FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
|||||||||||||||
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
BROOKS AUTOMATION INC [ BRKS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 04/12/2006 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 04/12/2006 | A | 5,000 | A | (1) | 7,220 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Stock Option (right to buy)(2) | $18.72 | 04/12/2006 | D | 10,000 | 10/01/2004(3) | 07/01/2011 | Common Stock | 10,000 | (1) | 0 | D | ||||
Non-Qualified Stock Option (right to buy)(4) | $23.67 | 04/12/2006 | D | 10,000 | 07/01/2003(5) | 07/01/2012 | Common Stock | 10,000 | (1) | 0 | D | ||||
Non-Qualified Stock Option (right to buy)(6) | $34.65 | 04/12/2006 | D | 15,000 | 05/13/2003(5) | 05/13/2012 | Common Stock | 15,000 | (1) | 0 | D | ||||
Non-Qualified Stock Option (right to buy)(7) | $45.77 | 04/12/2006 | D | 5,000 | 07/02/2002(5) | 07/02/2011 | Common Stock | 5,000 | (1) | 0 | D | ||||
Non-Qualified Stock Option (right to buy)(8) | $61.75 | 04/12/2006 | D | 5,000 | 07/03/2001(5) | 07/03/2010 | Common Stock | 5,000 | (1) | 0 | D | ||||
Non-Qualified Stock Option (right to buy)(9) | $39.75 | 04/12/2006 | D | 20,000 | 05/31/2001(10) | 05/31/2010 | Common Stock | 20,000 | (1) | 0 | D | ||||
Non-Qualified Stock Option (right to buy)(11) | $26.75 | 04/12/2006 | D | 4,000 | 07/01/2000(5) | 07/01/2009 | Common Stock | 4,000 | (1) | 0 | D | ||||
Non-Qualified Stock Option (right to buy)(12) | $20 | 04/12/2006 | D | 2,000 | 07/01/1998(5) | 07/01/2007 | Common Stock | 2,000 | (1) | 0 | D |
Explanation of Responses: |
1. On the date indicated in Table I, Column 2 and Table II, Column 3, the issuer cancelled, pursuant to a Restricted Stock and Option Cancellation Agreement, options granted to the reporting person. In exchange for the options and for $.01 per share, the reporting person received 5000 shares of restricted stock. |
2. Cancellation of option to buy the number of shares of Common Stock set forth in Table II, Column 7, granted to the reporting person on July 1, 2004. |
3. The cancelled option provided for vesting in 16 equal quarterly increments beginning on the date set forth in Table II, Column 6. |
4. Cancellation of option to buy the number of shares of Common Stock set forth in Table II, Column 7, granted to the reporting person on July 1, 2002. |
5. The cancelled option provided for vesting in five equal annual increments commencing on the date set forth in Table II, Column 6. |
6. Cancellation of option to buy the number of shares of Common Stock set forth in Table II, Column 7, granted to the reporting person on May 13, 2002. |
7. Cancellation of option to buy the number of shares of Common Stock set forth in Table II, Column 7, granted to the reporting person on July 2, 2001. |
8. Cancellation of option to buy the number of shares of Common Stock set forth in Table II, Column 7, granted to the reporting person on July 3, 2000. |
9. Cancellation of option to buy the number of shares of Common Stock set forth in Table II, Column 7, granted to the reporting person on May 31, 2000. |
10. The cancelled option provided for vesting in four equal annual increments commencing on the date set forth in Table II, Column 6. |
11. Cancellation of option to buy 4000 shares of Common Stock, granted to the reporting person on July 1, 1999. The original grant was for 5000 shares. On May 1, 2001, the reporting person exercised his option to purchase 1000 of the 5000 shares. 4000 shares remain outstanding with respect to this option. |
12. Cancellation of option to buy 2000 shares of Common Stock, granted to the reporting person on July 1, 1999. The original grant was for 5000 shares. On March 1, 2000, the reporting person exercised his option to purchase 2000 of the 5000 shares. On May 1, 2001, the reporting person exercised his option to purchase 1000 shares. 2000 shares remain outstanding with respect to this option. |
Remarks: |
/s/ By Thomas S. Grilk Attorney-in-Fact for Amin J. Khoury | 04/12/2006 | |
** 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 4 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |