UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 5)
BROOKS AUTOMATION, INC. (BRKS)
(Name of Issuer)
Common Stock
(Title of Class of Securities)
114340102
(CUSIP Number)
David Nierenberg
The D3 Family Funds
19605 NE 8th Street
Camas, WA 98607
(360) 604-8600
With a copy to:
Henry Lesser, Esq.
DLA Piper Rudnick Gray Cary US LLP
2000 University Avenue
East Palo Alto, CA 94303
(650) 833-2000
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
June 30, 2006
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D and is filing this
schedule because of ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the
following box |_|.
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON
The D3 Family Fund, L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |X|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Washington
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
803,015 Common shares (1.1%)
-----------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 0
OWNED BY -----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 803,015
WITH -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
For the reporting person listed on this page, 803,015; for all
reporting persons as a group, 4,401,838 shares (5.9%)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.9%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
2
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON
The D3 Family Retirement Fund, L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |X|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Washington
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
0 common shares (0%)
-----------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 0
OWNED BY -----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0
WITH -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
For the reporting person listed on this page, 0; for all
reporting persons as a group, 4,401,838 shares (5.9%)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.9%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
3
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON
The D3 Children's Fund, L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |X|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Washington
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
0 common shares (0%)
-----------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 0
OWNED BY -----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0
WITH -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
For the reporting person listed on this page, 0; for all
reporting persons as a group, 4,401,838 shares (5.9%)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.9%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
4
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON
The DIII Offshore Fund, L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |X|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Bahamas
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
1,045,998 common shares (1.4%)
-----------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 0
OWNED BY -----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 1,045,998
WITH -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
For the reporting person listed on this page, 1,045,998; for
all reporting persons as a group, 4,401,838 shares (5.9%)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.9%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON
The D3 Family Bulldog Fund, L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |X|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Washington
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
2,552,825 common shares (3.4%)
-----------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 0
OWNED BY -----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 2,552,825
WITH -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
For the reporting person listed on this page, 2,552,825; for
all reporting persons as a group, 4,401,838 shares (5.9%)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.9%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
6
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON
Nierenberg Investment Management Company, Inc.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |X|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Washington
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
0
-----------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 4,401,838 shares (5.9%)
OWNED BY -----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0
WITH -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
4,401,838
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
For the reporting person listed on this page, 4,401,838; for
all reporting persons as a group, 4,401,838 shares (5.9%)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.9%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
7
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON
Nierenberg Investment Management Offshore, Inc.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |X|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Bahamas
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
0
-----------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 1,045,998 common shares (1.4%)
OWNED BY -----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0
WITH -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
1,045,998 common shares
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
For the reporting person listed on this page, 1,045,998; for
all reporting persons as a group, 4,401,838 shares (5.9%)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.9%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
8
This Amendment No. 5 to Schedule 13D (this "Amendment") amends the
below-indicated items from the Schedule 13D previously filed by or on behalf of
the undersigned parties (the "Reporting Persons"), as previously amended (the
"Schedule 13D"), by supplementing such Items with the information below:
Item 2. Identity and Background
The D3 Funds, which are identified in response to Item 4, are Washington
State limited partnerships (except for the DIII Offshore Fund, L.P., which is a
Bahamian limited partnership). The D3 Funds are filing this Amendment, together
with: Nierenberg Investment Management Company, Inc., a Washington State
corporation, which is the general partner of all of the D3 Funds except the DIII
Offshore Fund, L.P.; and Nierenberg Investment Management Offshore, Inc., a
Bahamian corporation, which is the general partner of the DIII Offshore Fund,
L.P., and is a wholly-owned subsidiary of Nierenberg Investment Management
Company, Inc.
Item 3. Source and Amount of Funds or Other Consideration
Reference is made to Item 4 of this Amendment, which is incorporated by
reference in response to this Item.
