FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Aviza Technology, Inc. [ AVZA ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/01/2005 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 12/01/2005 | 12/01/2005 | A | 5,800 | A | (1) | 5,800 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
common stock option | $3.588 | 12/01/2005 | 12/01/2005 | A | 2,610 | (2) | 04/12/2010 | Common Stock | 2,610 | (1) | 2,610 | D | |||
common stock option | $3.509 | 12/01/2005 | 12/01/2005 | A | 1,160 | (3) | 05/15/2011 | Common Stock | 1,160 | (1) | 1,160 | D | |||
common stock option | $4.158 | 12/01/2005 | 12/01/2005 | A | 1,160 | (4) | 05/16/2012 | Common Stock | 1,160 | (1) | 1,160 | D | |||
common stock option | $0.878 | 12/01/2005 | 12/01/2005 | A | 2,320 | (5) | 05/22/2013 | Common Stock | 2,320 | (1) | 2,320 | D | |||
common stock option | $0.611 | 12/01/2005 | 12/01/2005 | A | 2,320 | (6) | 09/07/2014 | Common Stock | 2,320 | (1) | 2,320 | D |
Explanation of Responses: |
1. In connection with Aviza, Inc.'s (formerly, Aviza Technology, Inc.) merger transaction with Trikon Technologies, Inc., each share of common stock of Trikon Technologies, Inc. converted into the right to receive 0.29 of a share of Aviza Technology, Inc. (formerly, New Athletics, Inc.), and each option to purchase a share of Trikon Technologies, Inc. common stock converted into the right to purchase 0.29 of a share of Aviza Technology, Inc. common stock. |
2. This option provides for vesting in full, one year from the date of grant beginning April 12, 2000. |
3. This option provides for vesting in full, one year from the date of grant beginning May 15, 2001. |
4. This option provides for vesting in full, one year from the date of grant beginning May 16, 2002. |
5. This option provides for vesting in full, one year from the date of grant beginning May 22, 2003. |
6. This option provides for vesting in full, one year from the date of grant beginning September 7, 2004. |
/s/ Errol H. Hunter (Attorney-in-Fact) | 12/05/2005 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |