-----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, I9CVB5mq9b5pap/jx02I/7oHFPiJ1PHs2DS8KQmCmjJQjvvgqhwoabni5k5pwr98 8mOqMsMWGPCpgQ0PHXOkCQ== 0001047469-98-002729.txt : 19980202 0001047469-98-002729.hdr.sgml : 19980202 ACCESSION NUMBER: 0001047469-98-002729 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980130 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: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-45401 FILM NUMBER: 98517956 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 FORMER COMPANY: FORMER CONFORMED NAME: PLASMA & MATERIALS TECHNOLOGIES INC DATE OF NAME CHANGE: 19950713 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRAVELERS GROUP INC CENTRAL INDEX KEY: 0000831001 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 521568099 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 388 GREENWICH ST STREET 2: LEGAL DEPT 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10013 BUSINESS PHONE: 2128168000 MAIL ADDRESS: STREET 1: 388 GREENWICH ST STREET 2: LEGAL DEPT 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10013 FORMER COMPANY: FORMER CONFORMED NAME: TRAVELERS INC DATE OF NAME CHANGE: 19940103 FORMER COMPANY: FORMER CONFORMED NAME: PRIMERICA CORP /NEW/ DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: COMMERCIAL CREDIT GROUP INC DATE OF NAME CHANGE: 19890102 SC 13D/A 1 SCHEDULE 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ______________________ SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (Amendment No. 1)* Trikon Technologies, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 896187101 (CUSIP Number) Stephanie B. Mudick Deputy General Counsel Travelers Group Inc. 388 Greenwich Street New York, New York 10013 (212) 816-8000 (Name, address and telephone number of person authorized to receive notices and communications) January 20, 1998 (Date of event which requires filing of this statement) ______________________ If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ]. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. (Continued on following pages) ________________________ * 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 purposes of Section 18 of the Securities Exchange Act of 1934 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 6 CUSIP NO. 896187101 13D PAGE 2 OF 6 PAGES 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Travelers Group Inc., 52-1568099 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 SEC USE ONLY 4 SOURCE OF FUNDS OO 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF 7 SOLE VOTING POWER 0 SHARES BENEFICIALLY 8 SHARED VOTING POWER 821,913 OWNED BY EACH 9 SOLE DISPOSITIVE POWER 0 REPORTING PERSON WITH 10 SHARED DISPOSITIVE POWER 821,913 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 821,913 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.2% 14 TYPE OF REPORTING PERSON* HC *SEE INSTRUCTIONS BEFORE FILLING OUT This Amendment No. 1 to the statement on Schedule 13D, dated November 28, 1997 (the "Schedule 13D"), of Travelers Group Inc. is being filed with respect to the Common Stock, no par value (the "Common Stock"), of Trikon Technologies, Inc., a California corporation (the "Issuer"). Item 5. INTEREST IN SECURITIES OF THE ISSUER. (a) and (b) The second and third paragraphs of this item as set forth in the Schedule 13D are deleted and the following is inserted in their place: "As of January 20, 1998, TRV may be deemed to beneficially own 821,913 shares of Common Stock, which includes 13,790 shares of Common Stock and 808,123 shares of Common Stock issuable upon conversion of 12,635,000 7.125% Convertible Notes due 10/15/01 (the "Convertible Notes"). 821,913 shares of Common Stock represents 5.1% of the outstanding shares of Common Stock (based on 15,926,291 shares of Common Stock outstanding, which is the sum of the 15,118,168 shares of Common Stock outstanding as of September 30, 1997, as reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ended September 30, 1997, and the 808,123 shares that would be issued upon conversion of the Convertible Notes). Except as set forth or incorporated by reference herein, none of TRV or, to the best knowledge of TRV, the persons listed in Annex A hereto, beneficially owned any Common Stock or Convertible Notes on January 20, 1998." (c) This item as set forth in the Schedule 13D is deleted and the following is inserted in its place: "The dates, number of shares and prices per share for all purchases and sales of Common Stock and Convertible Notes by subsidiaries of TRV from December 17, 1997, the date the Schedule 13D was filed, through the date hereof are shown on Annex B hereto, which is incorporated herein by reference. All such purchases and sales of Common Stock and Convertible Notes were effected in the over-the-counter market." Page 3 of 6 Pages ANNEXES A. Executive Officers and Directors of Travelers Group Inc. (omitted from this Amendment No. 1). B. Description of Purchases and Sales of shares of Common Stock and Convertible Notes by subsidiaries of TRV from December 17, 1998 through the date hereof. Page 4 of 6 Pages SIGNATURE After reasonable inquiry and to the best of its knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. January 30, 1998 TRAVELERS GROUP INC. By: /s/ Stephanie B. Mudick ---------------------------- Name: Stephanie B. Mudick Title: Assistant Secretary Page 5 of 6 Pages ANNEX B Set forth below are the purchases and sales of shares of Common Stock by subsidiaries of TRV from December 17, 1997 through the date hereof. The following purchases and sales were made in connection with market making activities. Number of Number of Trade Date Shares Purchased Shares Sold Price Per Share 12/19/97 1,000 $1.2187 Set forth below are the purchases and sales of Convertible Notes by subsidiaries of TRV from December 17, 1997 through the date hereof. The following purchases and sales were made in connection with market making activities. Number of Number of Convertible Convertible Price Per Trade Date Notes Purchased Notes Sold Convertible Note 12/29/97 500,000 $39.7500 500,000 $40.0000 500,000 $40.0000 500,000 $39.7500 12/30/97 4,485,000 $40.6250 1/21/98 500,000 $42.5000 500,000 $42.0000 1,000,000 $42.0000 500,000 $42.7500 Page 6 of 6 Pages -----END PRIVACY-ENHANCED MESSAGE-----