-----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, Sy+Lp4QcXlKSp7Ga/1+Yh1QUG0DpxP5AKsKIlwVFYrGBm2aJJSgo10y/0SGfino7 1MGtG8RXF4/qeGTc+NLxHg== 0000950172-05-002378.txt : 20050728 0000950172-05-002378.hdr.sgml : 20050728 20050728164705 ACCESSION NUMBER: 0000950172-05-002378 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050728 DATE AS OF CHANGE: 20050728 GROUP MEMBERS: RAG AKTIENGESELLSCHAFT FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STEAG ELECTRONIC SYSTEMS AG CENTRAL INDEX KEY: 0001077320 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: RUTTENSCHEIDER STRASSE 1-3 CITY: ESSEN STATE: 2M ZIP: 45128 BUSINESS PHONE: 4152686203 FORMER COMPANY: FORMER CONFORMED NAME: STEAG ELECTRONIC SYSTEMS GMBH DATE OF NAME CHANGE: 19990121 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MATTSON TECHNOLOGY INC CENTRAL INDEX KEY: 0000928421 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 770208119 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-46189 FILM NUMBER: 05981711 BUSINESS ADDRESS: STREET 1: 47131 BAYSIDE PARKWAY CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 510 657 5900 MAIL ADDRESS: STREET 1: 47131 BAYSIDE PARKWAY CITY: FREMONT STATE: CA ZIP: 94538 SC 13D/A 1 pal180173.txt SC 13D - AMENDMENT NO. 6 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)(1) Mattson Technology, Inc. (Name of Issuer) Common Stock, Par Value $0.001 Per Share (Title of Class of Securities) 57723100 (CUSIP Number) Wilhelm Puschel Member of the Board STEAG Electronic Systems AG Ruettenscheider Strasse 1-3 45128 Essen, Germany Telephone: 011-49-201-801-2215 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Copy to: Marc R. Packer, Esq. Skadden, Arps, Slate, Meagher & Flom LLP 525 University Avenue Palo Alto, CA 94301 Telephone: 650-470-4500 July 25, 2005 (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 Rule 13d-1(e), 13d-1(f) or 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 Rule 13d-7 for other parties to whom copies are to be sent. (1) 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 (the "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 13D - ------------------------------ --------------------------------- CUSIP No. 57723100 Page 2 of 14 Pages - ------------------------------ --------------------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON STEAG Electronic Systems AG - ------------------------------------------------------------------------------- 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) OO - ------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Germany - ------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 5,061,144 SHARES --------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY 104,584 OWNED BY --------------------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 5,061,144 REPORTING ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER PERSON 104,584 WITH - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,165,728 - ------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) |_| - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.99% (see Item 5) - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) CO - ------------------------------------------------------------------------------- SCHEDULE 13D - ------------------------------ --------------------------------- CUSIP No. 57723100 Page 3 of 14 Pages - ------------------------------ --------------------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON RAG Aktiengesellschaft - ------------------------------------------------------------------------------- 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) OO - ------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Germany - ------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 5,061,144 SHARES --------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY 104,584 OWNED BY --------------------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 5,061,144 REPORTING --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER PERSON 104,584 WITH - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,165,728 - ------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) |_| - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.99% (see Item 5) - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) CO - ------------------------------------------------------------------------------- This Amendment No. 6 to Schedule 13D (this "Amendment No. 6") is being filed by STEAG Electronic Systems AG ("SES") and RAG Aktiengesellschaft ("RAG") pursuant to Rule 13d-2(a) of the Rules and Regulations promulgated under the Securities and Exchange Act of 1934, as amended, to amend and supplement the statement on Schedule 13D filed on