0000909791-17-000030.txt : 20170516 0000909791-17-000030.hdr.sgml : 20170516 20170516112927 ACCESSION NUMBER: 0000909791-17-000030 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170511 FILED AS OF DATE: 20170516 DATE AS OF CHANGE: 20170516 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ULTRATECH INC CENTRAL INDEX KEY: 0000909791 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 943169580 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3050 ZANKER RD CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 4083218835 MAIL ADDRESS: STREET 1: 3050 ZANKER RD CITY: SAN JOSE STATE: CA ZIP: 95134 FORMER COMPANY: FORMER CONFORMED NAME: ULTRATECH STEPPER INC DATE OF NAME CHANGE: 19930727 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ghosh Dave CENTRAL INDEX KEY: 0001666084 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22248 FILM NUMBER: 17847604 MAIL ADDRESS: STREET 1: 3050 ZANKER ROAD CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2017-05-11 0 0000909791 ULTRATECH INC UTEK 0001666084 Ghosh Dave 3050 ZANKER ROAD SAN JOSE CA 95134 0 1 0 0 Senior Vice President, Global Common Stock 2017-05-11 4 M 0 2999 17.3 A 74671 D Common Stock 2017-05-11 4 S 0 2999 30.5656 D 71672 D Common Stock 2017-05-11 4 M 0 1 17.3 A 71673 D Common Stock 2017-05-11 4 S 0 1 30.5656 D 71672 D Common Stock 2017-05-11 4 M 0 3000 24.1 A 74672 D Common Stock 2017-05-11 4 S 0 3000 30.5656 D 71672 D Common Stock 2017-05-11 4 M 0 3000 26.75 A 74672 D Common Stock 2017-05-11 4 S 0 3000 30.5656 D 71672 D Common Stock 2017-05-11 4 M 0 3000 25.31 A 74672 D Common Stock 2017-05-11 4 S 0 3000 30.5656 D 71672 D Common Stock 2017-05-11 4 M 0 7680 28.92 A 79352 D Common Stock 2017-05-11 4 S 0 7680 30.5656 D 71672 D Common Stock 2017-05-11 4 M 0 6700 30.12 A 78372 D Common Stock 2017-05-11 4 S 0 6700 30.65 D 71672 D Incentive Stock Option (right to buy) 17.3 2017-05-11 4 M 0 1 0.0 D 2014-12-31 2024-10-26 Common Stock 1 0 D Non-Qualified Stock Option (right to buy) 17.3 2017-05-11 4 M 0 2999 0.0 D 2014-12-31 2024-10-26 Common Stock 2999 750 D Non-Qualified Stock Option (right to buy) 24.1 2017-05-11 4 M 0 3000 0.0 D 2014-12-31 2024-07-20 Common Stock 3000 750 D Non-Qualified Stock Option (right to buy) 25.31 2017-05-11 4 M 0 3000 0.0 D 2014-12-31 2024-02-02 Common Stock 3000 750 D Non-Qualified Stock Option (right to buy) 26.75 2017-05-11 4 M 0 3000 0.0 D 2014-12-31 2024-04-27 Common Stock 3000 750 D Non-Qualified Stock Option (right to buy) 28.92 2017-05-11 4 M 0 7680 0.0 D 2012-12-31 2022-10-21 Common Stock 7680 5120 D Non-Qualified Stock Option (right to buy) 30.12 2017-05-11 4 M 0 6700 0.0 D 2012-12-31 2022-07-22 Common Stock 6700 5120 D Includes 49,520 shares subject to outstanding and unvested restricted stock units that are payable, upon vesting, in Issuer common stock Represents the weighted average sale price per share. The actual sale prices ranged from a low of $30.55 per share to a high of $30.65 per share. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer full information regarding the number of shares sold at each separate price. 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. 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. Dave Ghosh 2017-05-15