-----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, R7+iPmI1tkVianNqq3vOsfz+niYlrUjvDv+RlHMYUE/UbIRKERrUo90tIuiMc7W+ dP6rOTRSlYGhMEVN8JKGMg== 0001044321-04-000005.txt : 20040109 0001044321-04-000005.hdr.sgml : 20040109 20040109143447 ACCESSION NUMBER: 0001044321-04-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040108 FILED AS OF DATE: 20040109 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26824 FILM NUMBER: 04517570 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 4 1 primary_doc.xml PRIMARY DOCUMENT X0201 4 2004-01-08 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 2004-01-08 4 S 0 57600 3.4055 D 6474609 I By Limited Partnerships Convertible Bonds 0.35 2004-01-08 4 C 0 20160 0.35 D 2003-09-10 2011-09-09 Common Stock 57600 1764370 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. 1,061,030 Bonds Cvt for 3,031,514 Common Shares & 857,131 Wts are held by PE, 114,652 Bonds Cvt for 327,577 Common Shares & 93,515 Wts are held by Tech and 5,000 shares of Common Stock, 588,688 Bonds Cvt for 1,681,966 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 2004-01-09 David M. Greenhouse 2004-01-09 -----END PRIVACY-ENHANCED MESSAGE-----