-----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, LT5HGKAQKC/tsEK2GCfFA+Sb4zWiBEO9zjfZuTORr3ywqBTeKUnt3JzBqUFUotGY FkXI+3RkKHwZ6c6OkJWXeQ== 0000950172-05-002751.txt : 20050819 0000950172-05-002751.hdr.sgml : 20050819 20050819140836 ACCESSION NUMBER: 0000950172-05-002751 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050819 DATE AS OF CHANGE: 20050819 GROUP MEMBERS: RAG AKTIENGESELLSCHAFT 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: 051038145 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SES BETEILINGUNGS-GmbH (as successor to 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: 0049-201-177-4060 MAIL ADDRESS: STREET 1: RELLINGHAUSER STRASSE 1-11 CITY: ESSEN STATE: 2M ZIP: 45128 FORMER COMPANY: FORMER CONFORMED NAME: STEAG ELECTRONIC SYSTEMS AG DATE OF NAME CHANGE: 20040211 FORMER COMPANY: FORMER CONFORMED NAME: STEAG ELECTRONIC SYSTEMS GMBH DATE OF NAME CHANGE: 19990121 SC 13D/A 1 ragses13d.txt AMENDMENT NO. 7 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)(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 Management Board of SES Beteiligungs-GmbH Rellinghauser Strasse 1-11 45128 Essen, Germany Telephone: 011-49-201-177-4060 (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 August 17, 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). 1 SCHEDULE 13D - --------------------------- ------------------------------ CUSIP No. 57723100 Page 2 of 11 Pages - --------------------------- ------------------------------ - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SES Beteiligungs - GmbH - ------------------------------------------------------------------------------- 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 4,461,144 SHARES ----------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY 104,584 OWNED BY ----------------------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 4,461,144 REPORTING ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER PERSON 104,584 WITH ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,565,728 - ------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.82% (see Item 5) - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) CO - ------------------------------------------------------------------------------- SCHEDULE 13D - --------------------------- ------------------------------ CUSIP No. 57723100 Page 3 of 11 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 4,461,144 SHARES ----------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY 104,584 OWNED BY ----------------------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 4,461,144 REPORTING ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER PERSON 104,584 WITH - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,565,728 - ------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.82% (see Item 5) - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) CO - ------------------------------------------------------------------------------- This Amendment No. 7 to Schedule 13D (this "Amendment No. 7") is being filed by SES Beteiligungs-GmbH ("SES BG") 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 STEAG Electronic Systems AG ("SES") and STEAG AG ("STEAG"), as amended and supplemented 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, Amendment No. 5 on June 13, 2005 and Amendment No. 6 on July 25, 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. 7 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. SES, which previously owned directly shares of Mattson Stock, has merged with and into SES BG, which is the surviving corporation and SES's successor pursuant to the merger. Prior to the merger, SES was a wholly owned, direct subsidiary of SES BG. As a result of the merger of SES with SES BG, in accordance with German law, SES BG has succeeded to all of the assets, rights, privileges, liabilities and obligations of SES. Item 2 of the Amended Statement is hereby amended and restated to read in its entirety as follows: (a) This Statement is filed by SES BG and RAG. Each of SES BG and RAG is organized under the laws of the Federal Republic of Germany. SES BG is the direct holder of shares of Mattson Stock and is the successor to SES pursuant to the merger of SES with and into SES BG. RAG owns, indirectly, all of the capital stock of SES BG and, as a result, may be deemed to be the indirect beneficial owner of the shares of Mattson Stock held directly by SES BG. (b) The business address of SES BG and RAG is Rellinghauser Strasse 1-11, 45128 Essen, Germany. (c) The purpose of SES BG is the function of a holding company, i.e. the business is holding and administration of participations. RAG is an international chemical, mining, energy and real estate group. (d) During the last five years, none of SES BG, RAG or, to the best knowledge of each of SES BG and RAG, any of the individuals referred to in Schedule A, has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). (e) During the last five years, none of SES BG, RAG or, to the best knowledge of each of SES BG and RAG, any of the individuals referred to in Schedule A, 4 has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or State securities laws or finding any violation with respect to such laws. (f) The name, citizenship, business address, principal occupation or employment and certain other information relating to the executive officers and directors of each of SES BG and RAG are set forth on Schedule A attached hereto and incorporated by reference herein. 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. 