Item 4. Purpose of Transaction
Effective June 30, 2006, four of the D3 Funds, namely (i) the D3 Family
Fund, L.P., (ii) the D3 Bulldog Fund, L.P., (iii) the D3 Children's Fund, L.P.,
and (iv) the D3 Family Retirement Fund, L.P., (collectively the "Participating
Funds") effected a consolidation of their respective assets and operations (the
"Consolidation"). The Consolidation was implemented through a series of
simultaneous transactions approved by the constituent partners of each of the
Participating Funds, including the following: (i) approximately 80% of the fair
market value of the assets of D3 Family Fund were transferred and contributed to
D3 Bulldog Fund; (ii) all of the assets of D3 Children's Fund were transferred
and contributed in separate parts to each of D3 Bulldog Fund and D3 Family Fund;
and (iii) all of the assets of D3 Retirement Fund were transferred and
contributed in separate parts to each of D3 Bulldog Fund and D3 Family Fund. To
the extent the transferred and contributed assets of the Participating Funds
consisted of any shares of the class previously reported on the Schedule 13D as
being beneficially owned by any such Participating Fund (the "Shares"), for all
purposes and transactions involved in the Consolidation the Shares were valued
at fair market value as represented by the (closing price) as at June 30, 2006
and treated as having been re-allocated internally amongst the Participating
Funds at the fair market value.
As a result of the Consolidation, each of D3 Children's Fund and D3
Retirement Fund no longer beneficially owns any Shares, and correspondingly, the
number of Shares owned beneficially by each of D3 Family Fund and D3 Bulldog
Fund has increased. After giving effect to the Consolidation, the aggregate
beneficial ownership of Shares by the Participating Funds and their respective
general partners has not changed. Further, the Consolidation did not include or
involve the fifth fund, DIII Offshore Fund, L.P. Accordingly, after giving
effect to the Consolidation, the aggregate beneficial ownership of Shares on the
part of all filing persons as a group has not changed.
9
Also see Item 5 of this Amendment.
Item 5. Interest in Securities of the Issuer.
(a, b) The Reporting Persons, in the aggregate, beneficially own 4,401,838
common shares, constituting approximately 5.9% of the outstanding Shares.
(c) During the past sixty (60) days, preceding the consummation of the
Consolidation, the following purchases of Shares were made by D3 Family Funds in
open market transactions:
10
Fund Transaction Date Shares Bought Price
---- ---------------- ------------- -----
D3 Family Fund, L.P. 5/31/2006 1,500 11.99
D3 Family Fund, L.P. 5/30/2006 27,700 11.93
D3 Family Fund, L.P. 5/24/2006 14,000 11.86
D3 Family Fund, L.P. 5/23/2006 34,800 12.11
D3 Family Fund, L.P. 5/22/2006 18,900 12.21
D3 Family Fund, L.P. 5/19/2006 21,000 12.27
D3 Family Fund, L.P. 5/11/2006 18,000 14.35
D3 Family Fund, L.P. 5/8/2006 42,600 14.79
D3 Family Bulldog Fund, L.P. 6/23/2006 2,500 11.00
D3 Family Bulldog Fund, L.P. 6/13/2006 5,000 11.30
D3 Family Bulldog Fund, L.P. 6/12/2006 25,000 11.52
D3 Family Bulldog Fund, L.P. 6/8/2006 4,000 11.73
D3 Family Bulldog Fund, L.P. 6/5/2006 2,000 11.99
D3 Family Bulldog Fund, L.P. 5/30/2006 9,000 11.93
D3 Family Bulldog Fund, L.P. 5/24/2006 4,000 11.86
D3 Family Bulldog Fund, L.P. 5/23/2006 13,000 12.11
D3 Family Bulldog Fund, L.P. 5/22/2006 5,500 12.21
D3 Family Bulldog Fund, L.P. 5/19/2006 13,000 12.27
D3 Family Bulldog Fund, L.P. 5/11/2006 6,000 14.35
D3 Family Bulldog Fund, L.P. 5/8/2006 30,300 14.79
