0001104659-20-019289.txt : 20200212
0001104659-20-019289.hdr.sgml : 20200212
20200212163022
ACCESSION NUMBER: 0001104659-20-019289
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200210
FILED AS OF DATE: 20200212
DATE AS OF CHANGE: 20200212
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Averick Robert M
CENTRAL INDEX KEY: 0001343599
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-11412
FILM NUMBER: 20604590
MAIL ADDRESS:
STREET 1: KOKINO LLC
STREET 2: 201 TRESSER BOULEVARD, 3RD FLOOR
CITY: STAMFORD
STATE: CT
ZIP: 06901
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AMTECH SYSTEMS INC
CENTRAL INDEX KEY: 0000720500
STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559]
IRS NUMBER: 860411215
STATE OF INCORPORATION: AZ
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 131 SOUTH CLARK DRIVE
CITY: TEMPE
STATE: AZ
ZIP: 85281
BUSINESS PHONE: 4809675146
MAIL ADDRESS:
STREET 1: 131 SOUTH CLARK DRIVE
CITY: TEMPE
STATE: AZ
ZIP: 85281
FORMER COMPANY:
FORMER CONFORMED NAME: QUARTZ ENGINEERING & MATERIALS INC
DATE OF NAME CHANGE: 19870715
4
1
tv537943_form4.xml
FORM 4
X0306
4
2020-02-10
0
0000720500
AMTECH SYSTEMS INC
ASYS
0001343599
Averick Robert M
C/O KOKINO LLC
201 TRESSER BOULEVARD, 3RD FLOOR
STAMFORD
CT
06901
1
0
1
0
Common Stock
2250000
I
See footnote 2 below
Common Stock
2020-02-10
4
P
0
19935
5.56
A
189935
D
Common Stock
2020-02-11
4
P
0
1565
5.29
A
191500
D
Director Stock Option (Right to Buy)
Common Stock
24000
24000
D
Pursuant to a Schedule 13D filed on January 25, 2016 (as amended on August 24, 2017, December 18, 2017, July 17, 2018 and November 27, 2018) (as further amended from time to time, the "Schedule 13D"), (i) Piton Capital Partners LLC ("Piton"), Cornice Fiduciary Management LLC (as trustee of the Trust (as defined in the Schedule 13D)) and M3C Holdings LLC (collectively, the "Kokino Family Clients"), (ii) Mr. Averick, and (iii) OIH LLC also report beneficial ownership of shares of the Issuer's $.01 par value common stock ("Common Stock").
Indicates 2,250,000 shares of Common Stock beneficially owned by the Kokino Family Clients. Mr. Averick is a Portfolio Manager at Kokino LLC ("Kokino"). Mr. Averick manages the Kokino Family Clients' investment in the Issuer as Kokino's Portfolio Manager. Mr. Averick holds an indirect interest in certain shares of Common Stock through his minority ownership of Piton, which is one of the Kokino Family Clients (which ownership may be held through Piton's managing member, Piton Capital Management LLC ("PCM")). Also, Mr. Averick's incentive compensation/allocation as an employee of Kokino and member of Piton, which are generally calculated in Kokino's discretion, may be based on the performance of the shares of Common Stock held by the Kokino Family Clients. Such compensation/allocation may be paid or made in cash and/or by way of increasing Mr. Averick's interest in Piton (either directly or indirectly through PCM). Kokino is the managing member of PCM.
The reported price in Column 4 is a weighted average price rounded to the nearest hundredth. The shares purchased on February 10, 2020 were purchased in multiple transactions at prices ranging from $5.19 to $5.61 per share. The shares purchased on February 11, 2020 were purchased in multiple transactions at prices ranging from $5.27 to $5.316 per share. Mr. Averick undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
This is the total of all derivative securities, including those with different terms and conditions, held by Mr. Averick as of the filing date of this Form 4.
/s/ Robert M. Averick
2020-02-12