: (978) 262-2400
MAIL ADDRESS:
STREET 1: 15 ELIZABETH DRIVE
CITY: CHELMSFORD
STATE: MA
ZIP: 01824
FORMER COMPANY:
FORMER CONFORMED NAME: BROOKS AUTOMATION INC
DATE OF NAME CHANGE: 20030228
FORMER COMPANY:
FORMER CONFORMED NAME: BROOKS-PRI AUTOMATION INC
DATE OF NAME CHANGE: 20020514
FORMER COMPANY:
FORMER CONFORMED NAME: BROOKS AUTOMATION INC
DATE OF NAME CHANGE: 19941215
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: DF DENT & CO INC
CENTRAL INDEX KEY: 0000934999
IRS NUMBER: 521045317
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 400 EAST PRATT STREET
STREET 2: 7TH FLOOR
CITY: BALTIMORE
STATE: MD
ZIP: 21202
BUSINESS PHONE: 4108372544
MAIL ADDRESS:
STREET 1: DF DENT & CO INC
STREET 2: 400 EAST PRATT STREET
CITY: BALTIMORE
STATE: MD
ZIP: 21202
SC 13G/A
1
t308463.txt
DF DENT 13GA BRKS
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
BROOKS AUTOMATION, INC.
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(Name of Issuer)
COMMON STOCK
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(Title of Class of Securities)
114340102
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(CUSIP Number)
OCTOBER 29, 2019
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(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
|x| Rule 13d-1(b)
|_| Rule 13d-1(c)
|_| 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
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 ("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).
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CUSIP No. 114340102 13G Page 2 of 4 Pages
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1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
D.F. Dent and Company, Inc.
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2. Check the Appropriate Box If a Member of a Group
(See Instructions)
(a) |_|
(b) |_|
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3. SEC Use Only
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4. Citizenship or Place of Organization
State of Maryland
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5. SOLE VOTING POWER
3,583,433
-------------------------------------------------------------
6. SHARED VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY -------------------------------------------------------------
OWNED BY EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 3,583,433
-------------------------------------------------------------
8. SHARED DISPOSITIVE POWER
0
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9. Aggregate Amount Beneficially Owned by Each Reporting Person
3,583,433
--------------------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) |_|
--------------------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
4.96%
--------------------------------------------------------------------------------
12. Type of Reporting Person (See Instructions)
IA
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
CUSIP No. 114340102 13G Page 3 of 4 Pages
Item 1.
(a) Name of Issuer:
Brooks Automation, Inc.
(b) Address of Issuer's Principal Executive Offices:
15 Elizabeth Drive
Chelmsford, MA 01824
Item 2.
(a) Name of Person Filing:
D.F. Dent and Company, Inc.
(b) Address of the Principal Office or, if none, residence:
400 East Pratt Street
7th Floor
Baltimore, MD 21202
(c) Citizenship:
Maryland
(d) Title of Class of Securities:
Common Stock
(e) CUSIP Number:
114340102
Item 3. If this statement is filed pursuant to SS.240.13d-1(b) or 240.13d-2(b)
or (c), check whether the person filing is a:
(a) |_| Broker or dealer registered under section 15 of the Act
(15 U.S.C. 78o).
(b) |_| Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) |_| Insurance company as defined in section 3(a)(19) of the Act
(15 U.S.C. 78c).
(d) |_| Investment company registered under section 8 of the Investment
Company Act of 1940 (15 U.S.C 80a-8).
(e) |X| An investment adviser in accordance with S.240.13d-1(b)(1)(ii)(E);
(f) |_| An employee benefit plan or endowment fund in accordance with
S.240.13d-1(b)(1)(ii)(F);
(g) |_| A parent holding company or control person in accordance with
S. 240.13d-1(b)(1)(ii)(G);
(h) |_| A savings associations as defined in Section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813);
(i) |_| A church plan that is excluded from the definition of an investment
company under section 3(c)(14) of the Investment Company Act of
1940 (15 U.S.C. 80a-3);
(j) |_| Group, in accordance with S.240.13d-1(b)(1)(ii)(J).
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CUSIP No. 114340102 13G Page 4 of 4 Pages
Item 4. Ownership
Provide the following information regarding the aggregate number and percentage
of the class of securities of the issuer identified in Item 1.
(a) Amount beneficially owned: 3,583,433
(b) Percent of class: 4.96%
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote 3,583,433
(ii) Shared power to vote or to direct the vote None
(iii) Sole power to dispose or to direct the disposition
of 3,583,433
(iiii) Shared power to dispose or to direct the disposition
of None
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of the date hereof
the reporting person has ceased to be the beneficial owner of more than five
percent of the class of securities, check the following |X|.
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Item 7. Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on By the Parent Holding Company or Control Person.
Item 8. Identification and Classification of Members of the Group
Item 9. Notice of Dissolution of Group
Item 10. Certification
(a) The following certification shall be included if the statement is
filed pursuant to S.240.13d-1(b):
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired and are held in
the ordinary course of business and were not acquired and are not held
for the purpose of or with the effect of changing or influencing the
control of the issuer of the securities and were not acquired and are
not held in connection with or as a participant in any transaction
having that purpose or effect, other than activities solely in
connection with a nomination under ss240.14a-11.
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.
November 1, 2019
-------------------------------------------
Date
/s/ CAROLYN GAYNOR
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Signature
Chief Compliance Officer
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Name/Title