UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 10-Q/A
(Mark One)
[X] QUARTERLY REPORT PURSUANT SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE
ACT OF 1934
For the quarterly period ended MARCH 31, 1996
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 0-26482
PLASMA & MATERIALS TECHNOLOGIES, INC.
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(Exact name of registrant as specified in its charter)
California 95-4054321
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(State or other jurisdiction of (I.R.S. Employer Identification
incorporation or organization) number)
9255 Deering Avenue, Chatsworth, California 91311
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(Address of principal executive offices)
(818) 886-8000
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(Registrant's telephone number, including area code)
Not Applicable
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(Former name, former address and former fiscal year,
if changed since last report)
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 periods that
the registrant was required to file such reports), and (2) has been subject
to such filing requirements for the past 90 days. Yes X No
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As of March 31, 1996, the total number of outstanding shares of the
Registrant's common stock was 8,669,660.
The undersigned Registrant hereby amends the following items of its
Quarterly Report on Form 10-Q for the quarter ended March 31, 1996, as set forth
below:
PART II - OTHER INFORMATION
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Item 6. Exhibits and Reports on Form 8-K.
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(a) The following exhibits are included herein:
Exhibit
Number Description
- ------ -----------
10.13 Agreement of Limited Partnership of PMT CVD Partners, L.P. (the "CVD
Partnership") dated as of March 29, 1996, entered into between CVD,
Inc. (the "General Partner") and the limited partners listed therein
(the "Limited Partners").*
10.14 Form of Option Agreement, dated as of March 29, 1996, entered into
between PMT and certain of the Limited Partners.
10.15 Form of Common Stock Purchase Warrant, dated as of March 29, 1996,
entered into between PMT and certain of the Limited Partners.
10.16 Form of Partnership Subscription Agreement, dated as of March 29, 1996,
entered into among the Partnership, the General Partner and certain of
the Limited Partners.
10.17 Share Subscription and Shareholders Agreement, dated as of March 29,
1996, entered into between the General Partner and the Limited
Partners, as the shareholders of the General Partner.
10.18 Research & Development Agreement, dated as of March 29, 1996, entered
into between PMT and the CVD Partnership.
10.19 Technology License Agreement, dated as of March 29, 1996, entered into
between PMT and the CVD Partnership.
11.1 Computation of Per Share Earnings.*
27.1 Financial Statement Data.*
* Filed as an exhibit to the Company's Quarterly Report on Form 10-Q for the
quarter ended March 31, 1996.
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SIGNATURES
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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 thereunto duly authorized.
PLASMA & MATERIALS TECHNOLOGIES, INC.
Date October 2, 1996 /s/ John W. LaValle
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John W. LaValle
Vice President, Chief Financial Officers
and Secretary
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EXHIBIT INDEX
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Exhibit Page
Number Description Number
- ------ ----------- ------
10.13 Agreement of Limited Partnership of PMT CVD Partners,
L.P. (the "Partnership"), dated as of March 29, 1996,
entered into between CVD, Inc. (the "General Partner")
and the limited partners listed therein (the "Limited
Partners"). ........................................... *
10.14 Form of Option Agreement, dated as of March 29, 1996,
entered into between PMT and certain of the Limited
Partners. .............................................
10.15 Form of Common Stock Purchase Warrant, dated as of March
29, 1996, entered into between PMT and certain of the
Limited Partners. .....................................
10.16 Form of Partnership Subscription Agreement, dated as of
March 29, 1996, entered into among the Partnership, the
General Partner and certain of the Limited Partners. ..
10.17 Share Subscription and Shareholders Agreement, dated as
of March 29, 1996, entered into between the General Partner
and the Limited Partners, as the shareholders of the General
Partner ..............................................
10.18 Research & Development Agreement, dated as of March 29,
1996, entered into between PMT and the CVD Partnership.
10.19 Technology License Agreement, dated as of March 29, 1996,
entered into between PMT and the CVD Partnership. .....
11.1 Computation of Per Share Earnings .................... *
27.1 Financial Statement Data ............................. *
* Filed as an exhibit to the Company's Quarterly Report on Form 10-Q for the
quarter ended March 31, 1996.
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