-----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, JjI70UTUrbydEUjVlTnd7QcCCr4TFxXoiW940OsvLtTlHkU7Pa7mLNfUeSEPbXvU KRE9h/8BNKZMjFY67zkFcQ== 0000891618-97-001871.txt : 19970425 0000891618-97-001871.hdr.sgml : 19970425 ACCESSION NUMBER: 0000891618-97-001871 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970424 SROS: NASD GROUP MEMBERS: MARLYS A. SCHAUER GROUP MEMBERS: RONALD L. SCHAUER GROUP MEMBERS: SCHAUER LIVING TRUST SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HMT TECHNOLOGY CORP CENTRAL INDEX KEY: 0001005967 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER STORAGE DEVICES [3572] IRS NUMBER: 943084354 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49929 FILM NUMBER: 97586127 BUSINESS ADDRESS: STREET 1: 1055 PAGE AVE CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5104903100 MAIL ADDRESS: STREET 1: 1055 PAGE AVENUE CITY: FREMONT STATE: CA ZIP: 94538 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SCHAUER LIVING TRUST CENTRAL INDEX KEY: 0001038138 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O RONALD SCHAUER HMT TECHNOLOGY CORP STREET 2: 1055 PAGE AVE CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5104803100 MAIL ADDRESS: STREET 2: FIVE PALO ALTO SQ 3000 EL CAMINO REAL CITY: PALO ALTO STATE: CA ZIP: 94306 SC 13G 1 SCHEDULE 13G 1 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0145 WASHINGTON, D.C. 20549 Expires: October 31, 1997 Estimated average burden hours per response ... 14.90 SCHEDULE 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ______)* HMT Technology Corporation ----------------------------------------- (Name of Issuer) Common Stock ----------------------------------------- (Title of Class of Securities) 403917-10-7 ----------------------------------------- (CUSIP Number) *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 the disclosures provided in a prior cover page. The information required in 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). PAGE 1 OF 7 PAGES 2 CUSIP NO. 403917-10-7 SCHEDULE 13G PAGE 2 OF 7 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Ronald L. Schauer --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY EACH 3,146,000 (All of such shares are held in The REPORTING Schauer Living Trust under agreement dated March PERSON WITH 15, 1996 of which the reporting person is a co-trustee with reporting person's wife, Marlys A. Schauer) -------------------------------------------------------- (7) SOLE DISPOSITIVE POWER -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 3,146,000 (All of such shares are held in The Schauer Living Trust under agreement dated March 15, 1996 of which the reporting person is a co-trustee with reporting person's wife, Marlys A. Schauer) -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,146,000. All of such shares are held in The Schauer Living Trust under agreement dated March 15, 1996 of which the reporting person is a co-trustee with reporting person's wife, Marlys A. Schauer (also includes 1,646,269 shares that are subject to a right of repurchase by the Company). --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* [ X ] (See Attachment A) --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.7% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN --------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 2 OF 7 PAGES ----- ----- 3 CUSIP NO. 403917-10-7 SCHEDULE 13G PAGE 3 OF 7 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Marlys A. Schauer --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY EACH 3,146,000 (All of such shares are held in The REPORTING Schauer Living Trust under agreement dated March PERSON WITH 15, 1996 of which the reporting person is a co-trustee with reporting person's husband, Ronald L. Schauer) -------------------------------------------------------- (7) SOLE DISPOSITIVE POWER -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 3,146,000 (All of such shares are held in The Schauer Living Trust under agreement dated March 15, 1996 of which the reporting person is a co-trustee with reporting person's husband, Ronald L. Schauer) -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,146,000. All of such shares are held in The Schauer Living Trust under agreement dated March 15, 1996 of which the reporting person is a co-trustee with reporting person's husband, Ronald L. Schauer (also includes 1,646,269 shares that are subject to a right of repurchase by the Company). --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* [ X ] (See Attachment A) --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.7% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN --------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 3 OF 7 PAGES ----- ----- 4 ITEM 1. (a) Name of Issuer: HMT Technology Corporation (b) Address of Issuer's Principal Executive Offices: 1055 Page Avenue Fremont, CA 94538 ITEM 2. (a) Name of Person's Filing: Ronald L. Schauer and Marlys A. Schauer (b) Address of Principal Business Office or, if None, Residence: 1055 Page Avenue Fremont, CA 94538 (c) Citizenship: Each is a citizen of the United States (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 403917-10-7 ITEM 3. Not applicable. ITEM 4. OWNERSHIP If the percent of the class owned, as of December 31 of the year covered by the statement, or as of the last day of any month described in Rule 13d-1(b)(2), if applicable, exceeds five percent, provide the following information as of that date and identify those shares which there is a right to acquire. (a) Amount Beneficially Owned: 3,146,000 shares of Common Stock as of December 31, 1996. All of such shares are held in The Schauer Living Trust under agreement dated March 15, 1996 of which the reporting persons are co-trustees (includes 1,646,269 shares that are subject to a right of repurchase by the Company). (b) Percent of Class: 7.7% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: -0- (ii) shared power to vote or to direct the vote: 3,146,000 (all of such shares are held in The Schauer Living Trust under agreement dated March 15, 1996 of which the reporting persons are co-trustees) (iii) sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of: 3,146,000 (all of such shares are held in The Schauer Living Trust under agreement dated March 15, 1996 of which the reporting persons are co-trustees) Instruction. For computations regarding securities which represent a right to acquire an underlying security, see Rule 13d-3(d)(1). PAGE 4 OF 7 PAGES 5 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 Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not applicable. ITEM 10. CERTIFICATION Not Applicable. PAGE 5 OF 7 PAGES 6 SIGNATURE After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. April 21, 1997 --------------------------------------- Date /s/ Ronald L. Schauer --------------------------------------- Signature Ronald L. Schauer --------------------------------------- Name/Title /s/ Marlys A. Schauer --------------------------------------- Signature Marlys A. Schauer --------------------------------------- Name/Title PAGE 6 OF 7 PAGES 7 Attachment A SCHEDULE 13G HMT TECHNOLOGY CORPORATION (Name of Issuer) 403917-10-7 (CUSIP Number) 10. Excludes the following shares: The reporting person's have one adult son who directly owns 150,000 shares. The reporting persons' disclaim beneficial ownership of such shares. PAGE 7 OF 7 PAGES -----END PRIVACY-ENHANCED MESSAGE-----