0001104659-23-127725.txt : 20231220
0001104659-23-127725.hdr.sgml : 20231220
20231220160124
ACCESSION NUMBER: 0001104659-23-127725
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231218
FILED AS OF DATE: 20231220
DATE AS OF CHANGE: 20231220
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Averick Robert M
CENTRAL INDEX KEY: 0001343599
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-11412
FILM NUMBER: 231501331
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]
ORGANIZATION NAME: 06 Technology
IRS NUMBER: 860411215
STATE OF INCORPORATION: AZ
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 131 SOUTH CLARK DRIVE
CITY: TEMPE
STATE: AZ
ZIP: 85288
BUSINESS PHONE: 4809675146
MAIL ADDRESS:
STREET 1: 131 SOUTH CLARK DRIVE
CITY: TEMPE
STATE: AZ
ZIP: 85288
FORMER COMPANY:
FORMER CONFORMED NAME: QUARTZ ENGINEERING & MATERIALS INC
DATE OF NAME CHANGE: 19870715
4
1
tm2333289d1_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2023-12-18
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
0
Common Stock
2250000
I
See footnote 2 below
Common Stock
500
I
See footnote 3 below
Common Stock
11000
I
See footnote 4 below
Common Stock
2023-12-18
4
P
0
14000
3.90
A
393500
D
Restricted Stock Units
Common Stock
4189
4189
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 Common Shares held in a custodial account for the benefit of an immediate family member of Mr. Averick.
Indicates Common Shares held by Mr. Averick's spouse.
The reported price in Column 4 is a weighted average price rounded to the nearest hundredth. The prices of shares purchased on December 18, 2023 ranged from $3.90 to $3.91 per share. Mr. Averick undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased within the price range described in this footnote.
This is the total of all restricted stock units held by Mr. Averick as of the filing date of this Form 4.
This is the total of all director stock options (right to buy), including those with different terms and conditions, held by Mr. Averick as of the filing date of this Form 4.
/s/ Robert Averick
2023-12-20