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