-----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, Gd7KEkKjqUY4bMPFQJ0QiTwSmgy3lwnbpOGEczcmifgQJVfYIMf0G4XPhlRo3TP+ 596OfGmOp/+p3fZeeZ3IaQ== 0000909012-08-000960.txt : 20080911 0000909012-08-000960.hdr.sgml : 20080911 20080911170419 ACCESSION NUMBER: 0000909012-08-000960 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080911 DATE AS OF CHANGE: 20080911 GROUP MEMBERS: MARCO BATTAGLIA SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ULTRATECH INC CENTRAL INDEX KEY: 0000909791 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 943169580 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44773 FILM NUMBER: 081067745 BUSINESS ADDRESS: STREET 1: 3050 ZANKER RD CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 4083218835 MAIL ADDRESS: STREET 1: 3050 ZANKER RD CITY: SAN JOSE STATE: CA ZIP: 95134 FORMER COMPANY: FORMER CONFORMED NAME: ULTRATECH STEPPER INC DATE OF NAME CHANGE: 19930727 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Temujin Fund Management LLC CENTRAL INDEX KEY: 0001408675 IRS NUMBER: 760765915 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 140 BROADWAY STREET 2: 38TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 212-509-3111 MAIL ADDRESS: STREET 1: 140 BROADWAY STREET 2: 38TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 SC 13D/A 1 t304558.txt ULTRATECH SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D/A (AMENDMENT NO. 9) (RULE 13D-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a)(1) ULTRATECH, INC - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (TITLE OF CLASS OF SECURITIES) 010807158 - -------------------------------------------------------------------------------- (CUSIP NUMBER) TIMOTHY TENAGLIA, 140 BROADWAY, 38TH FLOOR, NEW YORK, NY 10005, (212) 509-3111 - -------------------------------------------------------------------------------- (NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICE AND COMMUNICATIONS) SEPTEMBER 8, 2008 - -------------------------------------------------------------------------------- (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 that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. [ ] Note: Schedules filed in paper format shall include a signed original and five copies of the Schedule, including all exhibits. SEE Rule 13d-7(b) for other parties to whom copies are to be sent. (1) 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 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. 010807158 13D/A Page 2 of 7 Pages - --------- ---------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) TEMUJIN FUND MANAGEMENT, LLC - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A GROUP* (a) (b) |X| - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 3. SEC USE ONLY - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 4. SOURCES OF FUNDS OO (Funds from Investment Advisory Clients). - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 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. SHARES SOLE VOTING POWER ----- ------------------------------------------------------ ----- ------------------------------------------------------ BENEFICIALLY 8. OWNED BY SHARED VOTING POWER 2,396,085 ----- ------------------------------------------------------ ----- ------------------------------------------------------ EACH 9. REPORTING SOLE DISPOSITIVE POWER ----- ------------------------------------------------------ ----- ------------------------------------------------------ PERSON WITH 10. SHARED DISPOSITIVE POWER 2,396,085 ----- ------------------------------------------------------ - --------- ---------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,396,085 - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 10.21% - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* IA - --------- ---------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 010807158 13D/A Page 3 of 7 Pages - --------- ---------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) MARCO BATTAGLIA - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A GROUP* (a) (b) |X| - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 3. SEC USE ONLY - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 4. SOURCES 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 UNITED STATES OF AMERICA - --------- ---------------------------------------------------------------------- - ------------------- ----- ------------------------------------------------------ NUMBER OF 7. SHARES SOLE VOTING POWER ----- ------------------------------------------------------ ----- ------------------------------------------------------ BENEFICIALLY 8. OWNED BY SHARED VOTING POWER 2,396,085 ----- ------------------------------------------------------ ----- ------------------------------------------------------ EACH 9. REPORTING SOLE DISPOSITIVE POWER ----- ------------------------------------------------------ ----- ------------------------------------------------------ PERSON WITH 10. SHARED DISPOSITIVE POWER 2,396,085 ----- ------------------------------------------------------ - --------- ---------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,396,085 - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 10.21% - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* IN - --------- ---------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 010807158 13D/A Page 4 of 7 Pages - -------------------------------------------------------------------------------- ITEM 1 SECURITY AND ISSUER This Schedule 13D relates to the common stock, par value $.001 per share ("Common Stock"), of Ultratech, Inc., a Delaware corporation (the "Issuer"). The address of the principal executive offices of the Issuer is 3050 Zanker Road, San Jose, CA 95134. ITEM 2 IDENTITY AND BACKGROUND (a) The names of the persons filing this Schedule 13D (the "Schedule") are Temujin Fund Management, LLC (the "Investment Manager") and Marco Battaglia, a principal of the Investment Manager. Such reporting persons are collectively referred to herein as the "Reporting Persons." The Investment Manager, in its capacity as investment manager of Temujin Holdings Ltd. (the "Fund"), has sole power to vote and dispose of the shares of Common Stock owned by the Fund. The Investment Manager disclaims any economic interest in or beneficial ownership of the Common Stock