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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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Schedule 13G
INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2
(Amendment No. ___)*
ULTRATECH STEPPER, INC.
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(Name of Issuer)
COMMON STOCK
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(Title of Class of Securities)
904034 10 5
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(CUSIP Number)
* The remainder of this cover page shall be filled out for a reporting
person's filing on this form with respect to the subject class of securities,
and for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be
deemed to be "filed" for the purposes of Section 18 of the Securities Exchange
Act of 1934 (the "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).
(CONTINUED ON FOLLOWING PAGE(S))
(Page 1 of 5 Pages)
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CUSIP NO. 904034 10 5 13G PAGE 2 OF 5 PAGES
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NAME OF REPORTING PERSON
1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Arthur W. Zafiropoulo
Social Security Number: ###-##-####
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [_]
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SEC USE ONLY
3
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CITIZENSHIP OR PLACE OF ORGANIZATION
4
U.S.A.
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SOLE VOTING POWER
5
NUMBER OF 1,984,228
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6
None
OWNED BY
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EACH SOLE DISPOSITIVE POWER
7
REPORTING 1,984,228
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8
None
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,984,228
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
9.8%
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TYPE OF REPORTING PERSON*
12
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
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Cusip No. 904034 10 5
Page 3 of 5
ATTACHMENT TO SCHEDULE 13G
Item 1(a) Name of Issuer:
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Ultratech Stepper, Inc.
Item 1(b) Address of Issuer's Principal Executive Offices:
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3050 Zanker Road
San Jose, CA 95134
Item 2(a) Name of Person Filing:
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Arthur W. Zafiropoulo
Item 2(b) Address of Principal Business Office or Residence:
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c/o Ultratech Stepper, Inc.
3050 Zanker Road
San Jose, CA 95134
Item 2(c) Citizenship: U.S.A.
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Item 2(d) Title and Class of Securities: Common Stock
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Item 2(e) CUSIP Number: 904034 10 5
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Item 3 Not applicable.
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Item 4 Ownership
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Cusip No. 904034 10 5
Page 4 of 5
Item 4(a) Amount Beneficially Owned:
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1,984,228 Shares of Common Stock
Item 4(b) Percent of Class:
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9.8%
Item 4(c) Number of shares as to which such person has:
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(i) sole power to vote or to direct the vote:
1,984,228*
(ii) shared power to vote or to direct the vote:
None.
(iii) sole power to dispose or to direct the disposition of:
1,984,228* shares of Common Stock
(iv) shared power to dispose or to direct the disposition of:
None.
Item 5 Not applicable.
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Item 6 Not applicable.
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Item 7 Not applicable.
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Item 8 Not applicable.
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Item 9 Not applicable.
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*Includes 100,000 shares held by a charitable foundation in the name of the
"Zafiropoulo Family Foundation" established pursuant to Section 501(c)(3) of the
Internal Revenue Code of 1986, as amended, of which the Reporting Person has
voting or dispositive power only to the extent that he is on the board of
directors of the foundation. An option to purchase 1,000 shares of Common Stock
granted to a son of the Reporting Person, of which the Reporting Person does not
have voting or dispositive power is not included in these share numbers because
the son resides apart from the Reporting Person.
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PAGE 5 OF 5
Cusip No. 904034 10 5
Item 10 Certification: By signing below, I certify that, to the best of my
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knowledge and belief, the securities referred to above were acquired
in the ordinary course of business and were not acquired for the
purpose of and do not have the effect of changing or influencing the
control of the issuer of such securities and were not acquired in
connection with or as a participant in any transaction having such
purposes or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify
that the information set forth in this statement is true, complete and correct.
January 28, 1997
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/s/ Arthur W. Zafiropoulo
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Arthur W. Zafiropoulo
Chief Executive Officer
