-----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, N7FN+62I6oXo264zZTgX7MaTNfq/vlu7wyTe0jR+jmedvQcPfCB7J1wEeZ4gwwgc u3vRi/YFxrrzV/aWod8MaA== 0000912057-00-005715.txt : 20000214 0000912057-00-005715.hdr.sgml : 20000214 ACCESSION NUMBER: 0000912057-00-005715 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000211 GROUP MEMBERS: DAVID TOOLE & DIANE L. TOOLE FAMILY TRUST GROUP MEMBERS: DAVID TOOLE FAMILY LIMITED PARTNERSHIP GROUP MEMBERS: DIANE L. TOOLE GROUP MEMBERS: TOOLE DAVID J SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GASONICS INTERNATIONAL CORP CENTRAL INDEX KEY: 0000918647 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 942159729 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-43763 FILM NUMBER: 534956 BUSINESS ADDRESS: STREET 1: 2540 JUNCTION AVENUE CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 4085707000 MAIL ADDRESS: STREET 1: 2730 JUNCTION AVE CITY: SAN JOSE STATE: CA ZIP: 95134 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TOOLE DAVID J CENTRAL INDEX KEY: 0000939496 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 2730 JUNCTION AVENUE CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 7195489800 MAIL ADDRESS: STREET 1: 2730 JUNCTION AVE CITY: SAN JOSE STATE: CA ZIP: 95134 SC 13G/A 1 SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 -------------------- SCHEDULE 13G (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (AMENDMENT NO. 2) GASONICS INTERNATIONAL CORPORATION - -------------------------------------------------------------------------------- (Name of issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of class of securities) 367278 10 8 - -------------------------------------------------------------------------------- (CUSIP number) December 31, 1999 - -------------------------------------------------------------------------------- (Date of event which requires filing of this statement) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE TO WHICH THIS SCHEDULE IS FILED: / / RULE 13d-1(b) / / RULE 13d-1(c) /X/ RULE 13d-1(d) CUSIP NO. 367278 10 8 13G Page 2 of 10 Pages - --------------------- ------------------ - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS DAVID J. TOOLE - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER (a) / / OF A GROUP* (b) /X/ - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES - ------------------------------------------------------------------------------- NUMBER OF SHARES (5) SOLE VOTING POWER BENEFICIALLY 38,397 SHARES OWNED BY -------------------------------------------------- EACH REPORTING (6) SHARED VOTING POWER PERSON WITH 94,999 SHARES HELD DIRECTLY BY THE DAVID TOOLE FAMILY LIMITED PARTNERSHIP, OF WHICH DAVID TOOLE AND DIANE L. TOOLE ARE THE SOLE GENERAL PARTNERS; 636,062 SHARES HELD DIRECTLY BY THE DAVID TOOLE & DIANE L. TOOLE FAMILY TRUST OF WHICH DAVID TOOLE AND DIANE L. TOOLE ARE THE SOLE TRUSTEES. -------------------------------------------------- (7) SOLE DISPOSITIVE POWER 38,397 SHARES -------------------------------------------------- (8) SHARED DISPOSITIVE POWER 94,999 SHARES HELD DIRECTLY BY THE DAVID TOOLE FAMILY LIMITED PARTNERSHIP, OF WHICH DAVID TOOLE AND DIANE L. TOOLE ARE THE SOLE GENERAL PARTNERS; 636,062 SHARES HELD DIRECTLY BY THE DAVID TOOLE & DIANE L. TOOLE FAMILY TRUST OF WHICH DAVID TOOLE AND DIANE L. TOOLE ARE THE SOLE TRUSTEES. - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 38,397 SHARES - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* /X/ - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.26% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP NO. 367278 10 8 13G Page 3 of 10 Pages - --------------------- ------------------ - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS DAVID TOOLE AND DIANE L. TOOLE FAMILY TRUST - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER (a) / / OF A GROUP* (b) /X/ - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA - ------------------------------------------------------------------------------- NUMBER OF SHARES (5) SOLE VOTING POWER BENEFICIALLY 636,062 SHARES OF WHICH DAVID TOOLE AND OWNED BY DIANE L. TOOLE ARE THE SOLE TRUSTEES AND EACH REPORTING MAY BE DEEMED TO HAVE SHARED POWER TO PERSON WITH VOTE THE SHARES. -------------------------------------------------- (6) SHARED VOTING POWER SEE RESPONSE TO ROW 5 -------------------------------------------------- (7) SOLE DISPOSITIVE POWER 636,062 SHARES OF WHICH DAVID TOOLE AND DIANE L. TOOLE ARE THE SOLE TRUSTEES AND MAY BE DEEMED TO HAVE SHARED DISPOSITIVE POWER OF THE SHARES. -------------------------------------------------- (8) SHARED DISPOSITIVE POWER SEE RESPONSE TO ROW 7. - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 636,062 - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.3% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON * OO - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP NO. 367278 10 8 13G Page 4 of 10 Pages - --------------------- ------------------ - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS DAVID TOOLE FAMILY LIMITED PARTNERSHIP - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER (a) / / OF A GROUP* (b) /X/ - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA - ------------------------------------------------------------------------------- NUMBER OF SHARES (5) SOLE VOTING POWER BENEFICIALLY 94,999 SHARES, OF WHICH DAVID TOOLE AND OWNED BY DIANE L. TOOLE ARE THE SOLE GENERAL EACH REPORTING PARTNERS AND MAY BE DEEMED TO HAVE SHARED PERSON WITH POWER TO VOTE THE SHARES. -------------------------------------------------- (6) SHARED VOTING POWER SEE RESPONSE TO ROW 5 -------------------------------------------------- (7) SOLE DISPOSITIVE POWER 94,999 SHARES, OF WHICH DAVID TOOLE AND DIANE L. TOOLE ARE THE SOLE GENERAL PARTNERS AND MAY BE DEEMED TO HAVE SHARED DISPOSITIVE POWER OF THE SHARES. -------------------------------------------------- (8) SHARED DISPOSITIVE POWER SEE RESPONSE TO ROW 7. - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 