SEC FORM 3

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Ghosh Dave

(Last)

(First)

(Middle)

3050 ZANKER ROAD

(Street)

SAN JOSE

95134

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
02/02/2016

3. Issuer Name and Ticker or Trading Symbol
ULTRATECH INC [ UTEK ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Senior Vice President, Global

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	8,118	D
Common Stock (1)	4,000⁽¹⁾	D
Common Stock (2)	6,000⁽²⁾	D
Common Stock (3)	7,680⁽³⁾	D
Common Stock (4)	9,600⁽⁴⁾	D
Common Stock (5)	2,600⁽⁵⁾	D
Common Stock (6)	7,600⁽⁶⁾	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Incentive Stock Option (right to buy)	12/31/2010⁽⁷⁾	02/07/2020	Common Stock	4,500	$12.25	D
Incentive Stock Option (right to buy)	12/31/2010⁽⁷⁾	04/25/2020	Common Stock	4,500	$15.65	D
Incentive Stock Option (right to buy)	12/31/2014⁽⁸⁾	10/26/2024	Common Stock	1	$17.3	D
Incentive Stock Option (right to buy)	12/31/2010⁽⁷⁾	10/25/2020	Common Stock	4,882	$18.65	D
Incentive Stock Option (right to buy)	12/31/2010⁽⁷⁾	07/25/2020	Common Stock	5,300	$18.92	D
Incentive Stock Option (right to buy)	12/31/2011⁽⁷⁾	10/23/2021	Common Stock	601	$22	D
Incentive Stock Option (right to buy)	12/31/2011⁽⁷⁾	01/30/2021	Common Stock	2,577	$22.53	D
Incentive Stock Option (right to buy)	12/31/2011⁽⁷⁾	07/24/2021	Common Stock	1,254	$27.75	D
Incentive Stock Option (right to buy)	12/31/2012⁽⁷⁾	10/21/2022	Common Stock	640	$28.92	D
Incentive Stock Option (right to buy)	12/31/2012⁽⁷⁾	07/22/2022	Common Stock	640	$30.12	D
Incentive Stock Option (right to buy)	12/31/2011⁽⁷⁾	04/25/2021	Common Stock	4,042	$30.91	D
Incentive Stock Option (right to buy)	12/31/2012⁽⁷⁾	04/22/2022	Common Stock	1,859	$31.24	D
Non-Qualified Stock Option (right to buy)	12/31/2014⁽⁸⁾	10/26/2024	Common Stock	3,749	$17.3	D
Non-Qualified Stock Option (right to buy)	12/31/2010⁽⁷⁾	10/25/2020	Common Stock	427	$18.65	D
Non-Qualified Stock Option (right to buy)	12/31/2011⁽⁷⁾	10/23/2021	Common Stock	9,149	$22	D
Non-Qualified Stock Option (right to buy)	12/31/2011⁽⁷⁾	01/30/2021	Common Stock	7,174	$22.53	D
Non-Qualified Stock Option (right to buy)	12/31/2014⁽⁸⁾	07/20/2024	Common Stock	3,750	$24.1	D
Non-Qualified Stock Option (right to buy)	12/31/2014⁽⁸⁾	02/02/2024	Common Stock	3,750	$25.31	D
Non-Qualified Stock Option (right to buy)	12/31/2014⁽⁸⁾	04/27/2024	Common Stock	3,750	$26.75	D
Non-Qualified Stock Option (right to buy)	12/31/2011⁽⁷⁾	07/24/2021	Common Stock	9,546	$27.75	D
Non-Qualified Stock Option (right to buy)	12/31/2012⁽⁷⁾	10/21/2022	Common Stock	12,800	$28.92	D
Non-Qualified Stock Option (right to buy)	12/31/2012⁽⁷⁾	07/22/2022	Common Stock	12,800	$30.12	D
Non-Qualified Stock Option (right to buy)	12/31/2011⁽⁷⁾	04/25/2021	Common Stock	6,758	$30.91	D
Non-Qualified Stock Option (right to buy)	12/31/2012⁽⁷⁾	04/22/2022	Common Stock	11,581	$31.24	D

Explanation of Responses:

1. Shares subject to RSUs which were originally scheduled to vest in a series of 100 equal monthly installments, subject to continued service, over the 100-month period measured from 1/1/10. These shares represent the remaining unvested portion of the award and are scheduled to vest over the final 40 months of the original vesting period. If vested, these shares will be issued on 5/31/18.

2. Shares subject to RSUs which were originally scheduled to vest in a series of 100 equal monthly installments, subject to continued service, over the 100-month period measured from 1/1/11. These shares represent the remaining unvested portion of the award and are scheduled to vest over the final 40 months of the original vesting period. If vested, these shares will be issued on 5/31/19.

3. Shares subject to RSUs which were originally scheduled to vest in a series of 100 equal monthly installments, subject to continued service, over the 100-month period measured from 1/1/12. These shares represent the remaining unvested portion of the award and are scheduled to vest over the final 52 months of the original vesting period. If vested, 2,880 of these shares will be issued on 1/1/17 and 4,800 will be issued on 5/31/20.

4. Shares subject to RSUs which were originally scheduled to vest in a series of 100 equal monthly installments, subject to continued service, over the 100-month period measured from 1/1/13. These shares represent the remaining unvested portion of the award and are scheduled to vest over the final 64 months of the original vesting period. If vested, 3,600 of these shares will be issued on 1/1/18 and 6,000 will be issued on 5/31/21.

5. Shares subject to RSUs which were originally scheduled to vest in a series of 50 equal monthly installments, subject to continued service, over the 50-month period measured from 1/1/14. These shares represent the remaining unvested portion of the award and are scheduled to vest over the final 26 months of the original vesting period. If vested, 1,200 of these shares will be issued on 1/1/17, 1,200 will be issued on 1/1/18 and 200 will be issued on 3/31/18.

6. Shares subject to RSUs which were originally scheduled to vest in a series of 50 equal monthly installments, subject to continued service, over the 50-month period measured from 11/1/14. These shares represent the remaining unvested portion of the award and are scheduled to vest over the final 38 months of the original vesting period. If vested, 2,400 of these shares will be issued on 11/30/16, 2,400 will be issued on 11/30/17, 2,400 will be issued on 11/30/18 and 400 will be issued on 1/31/19.

7. The option will become exercisable with respect to twelve percent (12%) of the option shares upon the Reporting Person's completion of one (1) year of service with the Issuer after the grant date and the balance of the option shares in eighty-eight (88) successive equal monthly installments upon the Reporting Person's completion of each month of service with the Issuer over the eighty-eight (88) month period measured from the first anniversary of the grant date.The first vesting dates are indicated above.

8. The option becomes exercisable in a series of successive installments over Reporting Person's continued period of service as follows: 24% of the option shares become exercisable upon completion of 12 months of service measured from date of grant, and the balance of the option shares become exercisable in a series of 38 equal monthly installments over the Reporting Person's continued period of service following the initial vesting date. The first vesting dates are indicated above.

	Dave Ghosh	02/11/2016
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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