-----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, JSbymcaej6RG64xJ2DSjVaY7cPrx7sHqtfRrCJHMlE+mXSqnEPybj6aEqSRXCYAj 4rlbl6HqwA/PzIa3OGFZQQ== 0001047469-98-003953.txt : 19980209 0001047469-98-003953.hdr.sgml : 19980209 ACCESSION NUMBER: 0001047469-98-003953 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980206 SROS: NONE 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 13G/A SEC ACT: SEC FILE NUMBER: 005-45401 FILM NUMBER: 98523393 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: ST PAUL COMPANIES INC /MN/ CENTRAL INDEX KEY: 0000086312 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 410518860 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 385 WASHINGTON ST CITY: SAINT PAUL STATE: MN ZIP: 55102 BUSINESS PHONE: 6122217911 FORMER COMPANY: FORMER CONFORMED NAME: SAINT PAUL COMPANIES INC DATE OF NAME CHANGE: 19900730 SC 13G/A 1 SCHEDULE 13 G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2)* Trikon Technologies, Inc (f.k.a. Plasma & Materials Technologies, Inc.) - -------------------------------------------------------------------------------- (Name of Issuer) Common - -------------------------------------------------------------------------------- (Title of Class of Securities) 896187101 ---------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement ( ). (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). * 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 the disclosures provided in a prior cover page. The information required in 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). CUSIP No. 896187101 13G Page 2 of 5 Pages --------- --- --- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The St. Paul Companies, Inc. 385 Washington Street St. Paul, Minnesota 55102 IRS# 41-0518860 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ( ) (b) ( ) - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Minnesota Corporation - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES None ------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER The St. Paul Companies, Inc., through its wholly-owned subsidiary, St. Paul Fire and Marine Insurance Company (F&M), and through OWNED BY F&M's 99% ownership of St. Paul Venture Capital IV, LLC (SPVC IV), beneficially owns EACH 1,095,791 shares of common stock by virtue of F&M's ownership of 782,138 shares of common stock, a warrant to purchase 44,444 shares of common stock, a warrant to purchase 24,510 shares of REPORTING common stock, an option to purchase 3,333 shares of common stock, and an option to purchase 625 shares of common stock all of which are exercisable within 60 days, and by virtue of SPVC PERSON IV's ownership of 185,185 shares of Series G Convertible Preferred Stock (which is convertible into 185,185 shares of common stock) and a warrant to purchase 55,556 shares of common stock, both of WITH which are convertible within 60 days. ------------------------------------------------------- 7 SOLE DISPOSITIVE POWER None ------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,095,791 shares (see remark in Item 6) - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,095,791 SHARES (SEE REMARK IN ITEM 6) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.6% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* HC - -------------------------------------------------------------------------------- Fee enclosed / / or Amendment No. 2 ITEM 1. (a) NAME OF ISSUER: Trikon Technologies, Inc. (f.k.a. Plasma & Materials Technologies, Inc.) (b) Address of Issuer's Principal Offices: 9255 Deering Avenue Chatsworth, CA 91311 ITEM 2. (a) NAME OF PERSON FILING: The St. Paul Companies, Inc. (see Schedule A) (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: 385 Washington Street St. Paul, MN 55102 (c) CITIZENSHIP: Minnesota corporation (d) TITLE OF CLASS OF SECURITIES: Common (e) CUSIP NUMBER: 896187101 ITEM 3. This statement is filed pursuant to Rule 13d-1(b). (g) X Parent Holding Company ITEM 4. OWNERSHIP. (a) Amount beneficially owned: The St. Paul Companies, Inc., through its wholly-owned subsidiary, St. Paul Fire and Marine Insurance Company (F&M), and through F&M's 99% ownership of St. Paul Venture Capital IV, LLC (SPVC IV), beneficially owns 1,095,791 shares of common stock by virtue of F&M's ownership of 782,138 shares of common stock, a warrant to purchase 44,444 shares of common stock, a warrant to purchase 24,510 shares of common stock, an option to purchase 3,333 shares of common stock, and an option to purchase 625 shares of common stock all of which are exercisable within 60 days, and by virtue of SPVC IV's ownership of 185,185 shares of Series G Convertible Preferred Stock (which is convertible into 185,185 shares of common stock) and a warrant to purchase 55,556 shares of common stock, both of which are convertible within 60 days. (b) Percent of Class: The shares reported in Item 4(a), above, constitute 6.6% of the outstanding common shares of the Issuer. (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: none (ii) Shared power to vote or direct the vote: 1,095,791 (see remark in Item 4(a) above) (iii) Sole power to dispose or direct the disposition: none (iv) Shared power to dispose or direct the disposition: 1,095,791 (see remark in Item 4(a) above) ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not Applicable 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 PARENT HOLDING COMPANY: St. Paul Fire and Marine Insurance Company is an Insurance Company under Reg. 240.13d-1(b)(1)(ii)(C) ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not Applicable 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. 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. Date: February 12, 1998 /s/ Bruce A. Backberg -------------------------------------------- Bruce A. Backberg Title: Senior Vice President, Chief Legal Counsel and Corporate Secretary SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G EXHIBIT A - DISCLAIMER Information on the attached Schedule 13G is provided solely for the purpose of complying with Section 13(d) and 13(g) of the Securities Exchange Act of 1934 and Regulation promulgated under authority thereof and is not intended as an admission that The St. Paul Companies, Inc. or any of its subsidiaries, is a beneficial owner of the securities described herein for any other purpose. -----END PRIVACY-ENHANCED MESSAGE-----