covered by this Schedule. (b) The business address of the Reporting Persons is 140 Broadway, 38th Floor, New York, NY 10005. (c) This Schedule is filed on behalf of the Investment Manager, Mr. Battaglia and the Fund. The Fund is the record and direct beneficial owner of the shares of Common Stock reported herein. The Investment Manager is the investment manager to the Fund and Mr. Battaglia is a principal of the Investment Manager. The principal business of the Investment Manager is purchasing, holding and selling securities for investment purposes. The principal business of the Fund is to invest in securities. (d) During the past five years none of the Reporting Persons has been convicted in a criminal proceeding. (e) During the past five years none of the Reporting Persons has been a party to a civil proceeding as a result of which it is subject to a judgment, decree or final order enjoining it from or mandating activities subject to federal or state securities laws, or finding it in violation of such laws. (f) Temujin Fund Management, LLC is organized under the laws of Delaware, USA. Marco Battaglia is a citizen of the United States of America. ITEM 3 SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION The Fund disposed of the shares of Common Stock in open market transactions. CUSIP No. 010807158 13D/A Page 5 of 7 Pages ITEM 4 PURPOSE OF TRANSACTION The Reporting Persons disposed of the Common Stock of the Issuer in the ordinary course of business for risk control and diversification purposes. The Reporting Persons believe the Common Stock is substantially undervalued. In particular, the Issuer has the potential to more than quadruple revenue over the next few years as LSA becomes the industry standard for demanding thermal processing applications. The Reporting Persons continue to see additional value from an eventual sale of the Issuer at a price that reflects its long term prospects and strategic value. The Reporting Persons intend to meet with and/or make suggestions to the Issuer's management personnel from time to time with respect to its capital structure and operations. The Reporting Persons expect to acquire or dispose of additional Common Stock via open-market transactions from time to time. However, there is no timetable or pre-arranged plan related to the purchase or sale of additional Common Stock. Such decisions will be made based on trading activity and the relative value of the Common Stock, as defined by market conditions. ITEM 5 INTEREST IN SECURITIES OF THE ISSUER (a)-(b) The Reporting Persons may be deemed, for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, to be the beneficial owners of an aggregate of 2,396,085 shares of Common Stock as of September 11, 2008, which represent 10.21% of the Issuer's outstanding shares of Common Stock. The percentage calculation was based on the number of shares of Common Stock the Issuer reported as outstanding as of July 28, 2008 on its Form 10-K as filed with the Commission on July 31, 2008. The amount of outstanding shares of Common Stock on such Annual Report was 23,477,008.
Sole Shared Sole Voting Shared Voting Dispositive Dispositive Power Power Power Power ------------ -------------- --------------- ------------------ Temujin Fund Management, LLC 2,396,085 2,396,085 Marco Battaglia 2,396,085 2,396,085
The aggregate amount of shares owned by the Reporting Persons is 2,396,085. (c) Except as set forth below, there have been no transactions in the Common Stock by any of the Reporting Persons during the past sixty days. CUSIP No. 010807158 13D/A Page 6 of 7 Pages - -------------------------------------------------------------------------------- During the past sixty days, the Reporting Persons effected the following sales of shares of Common Stock in open market transactions: DATE SHARES SOLD PRICE ---- ----------- ----- 07/22/08 4,907 15.70000 07/23/08 100 15.73000 07/23/08 500 15.71600 08/11/08 6,252 16.66618 08/11/08 200 16.71100 08/11/08 23,000 16.72957 08/11/08 500 16.97500 08/13/08 1,400 16.20750 08/12/08 93,500 16.16500 08/12/08 1,300 16.21923 08/12/08 100 16.20000 08/12/08 4,500 15.73978 08/13/08 200 15.65750 08/13/08 900 15.61000 08/13/08 12,500 15.70000 08/14/08 300 15.75900 08/14/08 1,100 15.73000 08/14/08 300 15.78833 08/14/08 200 15.82000 08/14/08 12,500 15.70000 08/14/08 10,000 15.73000 08/15/08 400 15.77250 08/15/08 4,452 15.76317 08/15/08 600 15.75617 08/15/08 12,000 15.75000 09/04/08 300 14.30000 09/04/08 1,500 14.04200 09/04/08 1,300 13.86354 09/05/08 700 13.38357 09/05/08 17,800 13.28764 09/08/08 7,500 13.52233 09/08/08 19,000 13.47632 09/08/08 300 13.50100 09/08/08 700 13.48500 09/08/08 35,000 13.46143 09/09/08 14,700 13.48619 09/09/08 1,200 13.52167 09/09/08 6,200 13.58887 09/09/08 2,600 13.48538 09/10/08 100 13.33700 09/10/08 2,104 13.32760 09/10/08 55,000 13.21455 CUSIP No. 010807158 13D/A Page 7 of 7 Pages (d) - (e): Not applicable. ITEM 6 CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER None. ITEM 7 MATERIAL TO BE FILED AS EXHIBITS Joint Filing Agreement, dated as of September 11, 2008, by and among Temujin Fund Management, LLC and Marco Battaglia. 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. SEPTEMBER 11, 2008 Date TEMUJIN FUND MANAGEMENT, LLC /S/ MARCO BATTAGLIA Signature MARCO BATTAGLIA, CHIEF EXECUTIVE OFFICER Name/Title SEPTEMBER 11, 2008 Date MARCO BATTAGLIA /S/ MARCO BATTAGLIA Signature The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. SEE ss.240.13d-7 for other parties for whom copies are to be sent. INDEX TO EXHIBITS Exhibit 1 Joint Filing Agreement dated as of September 11, 2008, by and among Temujin Fund Management, LLC and Marco Battaglia. EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them a Statement on Schedule 13D (including amendments thereto) with regard to the common stock of Ultratech, Inc., and further agree that this Joint Filing Agreement be included as an Exhibit to such joint filings. In evidence thereof, the undersigned, being duly authorized, hereby execute this Agreement as of September 11, 2008. SEPTEMBER 11, 2008 Date TEMUJIN FUND MANAGEMENT, LLC /S/ MARCO BATTAGLIA Signature MARCO BATTAGLIA, CHIEF EXECUTIVE OFFICER Name/Title SEPTEMBER 11, 2008 Date MARCO BATTAGLIA /S/ MARCO BATTAGLIA Signature -----END PRIVACY-ENHANCED MESSAGE-----