0001104659-20-029704.txt : 20200305 0001104659-20-029704.hdr.sgml : 20200305 20200305160644 ACCESSION NUMBER: 0001104659-20-029704 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200304 FILED AS OF DATE: 20200305 DATE AS OF CHANGE: 20200305 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: 20690866 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 tv538815_form4.xml FORM 4 X0306 4 2020-03-04 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 Director Stock Option (Right to Buy) 4.90 2020-03-04 4 A 0 6000 A 2030-03-04 Common Stock 6000 6000 D Mr. Averick is a Portfolio Manager at Kokino LLC ("Kokino"), which is a single-family office. Mr. Averick holds an indirect minority interest in shares of the issuer's Common Stock ("Common Stock") through his minority ownership of one of Kokino's clients, Piton Capital Partners LLC ("Piton") (which ownership may be held directly and indirectly through Piton's managing member, Piton Capital Management LLC ("PCM")). Also, Mr. Averick's incentive compensation as an employee of Kokino, which is generally calculated in Kokino's discretion, may be based on the performance of Common Stock held by Kokino's clients. In addition, the performance of Common Stock may result in an allocation that increases Mr. Averick's ownership interest in Piton pursuant to Piton's operating agreement. Kokino is the managing member of PCM, and Mr. Averick's and Piton's beneficial ownership of Common Stock is reported in a Schedule 13D filed on Jan. 25, 2016 (as amended most recently on Nov. 27, 2018). The option vests on September 4, 2020. Price omitted because the transaction is a grant of a stock option. This is the number of derivative securities, with the same terms and conditions, following the reported transaction. Total of all derivative securities, including those with different terms and conditions, held following the reported transaction is 30,000. /s/ Robert M. Averick 2020-03-05