7, SES BG and RAG each beneficially own 4,565,728 shares of Mattson Stock, which represents approximately 8.82% of the outstanding shares of Mattson Stock based on 51,763,692 shares of Mattson Stock outstanding as of August 1, 2005, as reported in Mattson's Quarterly Report on Form 10-Q for its fiscal quarter ended June 26, 2005. As of the date of this Amendment No. 7, except as described herein, none of SES BG, RAG nor, to the best knowledge of each of SES BG 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 BG (directly) and RAG (indirectly) has the sole power to vote and dispose of 4,461,144 shares of Mattson Stock. In addition, each of SES BG (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. 7." Item 5(c) of the Amended Statement is hereby amended and supplemented as follows: "On August 17, 2005, SES BG sold an aggregate of 600,000 shares of Mattson Stock at a price of $8.15 per share. Such shares were sold in a block trade pursuant to an effective resale registration statement under the Securities Act." 5 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: August 18, 2005 SES BETEILIGUNGS-GMBH By: /s/ Werner Beder ------------------------------------ Name: Werner Beder Title: Member of the Management Board By: /s/ Wilhelm Puschel ------------------------------------ Name: Wilhelm Puschel Title: Member of the Management Board RAG AKTIENGESELLSCHAFT By: /s/ Dr. Ignace van Meenen ------------------------------------ Name: Dr. Ignace van Meenen Title: Senior Vice President By: /s/ Christoph Muller ------------------------------------ Name: Christoph Muller Title: Senior Vice President 6 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
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NAME AND BUSINESS OR HOME ADDRESS POSITION WITH RAG AND PRESENT AND CITIZENSHIP PRINCIPAL OCCUPATION OR EMPLOYMENT 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 Board of RAG Industriegewerkschaft Bergbau Chemie, Chief Executive Officer of the IG BCE Energie Konigsworther Platz 6 30167 Hanover Germany PROFESSOR DR. EKKEHARD SCHULZ Deputy Chairman of the Supervisory Board of RAG ThyssenKrupp AG Chairman of the Management Board of ThyssenKrupp AG August-Thyssen-Strasse 1 40211 Duesseldorf Germany MARTIN BECKER Member of the Supervisory Board of RAG Bergwerk Saar Chairman of the Works Council of Mining Saar Willy-Brandt-Stra(beta)e 7 (Bergwerk Saar) 66352 Gro(beta)rosseln Germany BERTHOLD A. BONEKAMP Member of the Supervisory Board of RAG RWE AG Member of the Management Board of RWE AG Opernplatz 1 45128 Essen Germany KLAUS BRANDNER Member of the Supervisory Board of RAG Economic German Parliament and Labor Market- political speaker of the Social Platz der Republik Democratic Party (SPD) of the Lower House of 11011 Berlin German Parliament Germany
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NAME AND BUSINESS OR HOME ADDRESS POSITION WITH RAG AND PRESENT AND CITIZENSHIP PRINCIPAL OCCUPATION OR EMPLOYMENT DR. HANS MICHAEL GAUL Member of the Supervisory Board of RAG E.ON AG Member of the Management Board of E.ON AG E.ON-Platz 1 40479 Duesseldorf Germany RALF GIESEN Member of the Supervisory Board of RAG Industriegewerkschaft Bergbau, Head of Department Chairman/Personnel of IG BCE Chemie, Energie Konigsworther Platz 6 30167 Hannover Germany WOLFGANG JUNGE Member of the Supervisory Board of RAG Alisostra(beta)e 73 Chairman of the Worker's Council of Mining East 59192 Bergkamen (Bergwerk Ost) Germany FRITZ KOLLORZ Member of the Supervisory Board of RAG Nordseestra(beta)e 136 a Former Member of the Management of IG BCE 45665 Recklinghausen (Geschaftsfuhrender Hauptvorstand der IG BCE) Germany DR. MANFRED KRUEPER Member of the Supervisory Board of RAG E.ON AG Member of the Management Board of E.ON AG E.ON-Platz 1 40479 Duesseldorf Germany LUDWIG LADZINSKI Member of the Supervisory Board of RAG Deutsche Steinkohle AG Chairman of the General Works Council of Deutsche Horsthofstrasse 10 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
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NAME AND BUSINESS OR HOME ADDRESS POSITION WITH RAG AND PRESENT AND CITIZENSHIP PRINCIPAL OCCUPATION OR EMPLOYMENT 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 PROF. H.C. DR. ULRICH MIDDELMANN Member of the Supervisory Board of RAG Thyssen Krupp AG Deputy Chairman of the Management Board of August-Thyssen-Strasse 1 ThyssenKrupp AG 40211 Duesseldorf Germany HEINZ PUTZHAMMER Member of the Supervisory Board of RAG Bundesvorstand des Deutschen Member of the Federal Executive Board of the DGB Gewerkschaftsbundes Henriette-Herz-Platz 2 10178 Berlin Germany ELVIRA ROHDE Member of the Supervisory Board of RAG RAG Aktigengesellschaft Chairman of the Works Council of RAG Rellinghauser Str. 1-11 45128 Essen 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 GERALD WIESS Member of the Supervisory Board of RAG CDU-Wahlkreisburo Member of the German Parliament Am Marktplatz 19 64521 Gro(beta) Gerau Germany
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NAME AND BUSINESS OR HOME ADDRESS POSITION WITH RAG AND PRESENT AND CITIZENSHIP PRINCIPAL OCCUPATION OR EMPLOYMENT MICHEL WURTH Member of the Supervisory Board of RAG Arcelor Chief Financial Officer, Senior Executive 19, Avenue de la Liberte 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 BG. 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 BG. Each of these individuals is a citizen of the Federal Republic of Germany.
POSITION WITH SES BG AND PRESENT NAME AND BUSINESS OR HOME ADDRESS PRINCIPAL OCCUPATION OR EMPLOYMENT WERNER BEDER Member of the Mangement Board of SES BG RAG Coal International AG Senior Vice President Finance of Rellinghauser Strasse 1-11 RAG Coal International AG 45128 Essen Germany WILHELM PUESCHEL Member of the Management Board of SES BG RAG Coal International AG Senior Vice President Accounting of Rellinghauser Strasse 1-11 RAG Coal International AG 45128 Essen Germany
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