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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PITON CAPITAL PARTNERS LLC C/O NORTH BAY ASSOCIATES 14000 QUAIL SPRINGS PARKWAY, SUITE 2200 OKLAHOMA CITY, OK 73134 |
X |
/s/ Brian Olson, President and Chief Investment Officer of Kokino LLC, managing member of Piton Capital Management LLC, managing member of Piton Capital Partners LLC | 10/20/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The noted price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.88 to $5.25, 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. |
(2) | The noted price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.23 to $5.35, 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 (2) to this Form 4. |
(3) | The noted price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.29 to $5.35, 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 (3) to this Form 4. |
(4) | Piton Capital Partners LLC also reports beneficial ownership pursuant to Rule 13d of the Securities 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, M3C Holdings LLC, Robert Averick, Piton Capital Partners LLC and OIH LLC with the Issuer on March 27, 2013, as amended by a Schedule 13G Amendment No. 1 filed with Issuer on January 3, 2014, a Schedule 13G Amendment No. 2 filed with the Issuer on February 17, 2015, a Schedule 13G Amendment No. 3 filed with the Issuer on February 25, 2015, a Schedule 13G Amendment No. 4 filed with the Issuer on June 12, 2015 and a Schedule 13G Amendment No. 5 filed with the Issuer on August 27, 2015. |
(5) | Represents shares held by Piton Capital Partners LLC. Piton Capital Partners LLC is a Delaware limited liability company and investment entity that is a family client of Kokino LLC. |