SEC Form 4 · accession 0001654954-18-005607
ACM Research, Inc. · ACMR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Fufa Chen
Officer — See Remarks
Period of report
Jan 31, 2018
Accepted (ET)
May 17, 2018 · 4:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001680062
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Jan 31, 2018 | M | 33,334 | $0.75 | A | 106,668 | D | |
| Class A Common Stock | Jan 31, 2018 | M | 22,915 | $1.50 | A | 129,583 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF3 | $0.75 | Jan 31, 2018 | M | 33,334 | D | — | May 1, 2021 | Class A Common Stock | 33,334 | 0 | D |
| Stock OptionF4 | $1.50 | Jan 31, 2018 | M | 22,915 | D | — | May 1, 2025 | Class A Common Stock | 22,915 | 10,419 | D |
Explanation of responses
- F1On January 31, 2018, the reporting person exercised previously issued stock options to purchase 33,334 shares of Class A Common Stock of the Issuer.
- F2On January 31, 2018, the reporting person exercised previously issued stock options to purchase 22,915 shares of Class A Common Stock of the Issuer.
- F3The option was fully vested and exercisable.
- F4The option vested and became exercisable as to 8,333 shares on May 1, 2016 and the remaining 25,001 shares vest and become exercisable in equal monthly installments over the following 36 months, subject to continued service through each vesting date.
Remarks
Vice President, Marketing of ACM Research (Shanghai), Inc., a subsidiary of the Issuer