SEC Form 4 · accession 0000720500-17-000064
AMTECH SYSTEMS INC · ASYS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul J Van Der Wansem
Director
Period of report
Dec 13, 2017
Accepted (ET)
Dec 15, 2017 · 6:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000720500
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 13, 2017 | M | 4,113 | $7.15 | A | 276,739 | D | |
| Common Stock | Dec 13, 2017 | M | 8,227 | $6.08 | A | 284,966 | D | |
| Common Stock | Dec 13, 2017 | M | 6,000 | $5.75 | A | 290,966 | D | |
| Common StockF1 | Dec 13, 2017 | S | 11,459 | $9.99 | D | 279,507 | D | |
| Common StockF2 | Dec 14, 2017 | G | 6,583 | $0.00 | D | 272,924 | D | |
| Common StockF3 | holding | — | — | — | 30,277 | I | By Wife | |
| Common StockF4 | holding | — | — | — | 22,706 | I | By Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy) | $7.15 | Dec 13, 2017 | M | 4,113 | D | Jan 30, 2015 | Jun 3, 2020 | Common Stock | 4,113 | 0 | D |
| Stock Options (right to buy) | $6.08 | Dec 13, 2017 | M | 8,227 | D | Jan 30, 2015 | Nov 5, 2019 | Common Stock | 8,227 | 0 | D |
| Stock Options (right to buy)F5 | $5.75 | Dec 13, 2017 | M | 6,000 | D | Sep 18, 2017 | Mar 17, 2027 | Common Stock | 6,000 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $9.99 to $10.00, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2Bona fide gift to charitable foundation
- F3Mr. van der Wansem disclaims beneficial ownership in shares held by his wife.
- F4Mr. van der Wansem disclaims any beneficial ownership is shares held by the 1981 Van der Wansem Family Trust.
- F5One-third of the stock option granted vest on each of the first three anniversaries of the grant date.