UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 4)
*The remainder of this cover page shall be filled out for a reporting person's initial filing of 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).
SEC 1745 (2-95)
Page 1 of 6 Pages
CUSIP NO. 461148 10 8 13G PAGE 2 OF 6 PAGES
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
NORMAN HUGH POND AND NATALIE POND TRUST DTD 12/23/80
POND 1996 CHARITABLE REMAINDER UNITRUST
NORMAN H. POND AS AN INDIVIDUAL
NATALIE POND AS AN INDIVIDUAL
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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
USA
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5 SOLE VOTING POWER**
220,833
NUMBER OF --------------------------------------------------------
SHARES 6 SHARED VOTING POWER**
BENEFICIALLY
OWNED BY 884,691
EACH --------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER**
PERSON WITH
220,833
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8 SHARED DISPOSITIVE POWER**
884,691
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,105,524
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.2%
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12 TYPE OF REPORTING PERSON*
IN, OO
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**See explanation in Item 4.
*SEE INSTRUCTION BEFORE FILLING OUT
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CUSIP No. 461148 10 8 Page 3 of 6 Pages
ITEM 1.
(a) NAME OF ISSUER
Intevac, Inc.
(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES
3560 Bassett Street
Santa Clara, CA 95054-2704
ITEM 2.
(a) NAME OF PERSON FILING
Norman Hugh Pond and Natalie Pond Trust DTD 12/23/80
Pond 1996 Charitable Remainder Unitrust
Norman H. Pond as an individual
Natalie Pond as an individual
(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE
11635 Jessica Lane
Los Altos, CA 94024
(c) CITIZENSHIP
Norman H. Pond and Natalie Pond are U.S. citizens.
(d) TITLE OF CLASS OF SECURITIES
Common Stock
(e) CUSIP NUMBER
461148 10 8
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b),
CHECK WHETHER THE PERSON IS A:
Not applicable.
ITEM 4. OWNERSHIP
(a) AMOUNT BENEFICIALLY OWNED
1,105,524*
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CUSIP No. 461148 10 8 Page 4 of 6 Pages
(b) PERCENT OF CLASS
9.2%
(c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS:
(i) SOLE POWER TO VOTE OR TO DIRECT THE VOTE: 220,833*
(ii) SHARED POWER TO VOTE OR TO DIRECT THE VOTE: 884,691+
(iii) SOLE POWER TO DISPOSE OR DIRECT THE DISPOSITION OF:
220,833*
(iv) SHARED POWER TO DISPOSE OR DIRECT THE DISPOSITION OF:
884,691+
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*INCLUDES 163,333 SHARES ISSUABLE UPON THE EXERCISE BY NORMAN H. POND OF STOCK
OPTIONS TO PURCHASE SHARES OF COMMON STOCK WHICH ARE EXERCISABLE WITHIN 60 DAYS
OF DECEMBER 31, 2000 AND 40,000 SHARES HELD IN THE FORM OF A CONVERTIBLE
PROMISSORY NOTE.
+INCLUDES 818,100 SHARES HELD IN THE NORMAN HUGH POND AND NATALIE POND TRUST DTD
12/23/80, 37,500 SHARES HELD IN THE POND 1996 CHARITABLE REMAINDER UNITRUST AND
29,091 SHARES HELD IN THE FORM OF A CONVERTIBLE PROMISSORY NOTE. SHARED POWER
HELD BY BOTH TRUSTEES IN BOTH TRUSTS.
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.
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CUSIP No. 461148 10 8 Page 5 of 6 Pages
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.
Date: February 12, 2001 Norman Hugh Pond and Natalie Pond Trust DTD
12/23/80
By: /s/ Norman H. Pond
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Norman H. Pond, Trustee
By: /s/ Natalie Pond
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Natalie Pond, Trustee
Pond 1996 Charitable Remainder Unitrust
By: /s/ Norman H. Pond
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Norman H. Pond, Trustee
By: /s/ Natalie Pond
-----------------------------------------
Natalie Pond, Trustee
/s/ Norman H. Pond
--------------------------------------------
Norman H. Pond, individually
/s/ Natalie Pond
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Natalie Pond, individually
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CUSIP No. 461148 10 8 Page 6 of 6 Pages
AGREEMENT RELATING TO JOINT FILING OF SCHEDULE 13G
The undersigned hereby agree that a single Schedule 13G (or any
amendment thereto) in relation to the Common Stock of Intevac, Inc. shall be
filed on behalf of each of the undersigned and that this Agreement shall be
filed as an Exhibit to such Schedule 13G.
This Agreement and the filing of the Schedule 13G shall not be construed
to be an admission that any of the undersigned is a member of a "group"
consisting of one or more of such persons pursuant to Section 13(g) of the
Securities Exchange Act of 1934, as amended and the rules thereunder.
Date: February 12, 2001 Norman Hugh Pond and Natalie Pond Trust DTD
12/23/80
By: /s/ Norman H. Pond
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Norman H. Pond, Trustee
By: /s/ Natalie Pond
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Natalie Pond, Trustee
Pond 1996 Charitable Remainder Unitrust
By: /s/ Norman H. Pond
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Norman H. Pond, Trustee
By: /s/ Natalie Pond
-----------------------------------------
Natalie Pond, Trustee
/s/ Norman H. Pond
--------------------------------------------
Norman H. Pond, individually
/s/ Natalie Pond
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Natalie Pond, individually
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