-----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, ANb3ih4/5RLVdsaYVuf5C4XMnP4iCWcZ+KHvZMeE5QWEABK99sjwmBSYcte2/UVJ ROAu5o8oBdlYDAJ4gMwveQ== 0001013594-98-000063.txt : 19980925 0001013594-98-000063.hdr.sgml : 19980925 ACCESSION NUMBER: 0001013594-98-000063 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980924 SROS: NASD SUBJECT COMPANY: 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: 144 SEC ACT: SEC FILE NUMBER: 000-26482 FILM NUMBER: 98714074 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 COMPANY DATA: COMPANY CONFORMED NAME: PALOMA PARTNERS L L C CENTRAL INDEX KEY: 0001044744 STANDARD INDUSTRIAL CLASSIFICATION: [] OTHER STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 144 BUSINESS ADDRESS: STREET 1: 2 AMERICAN LN CITY: GREENWICH STATE: CT ZIP: 06836 BUSINESS PHONE: 2038628000 MAIL ADDRESS: STREET 1: 2 AMERICAN LN CITY: GREENWICH STATE: CT ZIP: 06836 144 1 OMB APPROVAL: 3235-0101 OMB Number: September 30, 1998 Expires: Estimated average burden hours per response2.0 SEC USE ONLY DOCUMENT SEQUENCE NO. CUSIP NUMBER WORK LOCATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 ATTENTION:Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker. 1.(a) NAME OF ISSUER (Please type or print) Trikon Technologies, Inc. (b) IRS IDENT. NO. 95-0454321 (c) S.E.C. FILE NO. 0-26484 (d) ADDRESS OF ISSUER Newport, Gwent NP62TA United Kingdom (e) TELEPHONE NO. 441 633 414 000 2.(a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD Paloma Strategic Securities Limited (b) SOCIAL SECURITY NUMBER OR IRS IDENT. NO. None (c) RELATIONSHIP TO ISSUER None (d) ADDRESS 129 Front Street, Hamilton HM12, Bermuda INSTRUCTION: The person filing this notice should contact the issuer to obtain the IRS Identification and the S.E.C. File Number 3.(a) TITLE OF THE CLASS OF SECURITIES TO BE SOLD Common Stock, no par value (b) NAME AND ADDRESS OF EACH BROKER THROUGH WHOM THE SECURITIES ARE TO BE OFFERED OR EACH MARKET MAKER WHO IS ACQUIRING THE SECURITIES Access Securities 30 Buxton Farm Road Stamford, Connecticut 06905 SEC USE ONLY Broker-Dealer File Number (c) NUMBER OF SHARES OR OTHER UNITS TO BE SOLD (See Instr. 3(c)) 124,966 (d) AGGREGATE MARKET VALUE (See Instr. 3(d)) $15,509.75 (e) NUMBER OF SHARES OR OTHER UNITS OUTSTANDING (See Instr. 3(e)) 93,723,829 (f) APPROXIMATE DATE OF SALE (Month/Day/Year) (See Instr. 3(f)) September 24, 1998 (g) NAME OF EACH SECURITIES EXCHANGE (See Instr. 3(g)) Nasdaq INSTRUCTIONS: 1.(a) Name of issuer (b) Issuer's I.R.S. identification number (c) Issuer's S.E.C. file number, if any (d) Issuer's address, including zip code (e) Issuer's telephone number, including area code 2.(a) Name of person for whose account the securities are to be sold (b) Such person's Social Security or I.R.S. identification number (c) Such person's relationship to the issuer (i.e., officer, director, 10% stockholder, or member of immediate family of any of the foregoing) (d) Such person's address, including zip code 3.(a) Title of the class of securities to be sold (b) Name and address of each broker through whom the securities are intended to be sold (c) Number of share or other units to be sold (if debt securities, give aggregate face amount) (d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice (e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer (f) Approximate date on which the securities are to be sold (g) Name of each securities exchange, if any, on which the securities are intended to be sold Table I - SECURITIES TO BE SOLD Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor. 1. Title of Class Common Stock, no par value 2. Date You Acquired October 9, 1996 3. Nature of Acquisition Transaction Exchange of Issuer's 7 1/8% Convertible Subordinated Notes 4. Name of Person from Whom Acquired (If gift, give date donor acquired) Issuer 5. Amount of Securities Acquired 276,005 6. Date of Payment (Month/Day/Year) October 9, 1996 7. Nature of Payment Exchange of Issuer's Notes INSTRUCTIONS:If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. * Seller acquired the Notes for cash on April 7, 1998 from a third party who acquired the Notes on October 9, 1996. Seller exchanged the Notes for shares of common stock and shares of two classes of preferred stock on June 1, 1998. Table II - SECURITIES SOLD DURING THE PAST 3 MONTHS Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold 1. Name and Address of Seller (a) and (b) Paloma Strategic Securities Limited 129 Front Street, Hamilton HM12 Bermuda (c)-(g) Paloma Securities L.L.C. 2 American Lane Greenwich, Connecticut 06836 2. Title of Securities Sold Common Stock, no par value 3. Date of Sale (a) 9/17/98 (b) 9/18/98 (c) 9/16/98 (d) 9/18/98 (e) 9/21/98 (f) 8/11/98 (g) 8/13/98 4. Amount of Securities Sold (a) 120,000 (b) 14,959 (c) 207,800 (d) 58,041 (e) 30,000 (f) 5,800 (g) 20,000 5. Gross Proceeds (a) $15,000.00 (b) $ 1,929.71 (c) $26,390.60 (d) $ 7,487.29 (e) $ 3,750.00 (f) $ 2,540.40 (g) $ 6,880.00 REMARKS: INSTRUCTIONS: See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. ATTENTION: The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. September 24, 1998 Date of Notice PALOMA STRATEGIC SECURITIES LIMITED By: Paloma Strategic Advisors L.L.C., as Attorney-in-fact By: /s/ Michael J. Berner Michael J. Berner, Vice President This notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) -----END PRIVACY-ENHANCED MESSAGE-----