-----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, M5vYOABh8rX2/HeTvfwOutv+gNglJ9HPlsWiFiTf7Fd2Souj96SIY7jtHVdxBxC8 wqwS7WR6iMBPMC8exC+aiA== 0000912057-97-004595.txt : 19970222 0000912057-97-004595.hdr.sgml : 19970222 ACCESSION NUMBER: 0000912057-97-004595 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970212 SROS: NASD GROUP MEMBERS: DAVID TOOLE AND 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 SEC ACT: 1934 Act SEC FILE NUMBER: 005-43763 FILM NUMBER: 97527223 BUSINESS ADDRESS: STREET 1: 2540 JUNCTION AVENUE CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 4083251200 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 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 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ------------------------ Schedule 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 (Amendment No. )* ---- GASONICS INTERNATIONAL CORPORATION ------------------------ (Name of Issuer) COMMON STOCK ------------------------ (Title of Class of Securities) 367278 10 8 ------------------------ (CUSIP Number) * The remainder of this cover page shall be filled out for a reporting person's filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934 (the "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). (CONTINUED ON FOLLOWING PAGE(S)) (Page 1 of 10 Pages) CUSIP NO. 367278 10 8 13G Page 2 of 10 Pages - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS David J. Toole - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER 48,397 SHARES OF ---------------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY 234,999 shares held directly by the David Toole Family OWNED BY Limited Partnership of which David Toole and Diane L. REPORTING Toole are the sole General Partners and 808,952 shares PERSON held directly by the David Toole and Diane L. Toole WITH Family Trust of which David Toole and Diane L. Toole are the sole Trustees. ---------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 48,397 SHARES ---------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 234,999 shares held directly by the David Toole Family Limited Partnership of which David Toole and Diane L. Toole are the sole General Partners and 808,952 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 48,397 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* /X/ - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.4% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP NO. 367278 10 8 13G Page 3 of 10 Pages - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS David Toole and Diane L. Toole Family Trust - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER 808,952 shares of which David Toole and Diane L. OF Toole are the sole Trustees and may be deemed SHARES to have shared power to vote the shares. BENEFICIALLY ---------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER REPORTING See response to row 5. PERSON ---------------------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 808,952 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 808,952 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.0% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP NO. 367278 10 8 13G Page 4 of 10 Pages - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS David Toole Family Limited Partnership - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER 234,999 shares, of which David Toole and Diane L. OF Toole are the sole General Partners and may be SHARES deemed to have shared power to vote the shares. BENEFICIALLY ---------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER REPORTING See response to row 5. PERSON ---------------------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 234,999 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 234,999 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.7% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP NO. 367278 10 8 13G Page 5 of 10 Pages - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Diane L. Toole - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER 0 Shares OF ---------------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY 234,999 shares held directly by David Toole OWNED BY Family Limited Partnership of which Diane L. Toole REPORTING is one of the sole General Partners and 808,952 PERSON shares held directly by David Toole and Diane WITH L. Toole Family Trust of which Diane L. Toole is one of the Sole Trustees and may be deemed to have shared voting power of the shares. ---------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 Shares. ---------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 234,999 shares held directly by David Toole Family Limited Partnership of which Diane L. Toole is one of the sole General Partners and 808,952 shares held directly by David Toole and Diane L. Toole Family Trust of which Diane L. Toole is one of the Sole Trustees and may be deemed to have shared dispositive power of the shares. - ------------------------------------------------------------------------------- 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 L. 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 it or any of the other persons on whose behalf this statement is filed constitutes a "group'." The filing 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 Page 7 of 10 Pages ITEM 2(d) TITLE OF CLASS OF SECURITIES: Common Stock 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), CHECK WHETHER THE PERSON FILING IS A: Not Applicable ITEM 4. OWNERSHIP. (a) Amount Beneficially Owned: See Row 9 of cover page for each entity. (b) Percent of Class: See Row 11 of cover page for each entity. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: See Row 5 of cover page for each entity. (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 entity. (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 Page 8 of 10 Pages 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 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 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 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: January 31, 1997 /s/ Diane L. Toole - --------------------------------- Diane L. Toole /s/ David J. Toole - --------------------------------- David J. Toole DAVID TOOLE FAMILY LIMITED PARTNERSHIP By: /s/ David Toole --------------------------------- Title: General Partner ---------------------------- DAVID TOOLE AND DIANE L. TOOLE FAMILY TRUST By: /s/ David Toole and Diane L. Toole ----------------------------------- Title: Trustees ---------------------------- 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 Corporaation 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: January 31, 1997 /s/ Diane L. Toole - --------------------------------- Diane L. Toole /s/ David J. Toole - --------------------------------- David J. Toole DAVID TOOLE FAMILY LIMITED PARTNERSHIP By: /s/ David Toole ------------------------------- Title: General Partner ---------------------------- DAVID TOOLE AND DIANE L. TOOLE FAMILY TRUST By: /s/ David Toole and Diane L. Toole ----------------------------------- Title: Trustees ---------------------------- -----END PRIVACY-ENHANCED MESSAGE-----