UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
(Amendment No. 1)
[X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended July 3, 2011
OR
[ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from ________to _________
Commission file number 000-24838
MATTSON TECHNOLOGY, INC.
(Exact name of Registrant as Specified in its Charter)
47131 Bayside Parkway
Fremont, California 94538
(Address of Principal Executive Offices including Zip Code)
(510) 657-5900
(Registrant's Telephone Number, Including Area Code)
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15 (d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file reports), and (2) has been subject to such filing requirements for the past 90 days.
YES x NO ¨
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). YES x NO ¨
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer or a smaller reporting company. See definitions of "large accelerated filer," "accelerated filer" and "smaller reporting company" in Rule 12b-2 of the Exchange Act. (Check one):
Large accelerated filer ¨ | Accelerated filer x | Non-accelerated filer ¨ | Smaller reporting company ¨ |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).
YES ¨ NO x
Number of shares of common stock outstanding as of July 29, 2011: 58,222,802
Explanatory Note
The sole purpose of this amendment on Form 10-Q/A to Mattson Technology, Inc.'s quarterly report on Form 10-Q for the period ended July 3, 2011, as originally filed with the Securities and Exchange Commission on August 5, 2011 ("the Form 10-Q"), is to furnish Exhibit 101 to the Form 10-Q, as required by Rule 405 of Regulation S-T.
No other changes have been made to the Form 10-Q. This Form 10-Q/A speaks as of the original filing date of the Form 10-Q, does not reflect events that may have occurred subsequent to the original filing date, and does not modify or update in any way disclosures made in the Form 10-Q.
Users of this data are advised that pursuant to Rule 402 of Regulation S-T, the information in these exhibits shall not be deemed to be "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liability of that section, and shall not be incorporated by reference into any registration statement or other document filed under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.
Item 6.Exhibits
Exhibit | Description | |
3.1(1) | Amended and Restated Certificate of Incorporation of the Company. | |
3.2(2) | ||
10.1(3) | ||
10.2(3) | ||
31.1(4) | Certification of Chief Executive Officer Pursuant to Sarbanes-Oxley Act Section 302(a). | |
31.2(4) | Certification of Chief Financial Officer Pursuant to Sarbanes-Oxley Act Section 302(a). | |
32.1(4) | Certification of Chief Executive Officer Pursuant to 18 U.S.C. Section 1350. | |
32.2(4) | Certification of Chief Financial Officer Pursuant to 18 U.S.C. Section 1350. | |
101.INS(5) | XBRL Instance Document | |
101.SCH(5) | XBRL Taxonomy Extension Schema Document | |
101.CAL(5) | XBRL Taxonomy Extension Calculation Linkbase Document | |
101.DEF(5) | XBRL Taxonomy Extension Definition Linkbase Document | |
101.LAB(5) | XBRL Taxonomy Extension Label Linkbase Document | |
101.PRE(5) | XBRL Taxonomy Extension Presentation Linkbase Document |
_________________
(1) | Incorporated by reference from the Company's Current Report on Form 8-K/A filed on January 30, 2001. |
(2) | Incorporated by reference from the Company's Current Report on Form 8-K filed on December 22, 2010. |
(3) | Incorporated by reference from the Company's Current Report on Form 8-K filed on June 1, 2011. |
(4) | Filed previously with the Form 10-Q. |
(5) | The financial information contained in these XBRL documents is unaudited and these are not the official publicly filed financial statements of Mattson Technology. The purpose of submitting these XBRL documents is to test the related format and technology, and, as a result, investors should continue to rely on the official filed version of the furnished documents and not rely on this information in making investment decisions. In accordance with Rule 402 of Regulation S-T, the information in these exhibits shall not be deemed to be "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liability of that section, and shall not be incorporated by reference into any registration statement or other document filed under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing. |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
MATTSON TECHNOLOGY, INC. (Registrant) |
Dated: August 15, 2011
By:/s/ DAVID DUTTON David Dutton President and Chief Executive Officer (Principal Executive Officer) |
Dated: August 15, 2011
By:/s/ ANDY MORING Andy Moring Chief Financial Officer, Secretary and Executive Vice President — Finance (Principal Financial and Accounting Officer) |