-----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, N4VDm2t3qlM6aelEPsvQZAIHEo0O4SPS1n3zScsjTWaT+Jg4DkJh/WBoOFZlMMu5 2ypkumas6XvIq8HhmWtLEw== 0001071955-99-000021.txt : 19990211 0001071955-99-000021.hdr.sgml : 19990211 ACCESSION NUMBER: 0001071955-99-000021 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980610 FILED AS OF DATE: 19990210 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: 3 SEC ACT: SEC FILE NUMBER: 000-26482 FILM NUMBER: 99528991 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: PEQUOT CAPITAL MANAGEMENT INC/CT/ CENTRAL INDEX KEY: 0001071955 STANDARD INDUSTRIAL CLASSIFICATION: [] OTHER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 500 NYALA FARMS ROAD CITY: WESTPORT STATE: CT ZIP: 06880 BUSINESS PHONE: 2033192246 3 1 TRIKON TECHNOLOGIES INC FORM 3 FORM 3 U.S. SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL WASHINGTON, D.C. 20549 OMB NUMBER 3235-0104 EXPIRES: SEPTEMBER 30, 1998 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES ESTIMATED AVERAGE BURDEN (Print or Type Responses) HOURS PER RESPONSE 0.5 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person* 2. Date of Event Re-quiring Statement (Month/Day/Year) 4. Issuer Name AND Ticker or Trading Symbol TRIKON TECHNOLOGIES, INC. PEQUOT CAPITAL MANAGEMENT, INC.5 TRKN (Last) (First) (Middle) 1/1/99 5. Relationship of Reporting Person(s) to Issuer 6. If Amendment, Date of Original (Month/Day/Year) (Check all applicable) 3. IRS or Social Se-curity Number of Director 10% Owner 500 NYALA FARM ROAD Officer (give X Other (specify 6/10/98 (Street) Reporting Person (Voluntary) title below) below)1 7. Individual or Joint/Group Filing (Check Applicable Lines) X_ Form Filed by One Reporting Person WESTPORT, CT 06880 ___ Form Filed by More than One Reporting Person (City) (State) (Zip) TABLE I - NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED 1. Title of Security 2. Amount of Securities Beneficially Owned 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5) (Instr. 4) (Instr. 4) COMMON STOCK - NO PAR VALUE 4,696,758 (1) I INVESTMENT ADVISER FORM 3 (CONTINUED) TABLE II - DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not Page 2 required to respond unless the form displays a currently valid OMB Number. SEC 1473 (7-96) 1. Title of Derivative Security 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security 4. Conver-sion or Exercise Price of Deri-vative 5. Owner-ship Form of Deri-vative Security: 6. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) Date Exer-cisable Expiration Date Title Amount or Number of Security Direct (D) or Indirect (I) (Instr. 5) Shares SERIES "I" CONVERTIBLE PREFERRED STOCK (3) 5,425,751 N/A (I) 1 COMMON STOCK (2) SERIES "H" CONVERTIBLE PREFERRED STOCK (4) COMMON STOCK 198,747.2 N/A (I) 1 (2) Explanation of Responses: (1) THE REPORTING PERSON IS AN INVESTMENT ADVISER REGISTERED UNDER SECTION 203 OF THE INVESTMENT ADVISERS ACT OF 1940 AND HAS VOTING POWER AND INVESTMENT POWER WITH RESPECT TO SECURITIES IN CLIENTS' ACCOUNTS. AN EMPLOYEE OF THE REPORTING PERSON IS A MEMBER OF THE BOARD OF DIRECTORS OF THE ISSUER. THE REPORTING PERSON DISCLAIMS ANY OBLIGATION TO FILE THIS REPORT, AND THIS REPORT SHALL NOT BE DEEMED AN ADMISSION THAT THE REPORTING PERSON IS SUBJECT TO SECTION 16 WITH RESPECT EITHER TO THE ISSUER OR SUCH SECURITIES. (2) THE REPORTING PERSON DISCLAIMS BENEFICIAL OWNERSHIP OF THESE SECURITIES, AND THIS REPORT SHALL NOT BE DEEMED AN ADMISSION THAT THE REPORTING PERSON IS THE BENEFICIAL OWNER OF SUCH SECURITIES FOR THE PURPOSES OF RULE 16A-1(A)(1) OR (A)(2) OR FOR ANY OTHER PURPOSES. (3) THE COMPANY INTENDS TO CALL A SPECIAL MEETING OF ITS SHAREHOLDERS SHORTLY FOR THE PURPOSE OF APPROVING AN AMENDMENT TO THE RESTATED ARTICLES OF THE COMPANY TO PROVIDE FOR AN INCREASE IN THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK OF THE COMPANY. ONCE SUCH AMENDMENT IS APPROVED, THE SERIES "I" CONVERTIBLE PREFERRED STOCK WILL AUTOMATICALLY CONVERT. (4) EACH SHARE OF SERIES H PREFERRED STOCK SHALL AUTOMATICALLY CONVERT INTO SHARES OF COMMON STOCK IF AND WHEN THE CLOSING PRICE OF THE COMMON STOCK ON A UNITED STATES NATIONAL SECURITIES EXCHANGE OR ON AN ESTABLISHED AUTOMATED OVER-THE-COUNTER TRADING MARKET IN THE UNITED STATES IS AT A PRICE IN EXCESS OF $7.00 FOR A PERIOD OF 30 CONSECUTIVE TRADING DAYS. (5) THIS FILING IS BEING MADE TO REFLECT THE CHANGE IN THE NAME AND ADDRESS OF THE REPORTING PERSON. THE PREVIOUS REPORTING PERSON WAS DAWSON-SAMBERG CAPITAL MANAGEMENT, INC. ("DSCM"). AS OF JANUARY 1, 1999, DSCM RESTRUCTURED AND PEQUOT CAPITAL MANAGEMENT, INC., THE REPORTING PERSON IDENTIFIED ABOVE, WAS SPUN OFF. THE SECURITIES REPORTED HEREON ARE HELD BY INVESTMENT ADVISORY CLIENTS OF PEQUOT CAPITAL. By: /s/ David J. Malat 2/9/99 **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15. U.S.C. 78ff(a). -----END PRIVACY-ENHANCED MESSAGE-----