0001104659-22-061940.txt : 20220517 0001104659-22-061940.hdr.sgml : 20220517 20220517160840 ACCESSION NUMBER: 0001104659-22-061940 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220513 FILED AS OF DATE: 20220517 DATE AS OF CHANGE: 20220517 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: 22934516 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 tm2215835-1_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2022-05-13 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 500 I See footnote 4 below Common Stock 2022-05-13 4 P 0 15000 7.71 A 315000 D Common Stock 2022-05-16 4 P 0 25000 8.02 A 340000 D Director Stock Option (Right to Buy) Common Stock 42000 42000 D Pursuant to a Schedule 13D filed on January 25, 2016, as amended (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 Shares"). Indicates 2,250,000 Common Shares 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 a Portfolio Manager of Kokino. Mr. Averick holds an indirect interest in certain Common Shares through his minority ownership of Piton, which is a Kokino Family Client (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 subject to Piton's and PCM's governing documents, may be based on the performance of Common Shares held by 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 PCM's managing member. Indicates 500 Common Shares held in a custodial account for the benefit of an immediate family member of Mr. Averick. The reported prices in Column 4 are weighted average prices rounded to the nearest hundredth. The prices of shares purchased on May 13, 2022 ranged from $7.57 to $7.98 per share. The prices of shares purchased on May 16, 2022 ranged from $7.94 to $8.05 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 2022-05-17