-----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, Noa3ESOh7nAVHDhWf5LmMOj8WjpmJTfygs6Lv5B8gD8EOiEDq+Wtsu1e6FMFQw1f zTlOQ3pRoXGAL/Rn6jgzQA== 0000929624-99-000890.txt : 19990517 0000929624-99-000890.hdr.sgml : 19990517 ACCESSION NUMBER: 0000929624-99-000890 CONFORMED SUBMISSION TYPE: 10-Q/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980930 FILED AS OF DATE: 19990514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TRIKON TECHNOLOGIES INC CENTRAL INDEX KEY: 0000868326 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 954054321 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-Q/A SEC ACT: SEC FILE NUMBER: 000-26482 FILM NUMBER: 99621032 BUSINESS ADDRESS: STREET 1: RINGLAND WAY STREET 2: 222 W. ORANGE GROVE AVE CITY: NEWPORT, GWENT STATE: X0 ZIP: NP6 2TA BUSINESS PHONE: 011-44-1-633-414-000 MAIL ADDRESS: STREET 1: 9255 DEERING AVENUE STREET 2: 9255 DEERING AVENUE CITY: SACHATSWORTH STATE: CA ZIP: 91311 FORMER COMPANY: FORMER CONFORMED NAME: PLASMA & MATERIALS TECHNOLOGIES INC DATE OF NAME CHANGE: 19950713 10-Q/A 1 AMENDMENT #1 TO FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q/A (AMENDMENT NO. 1) (MARK ONE) [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 1998 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from_______________________ to ______________________ Commission file number 0-26482 TRIKON TECHNOLOGIES, INC. - ------------------------------------------------------------------------------- (Exact name of registrant as specified in its charter) California 95-4054321 - ------------------------------------------------- -------------------------- (State or other jurisdiction of incorporation or (I.R.S. Employer organization) Identification No.) Ringland Way, Newport, South Wales NP62TA, United Kingdom - -------------------------------------------------------------- ------------- (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code 441-633-414-000 --------------------------- Not Applicable - ------------------------------------------------------------------------------ Former name, former address and former fiscal year, if changed since last report Indicate by check whether the registrant (1) has filed all reports required to be filed by Sections 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes X No _____ --- As of November 9, 1998, the total number of outstanding shares of the Registrant's common stock was 94,023,835. 1 TRIKON TECHNOLOGIES, INC. INDEX PAGE NUMBER ------ PART II. OTHER INFORMATION Item 4. Submission of Matters to a Vote of Security Holders........... 3 SIGNATURE PAGE.......................................................... 4 2 TRIKON TECHNOLOGIES, INC. The Registrant hereby amends Part II of its Quarterly Report on Form 10-Q for the quarter ended September 30, 1998, to provide the information required by Item 4, thereto. PART II OTHER INFORMATION ITEM 4. SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS On July 28, 1998, the Company held its 1998 Annual Meeting of Shareholders (the "Annual Meeting"). The following proposals were submitted to the holders of common stock at the Annual Meeting for them to: 1. Elect each of Richard M. Conn, Christopher D. Dobson, Thomas C. McKee and Nigel Wheeler as a director of the Company to serve from such time through the following year until their respective successor is duly elected and qualified. All the above were elected with 37,680,699 shares voted in favour and 333,054 shares voted against. 2. To approve an amendment to the Company's Seventh Restated Articles of Incorporation to effectuate a two-for-three reverse stock split of all outstanding shares of Common Stock of the Company. This proposal was passed with 37,349,409 shares voted in favour, 620,188 shares voted against and 44,156 abstained. 3. To approve an amendment to the Company's Seventh Restated Articles of Incorporation to provide for an increase in the number of authorized shares of Common Stock from 50,000,000 to either 73,333,333 shares if the proposed reverse stock split in Proposal 2 above is approved by the shareholders and effected by the Company or 110,000,000 shares if the proposed reverse stock split is not approved by the shareholders and a decrease in the number of authorized shares of Preferred Stock from 20,000,000 to 5,000,000 shares. This proposal received 26,323,530 shares voted in favour, 460,497 shares voted against, 43,571 shares abstained and 11,186,155 shares were broker nonvotes. 4. To approve a series of amendments to the Company's 1991 Stock Option Plan, including (i) an increase in the number of shares of Common Stock that may be issued under such plan from 2,400,000 to 8,870,000 shares (without giving effect to the proposed reverse stock split in Proposal 3 and (ii) the extension of the term of such plan to December 31, 2003. This proposal passed with 25,461,974 shares voted in favour, 1,313,153 shares voted against, 52,471 shares abstained and 11,186,155 shares were broker nonvotes. 5. To approve the implementation of the Company's 1998 Directors Stock Option Plan. This proposal passed with 25,497,161 shares voted in favour, 1,272,166 shares voted against, 58,471 shares abstained and 11,185,955 shares were broker nonvotes. 6. The ratification of Ernst & Young LLP as Independent Public Accountants for the fiscal year ended December 31, 1998. This proposal passed with 37,839,458 shares voted in favour, 138,514 shares voted against, 35,581 shares abstained and 200 shares were broker nonvotes. A proposal was submitted to the holders of Series H Preferred Stock for them to elect Lawrence D. Lenihan, Jr. and Stephen N. Wertheimer as directors to serve until the next annual meeting of shareholders and until their successors have been elected and qualified. The proposal was passed with 1,686,538 votes in favour. 3 TRIKON TECHNOLOGIES, INC. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. TRIKON TECHNOLOGIES, INC. Date: May 12, 1999 /s/ NIGEL WHEELER --------------------------- Nigel Wheeler President and Director 4 -----END PRIVACY-ENHANCED MESSAGE-----