94,999 - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.6% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON * PN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP NO. 367278 10 8 13G Page 5 of 10 Pages - --------------------- ------------------ - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS DIANE L. TOOLE - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER (a) / / OF A GROUP* (b) /X/ - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES - ------------------------------------------------------------------------------- NUMBER OF SHARES (5) SOLE VOTING POWER BENEFICIALLY 0 SHARES OWNED BY -------------------------------------------------- EACH REPORTING (6) SHARED VOTING POWER PERSON WITH 94,999 SHARES HELD DIRECTLY BY THE DAVID TOOLE FAMILY LIMITED PARTNERSHIP, OF WHICH DAVID TOOLE AND DIANE L. TOOLE ARE THE SOLE GENERAL PARTNERS; 636,062 SHARES HELD DIRECTLY BY THE DAVID TOOLE & DIANE L. TOOLE FAMILY TRUST OF WHICH DAVID TOOLE AND DIANE L. TOOLE ARE THE SOLE TRUSTEES. -------------------------------------------------- (7) SOLE DISPOSITIVE POWER 0 SHARES -------------------------------------------------- (8) SHARED DISPOSITIVE POWER 94,999 SHARES HELD DIRECTLY BY THE DAVID TOOLE FAMILY LIMITED PARTNERSHIP, OF WHICH DAVID TOOLE AND DIANE L. TOOLE ARE THE SOLE GENERAL PARTNERS; 636,062 SHARES HELD DIRECTLY BY THE DAVID TOOLE & DIANE L. TOOLE FAMILY TRUST OF WHICH DAVID TOOLE AND DIANE L. TOOLE ARE THE SOLE TRUSTEES. - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* /X/ - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON * IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 6 of 10 Pages ITEM 1(a) NAME OF ISSUER GaSonics International Corporation ITEM 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 2540 Junction Avenue San Jose, CA 95134 ITEM 2(a) NAME OF PERSON FILING This statement is filed by David J. Toole, Diane Toole, David Toole Family Limited Partnership and David Toole and Diane L. Toole Family Trust sometimes collectively referred to as the "Reporting Persons." The Reporting Persons may be deemed to be a "group" for the purposes of Sections 13(d) and 13(g) of the Securities Exchange Act of 1934 and the rules thereunder (the "Act"), although each expressly disclaims any assertion or presumption that such persons constitutes a "group'." The filings of this Statement and the Agreement attached as Exhibit 1 hereto should not be construed to be an admission that any of the Reporting Persons is a member of a "group" consisting of one or more persons. ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 2540 Junction Avenue San Jose, CA 95134 ITEM 2(c) CITIZENSHIP: See row 4 of cover page of every entity ITEM 2(d) TITLE OF CLASS OF SECURITIES: Common Stock Page 7 of 10 Pages ITEM 2(e) CUSIP NUMBER 367278 10 8 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b) OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: Not Applicable ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: See Row 9 of cover page for each Reporting Person. (b) Percent of Class: See Row 11 of cover page for each Reporting Person. (c) Number of shares as to which the person has: (i) sole power to vote or to direct the vote: See Row 5 of cover page for each Reporting Person. (ii) shared power to vote or to direct the vote: See row 6 of cover page for each entity (iii) sole power to dispose or to direct the disposition of: See Row 7 of cover page for each Reporting Person. (iv) shared power to dispose or to direct the disposition of: See row 8 of cover page for each entity 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 Page 8 of 10 Pages ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not Applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. The Reporting Person may be deemed to be a "group" for the purposes of Section 13(d) and 13(g) of the Act and the rules thereunder, although each expressly disclaims any assertion or presumption that it or the other persons on whose behalf this statement is filed constitutes a "group." The filing of this statement should not be construed to be an admission that any of the Reporting Persons is a member of a "group" consisting of one or more persons. 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 and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a particpant in any transaction having that purpose or effect. (a) The following certification shall be included if the statement is filed pursuant to section 240.13d-1(b): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. (b) The following certification shall be included if the statement is filed pursuant to section 240.13d-1(c): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 9 of 10 Pages 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 11, 2000 /s/ Diane L. Toole - ----------------------------------- Diane L. Toole /s/ David J. Toole - ----------------------------------- David J. Toole DAVID TOOLE FAMILY LIMITED PARTNERSHIP By: /s/ -------------------------------- Title: General Partner ------------------------------ DAVID TOOLE AND DIANE L. TOOLE FAMILY TRUST By: /s/ -------------------------------- Title: Trustee ------------------------------ Page 10 of 10 Pages EXHIBIT 1 AGREEMENT RELATING TO JOINT FILING OF SCHEDULE 13G The undersigned hereby agree that a single Schedule 13G (or any amendment thereto) relating to the Common Stock of GaSonics International Corporation shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13G. Date: February 11, 2000 /s/ Diane L. Toole - ----------------------------------- Diane L. Toole /s/ David J. Toole - ----------------------------------- David J. Toole DAVID TOOLE FAMILY LIMITED PARTNERSHIP By: /s/ -------------------------------- Title: General Partner ------------------------------ DAVID TOOLE AND DIANE L. TOOLE FAMILY TRUST By: /s/ -------------------------------- Title: Trustee ------------------------------ -----END PRIVACY-ENHANCED MESSAGE-----