January 11, 2001 by SES and STEAG AG ("STEAG"), as amended and supplemented by SES, STEAG and RAG by Amendment No. 1 on May 8, 2002, Amendment No. 2 on February 11, 2004, Amendment No. 3 on February 13, 2004, Amendment No. 4 on October 29, 2004 and Amendment No. 5 on June 13, 2005 (the "Amended Statement"), with respect to the common stock, par value $0.001 per share ("Mattson Stock"), of Mattson Technology, Inc., a Delaware corporation ("Mattson"). Capitalized terms used in this Amendment No. 6 and not otherwise defined herein have the meanings set forth in the Amended Statement. The information set forth in response to each separate Item shall be deemed to be a response to all Items where such information is relevant. Item 2. Identity and Background. (f) Schedule A is amended and restated in its entirety as set forth in this Amendment No. 6. Item 5. Interest in Securities of the Issuer. Item 5(a) of the Amended Statement is hereby amended and restated in its entirety as follows: "As of the date of this Amendment No. 6, SES and RAG each beneficially own 5,165,728 shares of Mattson Stock, which represents approximately 9.99% of the outstanding shares of Mattson Stock based on 51,732,214 shares of Mattson Stock outstanding as of May 2, 2005, as reported in Mattson's Quarterly Report on Form 10-Q for its fiscal quarter ended March 27, 2005. As of the date of this Amendment No. 6, except as described herein, none of SES, RAG nor, to the best knowledge of each of SES and RAG, any of the individuals referred to in Schedule A, beneficially owns any Mattson Stock or securities convertible into Mattson Stock." Item 5(b) of the Amended Statement is hereby amended as follows: (1) The first two sentences of the first paragraph of Item 5(b) of the Amended Statement are hereby amended and restated in their entirety as follows: "Each of SES (directly) and RAG (indirectly) has the sole power to vote and dispose of 5,061,144 shares of Mattson Stock. In addition, each of SES (directly) and RAG (indirectly) may be deemed to share with WSP the power to direct the vote and disposition of the 104,584 shares of Mattson Stock owned by WSP as of the date of this Amendment No. 6." (2) Schedule B is amended and restated in its entirety as set forth in this Amendment No. 6. Item 5(c) of the Amended Statement is hereby amended and supplemented as follows: "On July 25, 2005, WSP sold an aggregate of 91,563 shares of Mattson Stock at the prices per share set forth in Schedule C to this Amendment No. 6. Such shares were sold on the Nasdaq Stock Market in ordinary brokerage transactions pursuant to an effective resale registration statement under the Securities Act of 1933, as amended (the "Securities Act"). On July 26, 2005, WSP sold an aggregate of 15,076 shares of Mattson Stock at the prices per share set forth in Schedule D to this Amendment No. 6. Such shares were sold on the Nasdaq Stock Market in ordinary brokerage transactions pursuant to an effective resale registration statement under the Securities Act. On July 26, 2005, SES sold an aggregate of 2,000,000 shares of Mattson Stock at a price of $8.25 per share. Such shares were sold in a block trade pursuant to an effective resale registration statement under the Securities Act. On July 27, 2005, WSP sold an aggregate of 59,924 shares of Mattson Stock at the prices per share set forth in Schedule E to this Amendment No. 6. Such shares were sold on the Nasdaq Stock Market in ordinary brokerage transactions pursuant to an effective resale registration statement under the Securities Act." 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. Dated: July 28, 2005 STEAG ELECTRONIC SYSTEMS AG By: /s/ Werner Berder -------------------------------- Name: Werner Beder Title: Member of the Board of Directors By: /s/ Wilhelm Pueschel --------------------------------- Name: Wilhelm Pueschel Title: Member of the Board of Directors RAG AKTIENGESELLSCHAFT By: /s/ Dr. Norbert Schellen --------------------------------- Name: Dr. Norbert Schellen Title: Legal Counsel By: /s/ Rolf Schneider --------------------------------- Name: Rolf Schneider Title: Vice President Accounting SCHEDULE A A. Directors and Executive Officers of RAG. The following table sets forth the name, current business or home address and present principal occupation of each of the executive officers and directors of RAG. Unless otherwise indicated, each of these individuals is a citizen of the Federal Republic of Germany. Name and Business or Home Address Position with RAG and Present and Citizenship Principal Occupation or Employment Dr. Werner Mueller Chairman of the Management Board of RAG RAG AG Rellinghauser Strasse 1-11 45128 Essen Germany Prof. Dr. Dr. Utz-Hellmuth