SEC Form 4 · accession 0001140361-15-002884
AMTECH SYSTEMS INC · ASYS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert M Averick
10% Owner
Period of report
Jan 23, 2015
Accepted (ET)
Jan 27, 2015 · 4:13 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000720500
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Jan 23, 2015 | P | 4,500 | $8.9471 | A | 144,500 | D | |
| Common StockF2,F3 | Jan 26, 2015 | P | 807 | $8.99 | A | 145,307 | D | |
| Common StockF4,F2,F3 | Jan 27, 2015 | P | 4,693 | $8.839 | A | 150,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.94 to $8.95, inclusive. The reporting person undertakes to provide to Amtech Systems, Inc., any security holder of Amtech Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (1) to this Form 4.
- F2Robert Averick also reports beneficial ownership pursuant to Rule 13d of the Securities and Exchange Act of 1934, as amended, pursuant to a Schedule 13G filed jointly by Leslie J. Schreyer, as Trustee under Trust Agreement dated December 23, 1989 FBO the issue of Jonathan D. Sackler (the "Trust"), M3C Holdings LLC ("M3C") and Robert Averick, with the Issuer on March 27, 2013, as amended by a Schedule 13G Amendment No. 1 filed with Issuer on January 3, 2014.
- F3Represents shares held by Robert Averick jointly with his wife, Mickel Averick, for which Robert and Mickel share voting and dispositive power. Robert Averick is employed by Kokino LLC, which is a family office and provides non-discretionary investment advice to family clients, including the Trust and M3C with respect to the shares of the Issuer beneficially owned by the Trust and M3C. Neither Robert Averick nor Kokino LLC has voting or dispositive control with respect to the shares of the Issuer beneficially owned by the Trust or M3C.
- F4The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.76 to $8.90, inclusive. The reporting person undertakes to provide to Amtech Systems, Inc., any security holder of Amtech Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (4) to this Form 4.