-----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, N5AFZJG+riktqTNTrsIIQCttOrXD3c+51zX7t0wrc/ChaV5mXbulgFbEnMxwDDvv XLs1qPGnnkN1PEjPn9jQjw== 0000898430-97-000558.txt : 19970222 0000898430-97-000558.hdr.sgml : 19970222 ACCESSION NUMBER: 0000898430-97-000558 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 SROS: NASD GROUP MEMBERS: FORREST BINKLEY & BROWN L.P. GROUP MEMBERS: FORREST BINKLEY & BROWN VENTURE CO GROUP MEMBERS: GREGORY J. FORREST GROUP MEMBERS: JEFFREY J. BROWN GROUP MEMBERS: NICHOLAS B. BINKLEY GROUP MEMBERS: SBIC PARTNERS, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PLASMA & MATERIALS TECHNOLOGIES INC CENTRAL INDEX KEY: 0000868326 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 954054321 STATE OF INCORPORATION: CA FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-45401 FILM NUMBER: 97530978 BUSINESS ADDRESS: STREET 1: 9255 DEERING AVE STREET 2: 222 W. ORANGE GROVE AVE CITY: CHATSWORTH STATE: CA ZIP: 91311 MAIL ADDRESS: STREET 1: 9255 DEERING AVENUE STREET 2: 9255 DEERING AVENUE CITY: SACHATSWORTH STATE: CA ZIP: 91311 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FORREST BINKLEY & BROWN VENTURE CO CENTRAL INDEX KEY: 0001033481 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O FORREST BINKLEY & BROWN STREET 2: 800 NEWPORT CENTER DRIVE SUITE 725 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 7147293222 SC 13G/A 1 SCHEDULE 13G/A ----------------------------- OMB APPROVAL ----------------------------- OMB NUMBER 3235-0145 EXPIRES: DECEMBER 31, 1997 ESTIMATED AVERAGE BURDEN HOURS PER FORM.....14.90 ----------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Plasma & Materials Technologies, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock; No Par Value - -------------------------------------------------------------------------------- (Title of Class of Securities) 72753M109 -------------------------------- (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 disclosures provided in a prior cover page. The information required on 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 13 pages SCHEDULE 13G - ----------------------- --------------------- CUSIP NO. 72753M109 PAGE 2 OF 13 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SBIC Partners, L.P. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Texas - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF Not applicable - see Item 4(a) SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 Not applicable - see Item 4(a) OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING Not applicable - see Item 4(a) PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 13 pages SCHEDULE 13G - ----------------------- --------------------- CUSIP NO. 72753M109 PAGE 3 OF 13 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Forrest Binkley & Brown L.P. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Texas - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF Not applicable - see Item 4(a) SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 Not applicable - see Item 4(a) OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING Not applicable - see Item 4(a) PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 3 of 13 pages SCHEDULE 13G - ----------------------- --------------------- CUSIP NO. 72753M109 PAGE 4 OF 13 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Forrest Binkley & Brown Venture Co. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Texas - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF Not applicable - see Item 4(a) SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 Not applicable - see Item 4(a) OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING Not applicable - see Item 4(a) PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 CO - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 4 of 13 pages SCHEDULE 13G - ----------------------- --------------------- CUSIP NO. 72753M109 PAGE 5 OF 13 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Gregory J. Forrest - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF Not applicable - see Item 4(a) SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 Not applicable - see Item 4(a) OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING Not applicable - see Item 4(a) PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 5 of 13 pages SCHEDULE 13G - ----------------------- --------------------- CUSIP NO. 72753M109 PAGE 6 OF 13 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Nicholas B. Binkley - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF Not applicable - see Item 4(a) SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 Not applicable - see Item 4(a) OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING Not applicable - see Item 4(a) PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 6 of 13 pages SCHEDULE 13G - ----------------------- --------------------- CUSIP NO. 72753M109 PAGE 7 OF 13 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Jeffrey J. Brown - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF Not applicable - see Item 4(a) SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 Not applicable - see Item 4(a) OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING Not applicable - see Item 4(a) PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Not applicable - see Item 4(a) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 7 of 13 pages ITEM 1. (a) NAME OF ISSUER Plasma & Materials Technologies, Inc. (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 9255 Deering Avenue