Felcht Member of the Management Board of RAG RAG AG Rellinghauser Strasse 1-11 45128 Essen Germany Bernd Toenjes Member of the Management Board of RAG RAG AG Rellinghauser Strasse 1-11 45128 Essen Germany Dr. Peter Schoerner Member of the Management Board of RAG RAG AG Rellinghauser Strasse 1-11 45128 Essen Germany Ulrich Weber Member of the Management Board of RAG RAG AG Rellinghauser Strasse 1-11 45128 Essen Germany Dr. Wulf H. Bernotat Chairman of the Supervisory Board of RAG E. ON AG Chairman of the Board of Management and E. ON-Platz Chief Executive Officer of E. ON AG 40479 Duesseldorf Germany Hubertus Schmoldt First Deputy Chairman of the Supervisory Konigsworther Platz 6 Board of RAG 30167 Hanover Chief Executive Officer of the IG BCE Germany Professor Dr. Ekkehard Schulz Deputy Chairman of the Supervisory Board ThyssenKrupp AG of RAG August-Thyssen-Strasse 1 Chairman of the Management Board of 40211 Duesseldorf ThyssenKrupp AG Germany Klaus Brandner Member of the Supervisory Board of RAG German Parliament Economic and Labor Market- political Platz der Republik speaker of the Social Democratic Party 11011 Berlin (SPD) of the Lower House of German Germany Parliament Dr. Hans Michael Gaul Member of the Supervisory Board of RAG E.ON AG Member of the Management Board of E.ON E.ON-Platz 1 AG 40479 Duesseldorf Germany Wolfgang Junge Member of the Supervisory Board of RAG Schulstrasse 94 Chairman of the Worker's Council of 59192 Bergkamen Mining East (Bergwerk Ost) Germany Dr. Manfred Krueper Member of the Supervisory Board of RAG E.ON AG Member of the Management Board of E.ON E.ON-Platz 1 AG 40479 Duesseldorf Germany Ludwig Ladzinski Member of the Supervisory Board of RAG Deutsche Steinkohle AG Chairman of the General Works Council Horsthofstrasse 10 of Deutsche Steinkohle AG 46244 Bottrop Germany Dr. Norbert Lammert Member of the Supervisory Board of RAG German Parliament Vice President of German Parliament Platz der Republik 11011 Berlin Germany Prof. h.c. Dr. Ulrich Middelmann Member of the Supervisory Board of RAG Thyssen Krupp AG Deputy Chairman of the Management Board August-Thyssen-Strasse1 of ThyssenKrupp AG 40211 Duesseldorf Germany Heinz Putzhammer Member of the Supervisory Board of RAG Bundesvorstand des Deutschen Member of the Federal Executive Board Gewerkschaftsbundes of the DGB Henriette-Herz-Platz 2 10178 Berlin Germany Ingrid Matthaeus-Maier Member of the Supervisory Board of RAG Kreditanstalt fur Wiederaufbau Member of the Management Board of the Palmengartenstrasse 5-9 Kreditanstalt fur Wiederaufbau 60325 Frankfurt Germany Dr. Klaus Sturany Member of the Supervisory Board of RAG RWE AG Member of Management Board of RWE AG Opernplatz 1 45128 Essen Germany Citizen of Austria Michel Wurth Member of the Supervisory Board of RAG Arcelor Chief Financial Officer, Senior 19, Avenue de la Liberte Executive Vice President of Arcelor L-2930 Luxembourg Citizen of Luxembourg Jan Zilius Member of the Supervisory Board of RAG RWE AG Member of the Management Board of RWE AG Opernplatz 1 45128 Essen Germany B. Directors and Executive Officers of SES The following table sets forth the name, current business or home address and present principal occupation of each of the executive officers and directors of SES. Each of these individuals is a citizen of the Federal Republic of Germany. Position with SES and Present Name and Business or Home Address Principal Occupation or Employment Werner Beder Vice President, Treasury of RAG Coal RAG Coal International AG International AG Rellinghauser Strasse 1-11 Member of the Management Board of SES 45128 Essen Germany Wilhelm Pueschel Vice President, Accounting of RAG Coal RAG Coal International AG International AG Rellinghauser Strasse 1-11 Member of the Management Board of SES 45128 Essen Germany Dr. Juergen Stadelhofer Chairman of the Management Board of RAG Coal International AG RAG Coal International AG Rellinghauser Strasse 1-11 Chairman of the Supervisory Board of 45128 Essen SES Germany Heribert Protzek Member of the Management Board of RAG RAG Coal International AG Coal International AG Rellinghauser Strasse 1-11 Vice Chairman of the Supervisory 45128 Essen Board of SES Germany Christoph Daenzer-Vanotti Member of the Management Board of E.ON Ruhrgas AG E.ON Ruhrgas AG Huttropstr. 