-----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, QeJzLQHdsmBH1l8eZaq6Uc9W1EgJKuK3oeBM4VzOhWg4u4g0GIlwHEUoRmGNNmvW t9IptrUE8IISmPeoyPQ1NA== 0000950123-07-002158.txt : 20070214 0000950123-07-002158.hdr.sgml : 20070214 20070214161227 ACCESSION NUMBER: 0000950123-07-002158 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20070214 DATE AS OF CHANGE: 20070214 GROUP MEMBERS: ALEXANDRA INVESTMENT MANAGEMENT, LLC GROUP MEMBERS: MIKHAIL A. FILIMONOV FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALEXANDRA GLOBAL MASTER FUND LTD CENTRAL INDEX KEY: 0001266087 IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ALEXANDRA INVESTMENT MANAGEMENT LLC STREET 2: 767 THIRD AVE 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2123011800 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASYST TECHNOLOGIES INC CENTRAL INDEX KEY: 0000909326 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 942942251 STATE OF INCORPORATION: CA FISCAL YEAR END: 0327 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42489 FILM NUMBER: 07620507 BUSINESS ADDRESS: STREET 1: 46897 BAYSIDE PARKWAY CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5106615000 MAIL ADDRESS: STREET 1: 46897 BAYSIDE PARKWAY CITY: FREMONT STATE: CA ZIP: 94538 FORMER COMPANY: FORMER CONFORMED NAME: ASYST TECHNOLOGIES INC /CA/ DATE OF NAME CHANGE: 19930719 SC 13G/A 1 y30337dsc13gza.txt AMENDMENT #1 TO SCHEDULE 13G SCHEDULE 13G CUSIP NO. 04648X107 PAGE 1 OF 9 PAGES UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Asyst Technologies, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 04648X107 (CUSIP Number) December 31, 2006 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] 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). SCHEDULE 13G CUSIP NO. 04648X107 PAGE 2 OF 9 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Alexandra Global Master Fund Ltd. 98-0448776 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A)[ ] (B)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION British Virgin Islands - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- NUMBER OF ----------------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 4,808,959 shares of Common Stock (See Item 4) EACH ----------------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: -0- ----------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 4,808,959 shares of Common Stock (See Item 4) - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,808,959 shares of Common Stock (See Item 4) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.9% (See Item 4) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. 04648X107 PAGE 3 OF 9 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Alexandra Investment Management, LLC 13-4092583 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A)[ ] (B)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- NUMBER OF ----------------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 4,808,959 shares of Common Stock (See Item 4) EACH ----------------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: -0- ----------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 4,808,959 shares of Common Stock (See Item 4) - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,808,959 shares of Common Stock (See Item 4) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.9%(See Item 4) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) OO - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. 04648X107 PAGE 4 OF 9 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Mikhail A. Filimonov - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A)[ ] (B)[ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- NUMBER OF ----------------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 4,808,959 shares of Common Stock (See Item 4) EACH ----------------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: -0- ----------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 4,808,959 shares of Common Stock (See Item 4) - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,808,959 shares of Common Stock (See Item 4) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.9% (See Item 4) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. 04648X107 PAGE 5 OF 9 PAGES Item 1(a). Name of Issuer: Asyst Technologies, Inc., a California corporation (the "Issuer") Item 1(b). Address of Issuer's Principal Executive Offices: 46897 Bayside Parkway Fremont, California 94538 Item 2(a). Names of Persons Filing: Alexandra Global Master Fund Ltd. ("Alexandra") Alexandra Investment Management, LLC ("Management") Mikhail A. Filimonov ("Filimonov") Item 2(b). Address of Principal Business Office: Alexandra - Citco Building, Wickams Cay, P.O. Box 662, Road Town, Tortola, British Virgin Islands Management - 767 Third Avenue, 39th Floor, New York, New York 10017 Filimonov - 767 Third Avenue, 39th Floor, New York, New York 10017 Item 2(c). Place of Organization or Citizenship: Alexandra - British Virgin Islands Management - Delaware Filimonov - U.S. Item 2(d). Title of Class of Securities: Common Stock, no par value, of the Issuer (the "Common Stock") Item 2(e). CUSIP Number: 04648X107 Item 3. This Schedule is filed pursuant to Rule 13d-1(c) by Alexandra, Management and Filimonov Item 4. Ownership: (a) Amount Beneficially Owned: Alexandra: 4,808,959 shares* Management: 4,808,959 shares* Filimonov: 4,808,959 shares* (b) Percent of Class: Alexandra: 8.9%* Management: 8.9%* Filimonov: 8.9%* (Based on 49,006,170 shares of Common Stock outstanding, as of November 2, 2006, as reported by the Issuer in the Issuer's Quarterly Report on Form SCHEDULE 13G CUSIP NO. 04648X107 PAGE 6 OF 9 PAGES 10-Q for the quarter ended September 30, 2006) (c) Number of Shares as to which the Person has: (i) sole power to vote or to direct the vote -0- (ii) shared power to vote or to direct the vote: 4,808,959 shares* (iii) sole power to dispose or to direct the disposition of -0- (iv) shared power to dispose or to direct the disposition of 4,808,959 shares* * The shares of Common Stock reported as beneficially owned by Alexandra on this Schedule are 4,808,959 shares of Common Stock that Alexandra has the right to acquire upon conversion of 5.75% Convertible Subordinated Notes Due 2008 of the Issuer. Management serves as investment advisor to Alexandra. By reason of such relationships, Management may be deemed to share voting and dispositive power over the shares of Common Stock owned by Alexandra and the Managed Account. Management disclaims beneficial ownership of such shares of Common Stock. Filimonov serves as the Chairman, the Chief Executive Officer, a Managing Member and the Chief Investment Officer of Management. By reason of such relationships, Filimonov may be deemed to share voting and dispositive power over the shares of Common Stock listed as beneficially owned by Management. Filimonov disclaims beneficial ownership of the shares of Common Stock listed as beneficially owned by Management or any other person reporting on this Schedule. Item 5. Ownership of Five Percent or Less of a Class: Not applicable Item 6. Ownership of More Than Five Percent on Behalf of Another Person: Not applicable Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company: Not applicable Item 8. Identification and Classification of Members of the Group: SCHEDULE 13G CUSIP NO. 04648X107 PAGE 7 OF 9 PAGES Not applicable Item 9. Notice of Dissolution of Group: Not applicable Item 10. Certification: By signing below each signatory certifies that, to the best of its knowledge and belief, the securities referred to above 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. Exhibits: Exhibit I: Joint Filing Agreement, dated as of February 14, 2007, by and among Alexandra, Management and Filimonov. SCHEDULE 13G CUSIP NO. 04648X107 PAGE 8 OF 9 PAGES SIGNATURE By signing below each signatory certifies that, to the best of its knowledge and belief, the securities referred to above 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. Dated as of February 14, 2007 ALEXANDRA GLOBAL MASTER FUND LTD. By: ALEXANDRA INVESTMENT MANAGEMENT, LLC, its Investment Advisor By: /s/ Mikhail A. Filimonov --------------------------------- Mikhail A. Filimonov Title: Managing Member ALEXANDRA INVESTMENT MANAGEMENT, LLC By: /s/ Mikhail A. Filimonov ------------------------------------- Mikhail A. Filimonov Title: Managing Member /s/ Mikhail A. Filimonov ----------------------------------------- Mikhail A. Filimonov EX-99.I 2 y30337dexv99wi.txt EX-99.I: JOINT FILING AGREEMENT SCHEDULE 13G CUSIP NO. 04648X107 PAGE 9 OF 9 PAGES Exhibit I JOINT FILING AGREEMENT This will confirm the agreement by and among the undersigned that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership by the undersigned of the Common Stock, no par value, of Asyst Technologies, Inc., a California corporation, is being filed, and all amendments thereto will be filed, on behalf of each of the persons and entities named below in accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. Dated as of February 14, 2007 ALEXANDRA GLOBAL MASTER FUND LTD. By: ALEXANDRA INVESTMENT MANAGEMENT, LLC, its Investment Advisor By: /s/ Mikhail A. Filimonov --------------------------------- Mikhail A. Filimonov Title: Managing Member ALEXANDRA INVESTMENT MANAGEMENT, LLC By: /s/ Mikhail A. Filimonov ---------------------------- Mikhail A. Filimonov Title: Managing Member /s/ Mikhail A. Filimonov ----------------------------------------- Mikhail A. Filimonov -----END PRIVACY-ENHANCED MESSAGE-----