-----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, AzYTBu2Iv8hXQA30QKpMNa+geamFQdOlHYxRF8BCO9HdzWrJSkFBxDZ2Nk95BCZq Aeyau7g65f4Q/l3KF8rhXQ== 0000927016-98-000564.txt : 19980217 0000927016-98-000564.hdr.sgml : 19980217 ACCESSION NUMBER: 0000927016-98-000564 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980212 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BROOKS AUTOMATION INC CENTRAL INDEX KEY: 0000933974 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 043040660 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-45079 FILM NUMBER: 98535358 BUSINESS ADDRESS: STREET 1: 15 ELIZABETH DRIVE CITY: CHELMSFORD STATE: MA ZIP: 01824 BUSINESS PHONE: 5084531112 MAIL ADDRESS: STREET 1: 15 ELIZABETH DRIVE CITY: CHELMSBORO STATE: MA ZIP: 01824 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: THERRIEN ROBERT J CENTRAL INDEX KEY: 0001007380 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 15 ELIZABETH DR STREET 2: C/O BROOKS AUTOMATION CITY: CHELMSFORD STATE: MA ZIP: 01824 BUSINESS PHONE: 5082622400 SC 13G/A 1 SCHEDULE 13G/A ---------------------------- OMB APPROVAL ---------------------------- OMB Number: 3235-0145 Expires: October 31, 1997 Estimated average burden hours per response . . 14.90 ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* ----- Brooks Automation, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 11434A 10 0 - -------------------------------------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement. [_] A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *The remainder of this cover page shall be filled out for a reporting person's initial 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 purpose of Section 18 of the Securities Exchange Act of 1934 ("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). Page 1 of 5 pages - ----------------------- --------------------- CUSIP NO. 11434A 10 0 13G PAGE 2 OF 5 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Robert J. Therrien - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S.A. - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 1,182,250 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 0 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 1,182,250 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 1,182,250 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES 10 CERTAIN SHARES* [X] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 11% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 5 pages ITEM 1(A) Name of Issuer: Brooks Automation, Inc. ITEM 1(B) Address of Issuer's Principal Executive Offices: 15 Elizabeth Drive, Chelmsford, Massachusetts 01824 ITEM 2(A) Name of Person Filing: Robert J. Therrien ITEM 2(B) Address of Principal Business Office or, if none, Residence: 15 Elizabeth Drive, Chelmsford, Massachusetts 01824 ITEM 2(C) Citizenship: USA ITEM 2(D) Title of Class of Securities: Common Stock, $.01 par value ITEM 2(E) CUSIP Number: 11434A 10 0 ITEM 3 Not Applicable ITEM 4 Ownership: (a) Amount Beneficially Owned: 1,182,250 shares, including 247,500 shares issuable pursuant to immediately exercisable stock options. Excludes certain shares held by certain children and grandchildren of Mr. Therrien, as to which he disclaims beneficial ownership. Page 3 of 5 pages (b) Percent of Class: 11% (c) Number of Shares as to which such person has: (i) sole power to vote or to direct the vote: 1,182,250 shares (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: 1,182,250 shares (iv) shared power to dispose or to direct the disposition of: -0- ITEM 5 Ownership of Five Percent or Less of Class: Not Applicable 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: Not Applicable ITEM 9 Notice of Dissolution of Group: Not Applicable ITEM 10 Certification: Not Applicable Page 4 of 5 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. February 5, 1998 - ------------------------------------------- (Date) /s/Robert J. Therrien - ------------------------------------------- Signature Robert J. Therrien, Chief Executive Officer - ------------------------------------------- (Name and Title) Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----