Chatsworth, California 91311 ITEM 2. (a) NAME OF PERSON FILING The persons filing this Schedule 13G/A are SBIC Partners, L.P., a Texas limited partnership ("SBIC"), Forrest Binkley & Brown L.P., a Texas limited partnership ("FB&B"), Forrest Binkley & Brown Venture Co., a Texas corporation ("FB&B Venture"), Gregory J. Forrest, Nicholas B. Binkley, and Jeffrey J. Brown (collectively the "Filing Persons"). Gregory J. Forrest, Nicholas B. Binkley, and Jeffrey J. Brown are each executive officers, directors and shareholders of FB&B Venture, which is the sole general partner of FB&B, the managing general partner of SBIC. (b) ADDRESS OF PRINCIPAL OFFICE 800 Newport Center Drive, Suite 725 Newport Beach, California 92660 (c) CITIZENSHIP The responses of the Filing Persons to Item 4 of the cover pages to this Schedule 13G/A that relate to the citizenships of such Filing Persons are herein incorporated by reference. (d) TITLE OF CLASS OF SECURITIES This filing is made in regard to the Common Stock, no par value per share, of Plasma & Materials Technologies, Inc. (the "Common Stock"). (e) CUSIP NUMBER 72753M109 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A: (a) [_] Broker or Dealer registered under Section 15 of the Act (b) [_] Bank as defined in section 3(a)(6) of the Act (c) [_] Insurance Company as defined in section 3(a)(19) of the act (d) [_] Investment Company registered under section 8 of the Investment Company Act Page 8 of 13 pages (e) [_] Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) [_] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see (S)240.13d-1(b)(1)(ii)(F) (g) [_] Parent Holding Company, in accordance with (S)240.13d- 1(b)(ii)(G) (Note: See Item 7) (h) [_] Group, in accordance with (S)240.13d-1(b)(1)(ii)(H) ITEM 4. OWNERSHIP (a) AMOUNT BENEFICIALLY OWNED Not applicable. The percent of the class owned, as of December 31, 1996, does not exceed five percent. (b) PERCENT OF CLASS Not applicable. (c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS (i) SOLE POWER TO VOTE OR TO DIRECT THE VOTE: Not applicable. (ii) SHARED POWER TO VOTE OR TO DIRECT THE VOTE: Not applicable. (iii) SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF: Not applicable. (iv) SHARED POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF: Not applicable. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS IF THIS STATEMENT IS BEING FILED TO REPORT THE FACT THAT AS OF THE DATE HEREOF THE REPORTING PERSON HAS CEASED TO BE THE BENEFICIAL OWNER OF MORE THAN FIVE PERCENT OF THE CLASS OF SECURITIES, CHECK THE FOLLOWING [X] 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 The Filing Persons have filed this Schedule 13G/A as a group pursuant to Rule 13d-1(f). The identity of each member of the group is stated in an exhibit to the Schedule 13G amended hereby, filed with the Securities and Exchange Commission on February 14, 1996, which exhibit is incorporated herein by reference. Page 9 of 13 pages The Filing Persons entered into a Joint Reporting Agreement dated February 12, 1996 (the "Joint Reporting Agreement"), pursuant to which they agreed to file one joint statement on behalf of all of them with respect to the subject matter of this Schedule 13G/A. The Joint Reporting Agreement was filed with the Securities and Exchange Commission on February 14, 1996 as an exhibit to the Schedule 13G amended hereby, which exhibit is incorporated herein by reference. ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not applicable. ITEM 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. Page 10 of 13 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 12, 1997 SBIC PARTNERS, L.P., a Texas limited partnership By: Forrest Binkley & Brown L.P., a Texas limited partnership Its: General Partner By: Forrest Binkley & Brown Venture Co., a Texas corporation Its: General Partner By: /s/ Gregory J. Forrest ------------------------------ Gregory J. Forrest, President By: /s/ Nicholas B. Binkley ------------------------------ Nicholas B. Binkley, President By: /s/ Jeffrey J. Brown ------------------------------ Jeffrey J. Brown, President FORREST BINKLEY & BROWN L.P., a Texas limited partnership By: Forrest Binkley & Brown Venture Co., a Texas corporation Its: General Partner By: /s/ Gregory J. Forrest ----------------------------------- Gregory J. Forrest, President By: /s/ Nicholas B. Binkley ----------------------------------- Nicholas B. Binkley, President By: /s/ Jeffrey J. Brown ----------------------------------- Jeffrey J. Brown, President Page 11 of 13 pages FORREST BINKLEY & BROWN VENTURE CO., a Texas corporation By: /s/ Gregory J. Forrest ---------------------------------------- Gregory J. Forrest, President By: /s/ Nicholas B. Binkley ---------------------------------------- Nicholas B. Binkley, President By: /s/ Jeffrey J. Brown ---------------------------------------- Jeffrey J. Brown, President /s/ Gregory J. Forrest --------------------------------------------- Gregory J. Forrest /s/ Nicholas B. Binkley --------------------------------------------- Nicholas B. Binkley /s/ Jeffrey J. Brown --------------------------------------------- Jeffrey J. Brown Page 12 of 13 EXHIBIT INDEX -------------
Sequentially Exhibit Numbered Number Description Page ------- ----------- ------------ 1 Identification of Members of the Group............. * 2 Joint Reporting Agreement dated February 12, 1996.. * * Filed with the Securities and Exchange Commission on February 14, 1996 as an exhibit to the Schedule 13G amended hereby.
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