-----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, G7qUcTsCE2NF+GLnz1rg26x8RGXF8qbQefHuvS8GJU/0uFzV319WhCuiaaRi/JuK 6qcAOezsrHzhhnfvqoL9rA== 0001144204-06-000453.txt : 20060105 0001144204-06-000453.hdr.sgml : 20060105 20060105064549 ACCESSION NUMBER: 0001144204-06-000453 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20051231 FILED AS OF DATE: 20060105 DATE AS OF CHANGE: 20060105 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 SOUTH MCDOWELL BLVD CITY: PETALUMA STATE: CA ZIP: 94954 BUSINESS PHONE: 7077635600 MAIL ADDRESS: STREET 1: 2201 SOUTH MCDOWELL BLVD CITY: PETALUMA STATE: CA ZIP: 94954 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: 06510450 BUSINESS ADDRESS: STREET 1: C/O SPECIAL SITUATIONS FUNDS STREET 2: 527 MADISON AVENUE, SUITE 2600 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2122076500 MAIL ADDRESS: STREET 1: C/O SPECIAL SITUATIONS FUNDS STREET 2: 527 MADISON AVENUE, SUITE 2600 CITY: NEW YORK STATE: NY ZIP: 10022 4 1 v032754_ex.xml X0202 4 2005-12-31 0 0000931059 TEGAL CORP /DE/ TGAL 0001044321 MARXE AUSTIN W & GREENHOUSE DAVID M C/O SPECIAL SITUATIONS FUNDS 527 MADISON AVENUE, SUITE 2600 NEW YORK NY 10022 0 0 1 0 Common Stock 2005-12-31 4 J 0 7553299 0 A 14722529 I By Limited Partnership Warrant 1.00 2005-12-31 4 J 0 687351 0 A 2005-07-14 2010-07-14 Common Stock 687351 1339751 I By Limited Partnership Warrant 1.00 2005-12-31 4 J 0 3089299 0 A 2005-09-19 2010-09-19 Common Stock 3089299 6021515 I By Limited Partnership Warrant 1.00 2005-12-31 4 J 0 0 0 A 2005-06-30 2011-06-30 Common Stock 0 14566 I By Limited Partnership Warrant 1.00 2005-12-31 4 J 0 0 0 A 2005-09-09 2011-09-09 Common Stock 0 1243239 I By Limited Partnership 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 Cayman Fund, L.P. (Cayman), Special Situations Private Equity Fund, L.P. (PE), Special Situations Technology Fund, LP (Tech), Special Situations Technology II, Fund, L.P. (Tech II) and Special Situations Fund III QP, L.P. (QP), respectively. 2,076,923 shares of Common Stock are held by Cayman, 2,141,538 shares of Common Stock are held by PE, 404,615 shares of Common Stock are held by Tech, 2,546,154 shares of Common Stock are held by Tech II and 7,553,299 shares of Common Stock are held by QP. Pursuant to that certain Exchange Tender Offer described in the Schedule TO-I of Special Situations Fund III, L.P. (SSF III), as filed by SSF III with the Securities and Exchange Commission on November 17, 2005, SSF III transferred the securities included in this Form 4 to QP on December 31, 2005. The interest of each of Marxe and Greenhouse in the shares of Common Stock owned by Cayman, PE, Tech, Tech II and QP is limited to the extent of his pecuniary interest. 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 Cayman Fund, L.P. (Cayman), Special Situations Private Equity Fund, L.P. (PE), Special Situations Technology Fund, LP (Tech), Special Situations Technology II, Fund, L.P. (Tech II) and Special Situations Fund III QP, L.P. (QP), respectively. 1,038,462 Warrants with varying terms are held by Cayman, 1,816,712 Warrants with varying terms are held by PE, 287,292 Warrants with varying terms are held by Tech, 1,699,955 Warrants with varying terms are held by Tech II and 3,776,649 Warrants with varying terms are held by QP. The interest of each of Marxe and Greenhouse in the shares of Common Stock owned by Cayman, PE, Tech, Tech II and QP is limited to the extent of his pecuniary interest. /s/ Austin W. Marxe 2005-01-04 EX-99.1 2 v032754_ex99-1.txt Attachment to Form 4 Statement of Joint Filer Name of Designation Filer: Austin W. Marxe Issuer Name and Ticker on Trading Symbol: Tegal Corporation [TGAL] Statement for Month/Day/Year: December 31, 2005 Name and Address of Joint Filer: David M. Greenhouse 527 Madison Avenue, Suite 2600 New York, New York 10022 -----END PRIVACY-ENHANCED MESSAGE-----