-----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, N6PGpDG217i7v7zwaXW4MVMcqsdOoUhvPASEPvWsU2i2OZw8fOYyq9gugz6j24k6 KfN6WR9Gzq9SZse+QJ+hVA== 0000947871-02-000018.txt : 20020413 0000947871-02-000018.hdr.sgml : 20020413 ACCESSION NUMBER: 0000947871-02-000018 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020108 GROUP MEMBERS: UNAXIS DEUTSCHLAND HOLDING GMBH GROUP MEMBERS: UNAXIS HOLDING AG FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: UNAXIS DEUTSCHLAND GMBH CENTRAL INDEX KEY: 0001132064 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: WILHELM ROHN STRASSE 25 STREET 2: HANAU CITY: GERMANY ZIP: 63450 MAIL ADDRESS: STREET 1: WILHELM ROHN STRASSE 25 STREET 2: HANAU CITY: GERMANY ZIP: 63450 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED FILMS CORP CENTRAL INDEX KEY: 0001040660 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 841311581 STATE OF INCORPORATION: CO FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-52215 FILM NUMBER: 2504142 BUSINESS ADDRESS: STREET 1: 9586 I-25 FRONTAGE ROAD CITY: LONGMONT STATE: CO ZIP: 80504 BUSINESS PHONE: 3035301411 MAIL ADDRESS: STREET 1: 9586 I-25 FRONTAGE ROAD CITY: LONGMONT STATE: CO ZIP: 80504 SC 13D/A 1 sc13da_010802-applied.txt AMENDMENT NO. 1 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) APPLIED FILMS CORPORATION (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 038197109 (CUSIP Number) Thomas Emch General Counsel Unaxis Management Ltd. Hofwiesenstrasse 135 P.O.Box 2409 CH-8021 Zurich Switzerland 011-41-1-360-9644 --------------------------------------------------------- (Name, Address and Telephone Number of Persons Authorized to Receive Notices and Communications) Copy to: W. Jeffrey Lawrence Shearman & Sterling 599 Lexington Avenue New York, New York 10022 Telephone: (212) 848-4000 November 15, 2001 --------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box |_|. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See ss. 240.13d-7(b) for other parties to whom copies are to be sent. *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). CUSIP No. 038197109 (1) Name of Reporting Person(s) UNAXIS DEUTSCHLAND GMBH ----------------------------------------------------------------------- S.S. or I.R.S. Identification No. of Above Person ---------------------- (2) Check the Appropriate Box if a Member of a Group (See Instructions) |_| (a) |_| (b) (3) SEC Use Only ----------------------------------------------------------- (4) Source of Funds (See Instructions) Not applicable (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). |_| (6) Citizenship or Place of Organization Germany ---------------------------------- - ------------------- Number of (7) Sole Voting Power 0 Shares ------------------- Beneficially (8) Shared Voting Power 0 Owned by ------------------- Each (9) Sole Dispositive Power 0 Reporting ------------------- Person With (10) Shared Dispositive Power 0 - ------------------- ------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person 0 ----------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) |_| (13) Percent of Class Represented by Amount in Row (11) 0.0% -------------------- (14) Type of Reporting Person (See Instructions) OO --------------------------- CUSIP No. 038197109 (1) Name of Reporting Person(s) UNAXIS DEUTSCHLAND HOLDING GMBH ----------------------------------------------------------------------- S.S. or I.R.S. Identification No. of Above Person ---------------------- (2) Check the Appropriate Box if a Member of a Group (See Instructions) |_| (a) |_| (b) (3) SEC Use Only ----------------------------------------------------------- (4) Source of Funds (See Instructions) Not applicable (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). |_| (6) Citizenship or Place of Organization Germany ---------------------------------- - ------------------- Number of (7) Sole Voting Power 0 Shares ------------------- Beneficially (8) Shared Voting Power 0 Owned by ------------------- Each (9) Sole Dispositive Power 0 Reporting ------------------- Person With (10) Shared Dispositive Power 0 - ------------------- ------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person 0 ----------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) |_| (13) Percent of Class Represented by Amount in Row (11) 0.0% -------------------- (14) Type of Reporting Person (See Instructions) OO --------------------------- CUSIP No. 038197109 (1) Name of Reporting Person(s) UNAXIS HOLDING AG ----------------------------------------------------------------------- S.S. or I.R.S. Identification No. of Above Person ---------------------- (2) Check the Appropriate Box if a Member of a Group (See Instructions) |_| (a) |_| (b) (3) SEC Use Only ----------------------------------------------------------- (4) Source of Funds (See Instructions) Not applicable (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). |_| (6) Citizenship or Place of Organization Switzerland ---------------------------------- - ------------------- Number of (7) Sole Voting Power 0 Shares ------------------- Beneficially (8) Shared Voting Power 0 Owned by ------------------- Each (9) Sole Dispositive Power 0 Reporting ------------------- Person With (10) Shared Dispositive Power 0 - ------------------- ------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person 0 ----------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) |_| (13) Percent of Class Represented by Amount in Row (11) 0.0% -------------------- (14) Type of Reporting Person (See Instructions) CO --------------------------- This Amendment No. 1 amends the Statement on Schedule 13D (the "Schedule 13D") filed with the Securities and Exchange Commission on January 10, 2001 by Unaxis Holding AG, Unaxis Deutschland GmbH and Unaxis Deutschland Holding GmbH. The class of equity securities to which this Statement on Schedule 13D relates is the Common Stock, no par value (the "Issuer Common Stock"), of Applied Films Corporation, a Colorado corporation (the "Issuer"), with its principal executive offices located at 9586 I-25 Frontage Road, Longmont, CO 80504, U.S.A. The following amendment to Item 5 of the Schedule 13D is hereby made. Unless otherwise defined herein, all capitalized terms shall have the meanings ascribed to them in the Schedule 13D. Item 5. Interest in Securities of the Issuer. ------------------------------------ Item 5 of the Schedule 13D is hereby amended in its entirety to read as follows: Unaxis GmbH acquired the Shares on December 31, 2000 as partial consideration for the sale of a business to the Issuer by Unaxis GmbH. Prior to November 15, 2001, the Shares were transferred from Unaxis GmbH to UXHDE and from UXHDE to Parent. Effective November 15, 2001, Parent then disposed of its interest in the Shares in an underwritten public offering and ceased to be beneficial owner of five percent or more of the Shares. The Reporting Persons no longer have beneficial ownership of any Shares, and have no power to vote or to direct the vote or to dispose or to direct the disposition of any Shares. 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. January 8, 2002 UNAXIS DEUTSCHLAND GMBH By: /s/ Volker Grafe ---------------------------------------- Name: Volker Grafe Title: Managing Director UNAXIS DEUTSCHLAND HOLDING GMBH By: /s/ Volker Grafe ---------------------------------------- Name: Volker Grafe Title: Managing Director UNAXIS HOLDING AG By: /s/ Dr. Beat Baumgartner --------------------------------------- Name: Dr. Beat Baumgartner Title: Company Secretary By: /s/ Dr. Thomas Emch --------------------------------------- Name: Dr. Thomas Emch Title: General Counsel -----END PRIVACY-ENHANCED MESSAGE-----