-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Q/uUlwC9zc+GOOeh7IpOi7BJnclCDuMZHcSM/pAydA/VevooFOflbTCUzIezvmNQ VXUF1FnAssQYe3/7HKrrzg== 0001134619-03-000001.txt : 20030204 0001134619-03-000001.hdr.sgml : 20030204 20030204160434 ACCESSION NUMBER: 0001134619-03-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030131 FILED AS OF DATE: 20030204 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ENTEGRIS INC CENTRAL INDEX KEY: 0001101302 STANDARD INDUSTRIAL CLASSIFICATION: PLASTICS PRODUCTS, NEC [3089] IRS NUMBER: 411941551 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30789 FILM NUMBER: 03538716 BUSINESS ADDRESS: STREET 1: 3500 LYMAN BOULEVARD CITY: CHASKA STATE: MN ZIP: 55318 BUSINESS PHONE: 6125563131 MAIL ADDRESS: STREET 1: 3500 LYMAN BOULEVARD CITY: CHASKA STATE: MN ZIP: 55318 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: DAUWALTER JAMES E CENTRAL INDEX KEY: 0001134619 RELATIONSHIP: DIRECTOR IRS NUMBER: 411941551 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 3500 LYMAN BOULEVARD CITY: CHASKA STATE: MN ZIP: 55318 BUSINESS PHONE: 9525563131 MAIL ADDRESS: STREET 2: 3500 LYMAN BLVD CITY: CHASKA STATE: MN ZIP: 55318 4 1 edgar.htm 4 Form 4

FORM 4

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

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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).

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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Filed By
Romeo and Dye's
Section 16 Filer
www.section16.net

1. Name and Address of Reporting Person*

Dauwalter, James E.

2. Issuer Name and Ticker or Trading Symbol
Entegris, Inc. (ENTG)

6. Relationship of Reporting Person(s)
to Issuer (Check all applicable)
X Director                                       10% Owner
X Officer (give title below)          Other (specify below)

Chief Executive Officer, President, and Director  

(Last)      (First)     (Middle)

3500 Lyman Boulevard
 

3. I.R.S. Identification Number
of Reporting Person,
if an entity (voluntary)

 

4. Statement for
Month/Day/Year
January 31, 2003

(Street)

Chaska, MN 55318

5. If Amendment,
Date of Original
(Month/Day/Year)
 		 7. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
    Form filed by More than One Reporting Person

(City)     (State)     (Zip)

Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security
(Instr. 3)

2. Trans-
action
Date
(Month/ Day/
Year)

2A. Deemed
Execution
Date,
if any
(Month/Day/
Year)

3. Trans-
action Code
(Instr. 8)

4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 & 5)

5. Amount of
Securities
Beneficially
Owned Follow-
ing Reported Transactions(s)
(Instr. 3 & 4)

6. Owner-
ship 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

01/31/03

 

G

V

339,355

A

N/A

654,692

D

by trust

Common Stock

 

 

 

 

 

 

 

15,000

I

by Security Charitable Remainder Trust

Common Stock

01/31/03

 

G

V

339,355

A

 

 

 

 

Common Stock

01/31/03

 

G

V

339,355

D

N/A

0

D

by GRAT(1)

Common Stock

01/31/03

 

G

V

76,355

A

N/A

76,355

D

by GRAT II(1)

Common Stock

01/31/03

 

G

V

77,768

A

N/A

718,101

I

by family members

Common Stock

01/31/03

 

G

V

339,355

D

N/A

 

 

 

Common Stock

01/31/03

 

G

V

339,355

D

N/A

 

 

 

Common Stock

01/31/03

 

G

V

76,355

D

N/A

 

 

 

Common Stock

01/31/03

 

G

V

76,355

D

N/A

 

 

 

Common Stock

01/31/03

 

G

V

16,968

D

N/A

1,401,612

I

by Carville Company, LP(2)

Common Stock

01/31/03

 

G

V

339,355

A

N/A

 

 

 

Common Stock

01/31/03

 

G

V

77,768

D

N/A

261,587

I

by Judith Dauwalter GRAT(1)

Common Stock

01/31/03

 

G

V

76,355

A

N/A

76,355

I

by Judith Dauwalter GRAT II(1)

Common Stock

 

 

 

 

 

600,000

I

by Carville Company II, LP(3)

Common Stock

01/31/03

 

G

V

16,968

A

N/A

16,968

I

JJD Industries, LLC(4)

Common Stock

 

 

 

 

 

 

 

50,354

I

by family foundation

Common Stock

 

 

 

 

 

 

 

280,161

I

by ESOP
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).