D3 Family Retirement Fund, L.P. 5/30/2006 9,500 11.93
D3 Family Retirement Fund, L.P. 5/24/2006 4,500 11.86
D3 Family Retirement Fund, L.P. 5/23/2006 12,000 12.11
D3 Family Retirement Fund, L.P. 5/22/2006 5,500 12.21
D3 Family Retirement Fund, L.P. 5/19/2006 10,000 12.27
D3 Family Retirement Fund, L.P. 5/11/2006 6,000 14.35
D3 Family Retirement Fund, L.P. 5/8/2006 64,600 14.79
D3 Children's Fund, L.P. 5/30/2006 2,500 11.93
D3 Children's Fund, L.P. 5/24/2006 1,200 11.86
D3 Children's Fund, L.P. 5/23/2006 3,200 12.11
D3 Children's Fund, L.P. 5/22/2006 1,600 12.21
D3 Children's Fund, L.P. 5/19/2006 1,100 12.27
D3 Offshore Fund, L.P. 6/27/2006 300 11.00
D3 Offshore Fund, L.P. 6/9/2006 23,000 11.72
D3 Offshore Fund, L.P. 6/8/2006 21,000 11.73
D3 Offshore Fund, L.P. 6/7/2006 48,500 12.12
D3 Offshore Fund, L.P. 6/7/2006 25,000 12.05
D3 Offshore Fund, L.P. 5/30/2006 13,800 11.93
D3 Offshore Fund, L.P. 5/24/2006 6,300 11.86
D3 Offshore Fund, L.P. 5/23/2006 12,000 12.11
D3 Offshore Fund, L.P. 5/22/2006 8,500 12.21
D3 Offshore Fund, L.P. 5/19/2006 12,400 12.27
D3 Offshore Fund, L.P. 5/11/2006 9,538 14.35
11
As a result of the Consolidation, including any internal re-allocation of Shares
amongst the Participating Funds as described in Item 4 of this Amendment (which
is incorporated by reference in response to this Item 5), the following
transfers of Shares among the D3 Family Funds may be deemed to have occurred,
the transaction date of all such transfers being June 30, 2006.
D3 Children's Fund: transferred 168,460 Shares, constituting all of its
Shares
D3 Retirement Fund: transferred 652,850 Shares, constituting all of its
Shares
D3 Family Fund: number of Shares decreased from 1,894,532 to 803,015
representing approximately 1.1% of the outstanding Shares
D3 Bulldog Fund: number of Shares increased from 639,998 to 2,552,825
representing approximately 3.4% of the outstanding Shares
(d) On June 30, 2006, D3 Children's Fund and D3 Retirement Fund ceased to
be the direct beneficial owners of any Shares and ceased to be members of a
filing group with the other three Funds.
Item 6. Contracts, Arrangements, Understandings or Relationships with the Issuer
Exhibit 1 to this Amendment is hereby incorporated by reference in
response to this item.
Also see Item 4 of this Amendment.
Item 7. Material to be filed as Exhibits
Exhibit 1 to this Amendment is the form of document used to effect the
transfer of (among other assets) Shares pursuant to the consolidation.
Exhibit 2 to this Amendment is the joint filing agreement pursuant to
which all of the filing persons have authorized the filing of this Amendment as
a group.
12
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, each of the
undersigned certifies that the information set forth in the Statement is true,
complete and correct.
D3 Family Fund, L.P., D3 Bulldog Fund,
L.P., D3 Children's Fund, L.P., and D3
Family Retirement Fund, L.P.
By: Nierenberg Investment Management
Company, Inc.
Its: General Partner
July 05, 2006 By: /s/ David Nierenberg
-----------------------------------------
David Nierenberg, President
DIII Offshore Fund, L.P.
By: Nierenberg Investment Management
Offshore, Inc.
Its: General Partner
July 05, 2006 By: /s/ David Nierenberg
--------------------------------------
David Nierenberg, President
Nierenberg Investment Management
Company, Inc.
July 05, 2006 By: /s/ David Nierenberg
-----------------------------------------
David Nierenberg, President
Nierenberg Investment Management
Offshore, Inc.
July 05, 2006 By: /s/ David Nierenberg
-----------------------------------------
David Nierenberg, President
13