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UNITED STATES OMB APPROVAL
SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0145
WASHINGTON, D.C. 20549 Expires: October 31, 1997
Estimated average burden
hours per response ... 14.90
SCHEDULE 13G
INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. ______)*
HMT Technology Corporation
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
403917-10-7
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(CUSIP Number)
*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 the
disclosures provided in a prior cover page.
The information required in 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 7 PAGES
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CUSIP NO. 403917-10-7 SCHEDULE 13G PAGE 2 OF 7 PAGES
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(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Ronald L. Schauer
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
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(3) SEC USE ONLY
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(4) CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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(5) SOLE VOTING POWER
NUMBER OF -0-
SHARES --------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY
EACH 3,146,000 (All of such shares are held in The
REPORTING Schauer Living Trust under agreement dated March
PERSON WITH 15, 1996 of which the reporting person is a
co-trustee with reporting person's wife, Marlys
A. Schauer)
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(7) SOLE DISPOSITIVE POWER
-0-
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(8) SHARED DISPOSITIVE POWER
3,146,000 (All of such shares are held in The
Schauer Living Trust under agreement dated March
15, 1996 of which the reporting person is a
co-trustee with reporting person's wife, Marlys
A. Schauer)
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(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,146,000. All of such shares are held in The Schauer Living Trust
under agreement dated March 15, 1996 of which the reporting person is
a co-trustee with reporting person's wife, Marlys A. Schauer (also
includes 1,646,269 shares that are subject to a right of repurchase by
the Company).
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(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN
SHARES* [ X ]
(See Attachment A)
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(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.7%
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(12) TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 2 OF 7 PAGES
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CUSIP NO. 403917-10-7 SCHEDULE 13G PAGE 3 OF 7 PAGES
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(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Marlys A. Schauer
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
---------------------------------------------------------------------
(3) SEC USE ONLY
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(4) CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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(5) SOLE VOTING POWER
NUMBER OF -0-
SHARES --------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY
EACH 3,146,000 (All of such shares are held in The
REPORTING Schauer Living Trust under agreement dated March
PERSON WITH 15, 1996 of which the reporting person is a
co-trustee with reporting person's husband,
Ronald L. Schauer)
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(7) SOLE DISPOSITIVE POWER
-0-
--------------------------------------------------------
(8) SHARED DISPOSITIVE POWER
3,146,000 (All of such shares are held in The
Schauer Living Trust under agreement dated March
15, 1996 of which the reporting person is a
co-trustee with reporting person's husband,
Ronald L. Schauer)
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(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,146,000. All of such shares are held in The Schauer Living Trust
under agreement dated March 15, 1996 of which the reporting person is
a co-trustee with reporting person's husband, Ronald L. Schauer
(also includes 1,646,269 shares that are subject to a right of
repurchase by the Company).
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(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN
SHARES* [ X ]
(See Attachment A)
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(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.7%
---------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON*
IN
---------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 3 OF 7 PAGES
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ITEM 1.
(a) Name of Issuer: HMT Technology Corporation
(b) Address of Issuer's Principal Executive Offices:
1055 Page Avenue
Fremont, CA 94538
ITEM 2.
(a) Name of Person's Filing: Ronald L. Schauer and Marlys A.
Schauer
(b) Address of Principal Business Office or, if None, Residence:
1055 Page Avenue Fremont, CA 94538
(c) Citizenship: Each is a citizen of the United States
(d) Title of Class of Securities: Common Stock
(e) CUSIP Number: 403917-10-7
ITEM 3. Not applicable.
ITEM 4. OWNERSHIP
If the percent of the class owned, as of December 31 of the year covered
by the statement, or as of the last day of any month described in Rule
13d-1(b)(2), if applicable, exceeds five percent, provide the following
information as of that date and identify those shares which there is a right to
acquire.
(a) Amount Beneficially Owned: 3,146,000 shares of Common Stock
as of December 31, 1996. All of such shares are held in The
Schauer Living Trust under agreement dated March 15, 1996 of
which the reporting persons are co-trustees (includes
1,646,269 shares that are subject to a right of repurchase by
the Company).
(b) Percent of Class: 7.7%
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote: -0-
(ii) shared power to vote or to direct the vote: 3,146,000
(all of such shares are held in The Schauer Living
Trust under agreement dated March 15, 1996 of which
the reporting persons are co-trustees)
(iii) sole power to dispose or to direct the disposition
of: -0-
(iv) shared power to dispose or to direct the disposition
of: 3,146,000
(all of such shares are held in The Schauer Living
Trust under agreement dated March 15, 1996 of which
the reporting persons are co-trustees)
Instruction. For computations regarding securities which
represent a right to acquire an underlying security, see Rule
13d-3(d)(1).
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ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A 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 5 OF 7 PAGES
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SIGNATURE
After reasonable inquiry and to the best of our knowledge and belief, we
certify that the information set forth in this statement is true, complete and
correct.
April 21, 1997
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Date
/s/ Ronald L. Schauer
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Signature
Ronald L. Schauer
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Name/Title
/s/ Marlys A. Schauer
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Signature
Marlys A. Schauer
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Name/Title
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Attachment A
SCHEDULE 13G
HMT TECHNOLOGY CORPORATION
(Name of Issuer)
403917-10-7
(CUSIP Number)
10. Excludes the following shares: The reporting person's have one adult son
who directly owns 150,000 shares. The reporting persons' disclaim
beneficial ownership of such shares.
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