-----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, FYekAgIi9C1+nkWkkFyjceXUF9ReL1wjl2MVX50oELnzdRRyRrJgtFpAIntDNC7R wcBCs6141tB7pdLF3YFc0A== 0001044321-03-000148.txt : 20031009 0001044321-03-000148.hdr.sgml : 20031009 20031009162102 ACCESSION NUMBER: 0001044321-03-000148 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030910 FILED AS OF DATE: 20031009 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TEGAL CORP /DE/ CENTRAL INDEX KEY: 0000931059 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 680370244 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 2201 S MCDOWELL BLVD STREET 2: PO BOX 6020 CITY: PETALUMA STATE: CA ZIP: 94955 BUSINESS PHONE: 7077635600 MAIL ADDRESS: STREET 1: 2201 S MCDOWELL BLVD STREET 2: PO BOX 6020 CITY: PETALUMA STATE: CA ZIP: 94955 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MARXE AUSTIN W & GREENHOUSE DAVID M CENTRAL INDEX KEY: 0001044321 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26824 FILM NUMBER: 03935205 BUSINESS ADDRESS: STREET 1: 153 E 53RD ST STREET 2: 55ST FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2122076500 MAIL ADDRESS: STREET 1: 153 E 53RD ST STREET 2: 55TH FL CITY: NEW YORK STATE: NY ZIP: 10022 3 1 primary_doc.xml PRIMARY DOCUMENT X0201 3 2003-09-10 0 0000931059 TEGAL CORP /DE/ TGAL 0001044321 MARXE AUSTIN W & GREENHOUSE DAVID M 153 E 53RD ST 55TH FL NEW YORK NY 10022 0 0 1 0 Common Stock 800 I By Limited Partnerships Convertible Secured Debenture 0.35 2003-07-01 2011-06-30 Common Shares 761971 I By Limited Partnerships Convertible Secured Debenture 0.35 2003-09-10 2011-09-09 Common Stock 6216286 I By Limited Partnerships Warrants 0.5 2003-07-01 2011-06-30 Common Stock 185312 I By Limited Partnerships Warrants 0.5 2003-09-10 2011-09-09 Common Stock 1243240 I By Limited Partnerships This is a joint filing by Austin W. Marxe (Marxe) and David M. Greenhouse (Greenhouse). They share voting and investment control over all securities owned by Special Situations Private Equity Fund, LP (PE), Special Situations Technology Fund, L.P. (Tech) and Special Situations Technology II, L.P. (Tech II), respectively. 800 shares of Common Stock, 1,465,350 Bond Cvt for 4,186,714 Common Shares & 857,131 Wts are held by PE, 159,942 Bonds Cvt for 456,977 common shares & 93,515 Wts are held by Tech and 817,098 Bonds Cvt for 2,334,566 Common Shares & 477,906 Wts are held by Tech II. The interest of Marxe and Greenhouse in the above shares owned by PE, Tech, and Tech II is limited to the extent of his pecuniary interest. Austin W. Marxe 2003-10-09 David M. Greenhouse 2003-10-09 -----END PRIVACY-ENHANCED MESSAGE-----