-----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, BiyskyJN0fYkNaHj9FQZyJ9mavVLIxjL/X9gL1RCtzusbEFNdIyafhOX2a720HzJ b7PMP0G0WguXZFuCGMWthQ== 0000912057-01-540618.txt : 20020411 0000912057-01-540618.hdr.sgml : 20020411 ACCESSION NUMBER: 0000912057-01-540618 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20011121 ITEM INFORMATION: Financial statements and exhibits ITEM INFORMATION: FILED AS OF DATE: 20011121 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ULTRATECH STEPPER 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: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-22248 FILM NUMBER: 1797246 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 8-K 1 a2064246z8-k.htm 8-K Prepared by MERRILL CORPORATION
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


FORM 8-K
CURRENT REPORT


Pursuant to Section 13 OR 15(d) of
The Securities Exchange Act of 1934

Date of Report (Date of earliest event reported) November 21, 2001


Ultratech Stepper, Inc.
(Exact name of registrant as specified in its charter)

Delaware
(State or other jurisdiction of incorporation)
  0-22248
(Commission File Number)
  94-3169580
(IRS Employer Identification No.)
3050 Zanker Road, San Jose, California
(Address of principal executive offices)
  95134
(Zip Code)

Registrant's telephone number, including area code (408) 321-8835

Not Applicable
(Former name or former address, if changed since last report)



Item 7. Exhibits

Exhibit
  Description
99.1   Financial Update by CFO November 21, 2001


Item 9. Regulation FD Disclosure

    On November 21, 2001 Ultratech Stepper Inc. posted an update to its quarterly teleconference guidance on its company world wide web at www.ultratech.com. The full text of this message is included as Exhibit 99.1 hereto.

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SIGNATURES

    Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

    ULTRATECH STEPPER, INC.
(Registrant)
         

Date: November 21, 2001

 

By:

 

/s/BRUCE R. WRIGHT

        Bruce R. Wright
        Senior Vice President, Finance and Chief Financial
Officer (Duly Authorized Officer and Principal
Financial and Accounting Officer)

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EXHIBIT INDEX

Exhibit
  Description
99.1   Financial Update by CFO November 21, 2001.



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SIGNATURES
EXHIBIT INDEX
EX-99.1 3 a2064246zex-99_1.htm EXHIBIT 99.1 Prepared by MERRILL CORPORATION
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Exhibit 99.1

Financial Update by CFO

November 21, 2001

    Overall, the business scenario for Ultratech Stepper remains essentially unchanged from management's comments last month in the 3Q01 earnings teleconference. As usual this early in the quarter, activities to increase visibility have not yet started to occur. The Company remains focused on executing the previously announced plans to lessen expenses and drop the operating income breakeven point. The financial and market outlook and goals for the Company for 4Q01 and 2002 remain the same as stated in the 3Q01 earnings teleconference comments.

Safe Harbor Statement

    The statements contained herein are considered forward-looking statements that involve numerous risks and uncertainties, including a high degree of non-linearity of the Company's system shipments and system acceptances. Due to the high average selling prices of the Company's systems, the loss of even a single planned revenue event would materially adversely impact the Company's results of operations. Additional risks and uncertainties include cyclicality in the semiconductor and microsystems markets, delays, deferrals and cancellations of orders by customers, pricing pressures, competition, lengthy sales cycles for the Company's systems, ability to volume produce systems and meet customer requirements, the mix of products sold, dependence on new product introductions and commercial success of any new products, integration and development of the Verdant operation, manufacturing inefficiencies and absorption levels, risks associated with introducing new technologies, inventory obsolescence, economic and political conditions in Asia, delays in collecting accounts receivable, extended payment terms, changes in technologies and the effects of the California power shortage. Such risks and uncertainties are described in the Company's SEC reports including the Company's Annual Report on Form 10-K filed as of December 31, 2000 and form 10-Q filed as of September 30, 2001.




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Exhibit 99.1 Financial Update by CFO November 21, 2001
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