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OMB APPROVAL
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- ------ OMB Number: 3235-0287
FORM 4 Expires: April 30, 1997
- ------ Estimated average burden
hours per response .... 0.5
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U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
/ / Check this box if no
longer subject to Filed pursuant to Section 16(a) of the Securities
Section 16. Form 4 Exchange Act of 1934, Section 17(a) of the
or Form 5 obligations Public Utility Holding Company Act of 1935
may continue. See or Section 30(f) of the Investment Company
Instruction 1(b). Act of 1940
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<S> <C> <C> <C> <C> <C> <C>
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1. Name and Address of Reporting Person 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person to
WEISBERG LEONARD R. SUBMICRON SYSTEMS CORPORATION: SUBM Issuer (Check all applicable)
- --------------------------------------------------------------------------------------------- X Director 10% Owner
(Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- ---
Number of Reporting Month/Year Officer (give Other (Specify
1225 LASALLE AVENUE #1407 Person (Voluntary) 4/98 ---- title --- below)
- --------------------------------------------- ------------------- below)
(Street) 5. If Amendment,
Date of Original
(Month/Year) ------------------------
MINNEAPOLIS, MN 55403
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(City) (State) (Zip) TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
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1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature
(Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In-
Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct
(Instr. 8) End of Month Direct Benefi-
(Month/ (Instr. 3 and 4) (D) or cial
Day/ --------------------------------------- Indirect Owner-
Year) Code V Amount (A) or Price (I) ship
(D) (Instr. 4) (Instr.
4)
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COMMON STOCK 3/26/1997 P 2,000 A $3.5625 21,655 D
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COMMON STOCK 3/26/1997 P 1,000 A $3.5625 21,655 I "BY SPOUSE"
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COMMON STOCK 12/29/1997 P 2,000 A $2.375 24,655 D
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COMMON STOCK 12/29/1997 P 2,000 A $2.375 26,655 I "BY SPOUSE"
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COMMON STOCK 1/28/1998 P 4,000 A $1.9375 30,655 D
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COMMON STOCK 4/22/1998 P 5,000 A $1.0625 35,655 I "BY SPOUSE"
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COMMON STOCK 4/27/1998 P 5,000 A $1.25 40,655 D
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COMMON STOCK 4/27/1998 G 1,700 D -- 38,955 D
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over)
(Print or Type Responses) SEC 1474 (8/92)
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FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
<S> <C> <C> <C> <C> <C> <C> <C>
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1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price
Security sion or action action Derivative cisable and of Underlying of
(Instr. 3) Exercise Date Code Securities Ac- Expiration Securities Deriv-
Price of (Month/ (Instr. 8) quired (A) or Date (Instr. 3 and 4) ative
Deriv- Day/ Disposed of (D) (Month/Day/ Secur-
ative Year) (Instr. 3, 4, Year) ity
Security and 5) (Instr. 5)
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Date Expira- Amount or
-------------------------- Exer- tion Title Number of
Code V (A) (D) cisable Date Shares
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OPTIONS TO PURCHASE 11/10 COMMON 10,000
COMMON STOCK $7.38 10,000 * 2003 STOCK
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OPTIONS TO PURCHASE 6/16 6/16 COMMON
COMMON STOCK $10.125 1995 5,000 * 2000 STOCK 5,000
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OPTIONS TO PURCHASE 6/8 6/7 COMMON
COMMON STOCK $9.75 1996 3,000 * 2001 STOCK 3,000
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OPTIONS TO PURCHASE 7/24 7/24 COMMON
COMMON STOCK $3.125 1997 75,000 ** 2007 STOCK 75,000
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<S> <C> <C> <C>
1. Title of Derivative 9. Number of 10. Ownership 11. Nature of
Security Derivative Form of Indirect
(Instr. 3) Securities Derivative Beneficial
Beneficially Security: Ownership
Owned at End Direct (D) (Instr. 4)
of Month or Indirect (I)
(Instr. 4) (Instr. 4)
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10,000 D
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15,000 D
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18,000 D
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75,000 D
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Explanation of Responses:
STEVE DIRUGERIS
* OPTIONS ARE VESTED. /s/ STEVE DIRUGERIS 2/15/98
**EXERCISABLE OVER 60 MONTHS BEGINNING 8/24/07. ------------------------------- -------
**Signature of Reporting Person Date
**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. FOR LEONARD WEISBERG
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. Page 2
If space provided is insufficient, see Instruction 6 for procedure. SEC 1474 (8/92)
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