SEC Form 4/A · accession 0001407682-16-000312
RUDOLPH TECHNOLOGIES INC · RTEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Steven R Roth
Officer — Senior Vice President & CFO
Period of report
Feb 19, 2016
Accepted (ET)
Aug 3, 2016 · 11:54 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001094392
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 19, 2016 | D | 546 | $11.79 | D | 82,663 | D | |
| Common StockF2 | Feb 19, 2016 | A | 9,000 | $0.00 | A | 91,663 | D | |
| Common StockF1 | Feb 22, 2016 | D | 199 | $11.90 | D | 91,464 | D | |
| Common StockF1,F3 | Feb 22, 2016 | D | 257 | $11.90 | D | 91,207 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares withheld by Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units grants previously received by the Reporting Person.
- F2On January 28, 2015, the Compensation Committee of Rudolph Technologies' Board of Directors established targets for the award of performance-based Restricted Stock Units ("RSU's") such that the number of RSU's issued under the award would be contingent on the Company achieving certain revenue and non-GAAP operating income goals for fiscal year 2015 (the Metrics"). Effective upon the receipt of the Company's 2015 audited financial results from its independent auditors, a final determination of the number of performance-based RSU's to be awarded was made based on achievement against the 2015 Metrics. The awarded performance-based RSU's are still subject to a service requirement such that the award shall vest with respect to twenty percent (20%) of the shares subject to the award (rounded down to the next whole number of shares) on February 19, 2016 and on each of the subsequent four (4) years vesting annually on January 28.
- F3This filing is made solely to amend the Amount of Securities Beneficially Owned Following Reported Transaction on the Form 4 filed on 2/24/2016.