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 |
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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)
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2. Issuer Name and Ticker or Trading Symbol
AUGUST TECHNOLOGY CORP [ AUGT ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/02/2004 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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 | 02/02/2004 | S(1) | 125 | D | $17.91 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 25 | D | $17.8 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 25 | D | $17.76 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 25 | D | $17.75 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 50 | D | $17.7 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 25 | D | $17.68 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 25 | D | $17.67 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 50 | D | $17.65 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 750 | D | $17.6 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 831 | D | $17.59 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 66 | D | $17.57 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 99 | D | $17.55 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 282 | D | $17.53 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 4,916 | D | $17.5 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 1,200 | D | $17.49 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 350 | D | $17.48 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 100 | D | $17.47 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 400 | D | $17.46 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 2,400 | D | $17.45 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 50 | D | $17.41 | 0 | D | |||
Common Stock | 02/02/2004 | S(1) | 350 | D | $17.34 | 0(10) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 | ||||||||
Stock Option (right to buy) | $0.5 | (2) | 07/31/2004 | Common Stock | 0 | 28,500 | D | ||||||||
Stock Option (right to buy) | $0.5 | 11/24/1997 | 11/24/2004 | Common Stock | 0 | 2,250 | D | ||||||||
Stock Option (right to buy) | $2.37 | (3) | 12/31/2006 | Common Stock | 0 | 60,000 | D | ||||||||
Stock Option (right to buy) | $12.938 | 12/29/2000 | 12/29/2007 | Common Stock | 0 | 2,275 | D | ||||||||
Stock Option (right to buy) | $12.938 | 12/29/2000 | 12/29/2007 | Common Stock | 0 | 4,621 | D | ||||||||
Stock Option (right to buy) | $12.375 | (4) | 08/28/2007 | Common Stock | 0 | 10,000 | D | ||||||||
Stock Option (right to buy) | $9.92 | 12/31/2001 | 04/12/2008 | Common Stock | 0 | 800 | D | ||||||||
Stock Option (right to buy) | $9.92 | 12/31/2001 | 04/12/2008 | Common Stock | 0 | 1,950 | D | ||||||||
Stock Option (right to buy) | $13.24 | (5) | 07/12/2008 | Common Stock | 0 | 5,000 | D | ||||||||
Stock Option (right to buy) | $10.05 | (6) | 12/07/2008 | Common Stock | 0 | 4,825 | D | ||||||||
Stock Option (right to buy) | $10.05 | (7) | 12/07/2008 | Common Stock | 0 | 175 | D | ||||||||
Stock Option (right to buy) | $9.63 | 01/22/2002 | 01/22/2009 | Common Stock | 0 | 10,000 | D | ||||||||
Stock Option (right to buy) | $4.7 | (8) | 07/18/2009 | Common Stock | 0 | 10,000 | D | ||||||||
Stock Option (right to buy) | $4.56 | 12/18/2002 | 12/18/2009 | Common Stock | 0 | 5,000 | D | ||||||||
Stock Option (right to buy) | $18.5 | (9) | 10/24/2010 | Common Stock | 0 | 15,000 | D |
Explanation of Responses: |
1. Sale effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 30, 2003. |
2. Original option (150,000 shares) exercisable in five annual increments of 30,000 shares beginning on July 31, 1997. |
3. Original option (60,000 shares) exercisable in five annual increments of 12,000 shares beginning on December 31, 2000. |
4. Original option (10,000 shares) exercisable in five annual increments of 2,000 shares beginning on August 28, 2001. |
5. Original option (5,000 shares) exercisable in five annual increments of 1,000 shares beginning on July 12, 2002. |
6. Original option (4,825 shares) exercisable in five annual increments of 965 shares beginning on December 7, 2002. |
7. Original option (175 shares) exercisable in five annual increments of 35 shares beginning on December 7, 2002. |
8. Original option (10,000 shares) exercisable in five annual increments of 2,000 shares beginning on July 18, 2002. |
9. Original option (15,000 shares) exercisable in five annual increments of 3,000 shares beginning on October 24, 2003. |
10. Additional February 2, 2004 transactions reportd on separate Form 4; this Form 4 is #2 of 2. |
Remarks: |
David L. Klenk | 02/04/2004 | |
** 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. |