60 Member of the Supervisory Board of SES 45138 Essen Germany SCHEDULE B Directors and Executive Officers of West STEAG Partners. The following table sets forth the name, current business or home address and present principal occupation of each of the executive officers and directors of West STEAG Partners. Each of these individuals is a citizen of the Federal Republic of Germany. Name and Business or Home Address Position with West STEAG Partners and and Citizenship Present Principal Occupation or Employment Dr. Hans-Georg Betz Chief Executive Officer of West STEAG West STEAG Partners GmbH Partners Mission College Blvd., Suite 1170 Santa Clara, CA 95054 USA Dr. Berthold Luetke-Daldrup Managing Director of West STEAG Partners West STEAG Partners GmbH Ruettenscheider Strasse 1-3 45128 Essen Germany Dr. Rolf Thaler Managing Director of West STEAG Partners West STEAG Partners GmbH Ruettenscheider Strasse 1-3 45128 Essen Germany Heribert Protzek Chairman of the Supervisory Board of RAG Coal International AG West STEAG Partners Member of the Rellinghauser Strasse 1-11 Management Board of RAG Coal International 45128 Essen AG Germany Vice Chairman of the Supervisory Board of SES Prof. Dr. Karl Friedrich Jacob Member of the Supervisory Board of West RAG Coal International AG STEAG Partners Rellinghauser Strasse 1-11 Vice Chairman of the Management Board of 45128 Essen RAG Coal International AG Germany Joachim Voss Vice Chairman of the Supervisory Board West LB AG of West STEAG Partners Herzogstrasse 15 Head of Equity Investments, West LB AG 40217 Dusseldorf Germany Prof. Dr. Michael Schefczyk Member of the Supervisory Board of West Technical University of Dresden STEAG Partners Selliner Strasse 10 Professor, Technical University of Dresden 01109 Dresden Germany SCHEDULE C - ------------------------------------------------------------------------------ Trade Date Number of Shares Price Per Share - ------------------------------------------------------------------------------ 7/25/2005 25,000 $8.87 - ------------------------------------------------------------------------------ 7/25/2005 15,000 8.89 - ------------------------------------------------------------------------------ 7/25/2005 18,152 8.90 - ------------------------------------------------------------------------------ 7/25/2005 400 8.91 - ------------------------------------------------------------------------------ 7/25/2005 2010 8.92 - ------------------------------------------------------------------------------ 7/25/2005 12,161 8.93 - ------------------------------------------------------------------------------ 7/25/2005 2,000 8.94 - ------------------------------------------------------------------------------ 7/25/2005 1,840 8.95 - ------------------------------------------------------------------------------ 7/25/2005 400 8.96 - ------------------------------------------------------------------------------ 7/25/2005 6,800 9.00 - ------------------------------------------------------------------------------ 7/25/2005 5,200 9.10 - ------------------------------------------------------------------------------ 7/25/2005 2,600 9.12 - ------------------------------------------------------------------------------ SCHEDULE D - ------------------------------------------------------------------------------ Trade Date Number of Shares Price Per Share - ------------------------------------------------------------------------------ 7/26/2005 240 $8.60 - ------------------------------------------------------------------------------ 7/26/2005 200 8.61 - ------------------------------------------------------------------------------ 7/26/2005 2,900 8.72 - ------------------------------------------------------------------------------ 7/26/2005 800 8.90 - ------------------------------------------------------------------------------ 7/26/2005 100 8.91 - ------------------------------------------------------------------------------ 7/26/2005 1,420 8.92 - ------------------------------------------------------------------------------ 7/26/2005 4,580 8.95 - ------------------------------------------------------------------------------ 7/26/2005 4,836 9.00 - ------------------------------------------------------------------------------ SCHEDULE E - ------------------------------------------------------------------------------- Trade Date Number of Shares Price Per Share - ------------------------------------------------------------------------------- 7/27/2005 18,715 $8.50 - ------------------------------------------------------------------------------- 7/27/2005 2,385 8.51 - ------------------------------------------------------------------------------- 7/27/2005 24,824 8.52 - ------------------------------------------------------------------------------- 7/27/2005 11,300 8.55 - ------------------------------------------------------------------------------- 7/27/2005 1,500 8.56 - ------------------------------------------------------------------------------- 7/27/2005 1,200 8.57 - ------------------------------------------------------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----