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 control number
FORM 4 (continued)

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. Conver-
sion or
Exercise
Price of Derivative Security

3. Trans-
action Date

(Month/
Day/
Year)

3A. Deemed
Execution
Date,
if any
(Month/
Day/
Year)

4. Trans-
action
Code

(Instr. 8)

5. Number of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4 & 5)

6. Date Exercisable
and Expiration
Date
(Month/Day/
Year)

7. Title and Amount of Underlying Securities
(Instr. 3 & 4)

8. Price of Derivative Security
(Instr. 5)

9. Number of
Derivative
Securities
Beneficially
Owned
Following
Reported Transaction(s)
(Instr. 4)

10. Owner-
ship Form
of Deriv-
ative
Security:
Direct (D)
or Indirect (I)
(Instr. 4)

11. Nature of Indirect Beneficial Ownership
(Instr. 4)

Code

V

(A)

(D)

Date Exer-cisable

Expira-
tion
Date

Title

Amount or Number of
Shares

Stock Option (Right to Buy)

$3.15

 

 

 

 

 

 

 (5)

12/11/07

Common Stock

294,574

 

294,574

D

 

Stock Option (Right to Buy)

$3.15

 

 

 

 

 

 

 (6)

2/11/08

Common Stock

220,006

 

200,006

D

 

Stock Option (Right to Buy)

$9.63

 

 

 

 

 

 

 (7)

9/18/10

Common Stock

30,000

 

30,000

D

 

Stock Option (Right to Buy)

$9.63

 

 

 

 

 

 

 (8)

9/18/10

Common Stock

35,000

 

35,000

D

 

Stock Option (Right to Buy)

$8.38

 

 

 

 

 

 

 (9)

11/26/10

Common Stock

90,000

 

90,000

D

 

Stock Option (Right to Buy)

$11.00

 

 

 

 

 

 

 (10)

7/11/10

Common Stock

300

 

300

D

 

Stock Option (Right to Buy)

$8.04

 

 

 

 

 

 

 (11)

10/15/11

Common Stock

135,000

 

135,000

D

 

Stock Option (Right to Buy)

$5.90

 

 

 

 

 

 

 (12)

10/15/12

Common Stock

130,000

 

130,000

D

 

Explanation of Responses:

(1) This is a grantor retained annuity trust and was formed as part of a series of transactions for estate planning purposes.
(2) Carville Company, LP was formed as part of a series of transactions for estate planning purposes.
(3) Carville Company II, LP was formed as part of a series of transactions for estate planning purposes.
(4) JJD Industries, LLC was formed as part of a series of transactions for estate planning purposes.
(5) 100% vested.
(6) 100% vested.
(7) 15,000 shares vested; an additional 7,500 shares will vest on each of August 19, 2003 and 2004.
(8) 17,500 shares are exercisable; an additional 8,750 shares will vest on each of July 10, 2003 a nd 2004.
(9) 45,000 shares are exercisable; an additional 22,500 shares will vest on each of November 27, 2003 and 2004.
(10) 100% vested.
(11) 33,750 shares are exercisable; an additional 33,750 shares will become exercisable on each of October 15, 2003, 2004, and 2005.
(12) This option will become exercisable with respect to 25% of the shares on each of October 15, 2003, 2004, 2005, and 2006.
  By: /s/ Lori Cameron
             Attorney-in-Fact for James E. Dauwalter
**Signature of Reporting Person		 February 4, 2003
Date

**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.

 
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