SEC Form 4 · accession 0000909791-15-000004
ULTRATECH INC · UTEK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arthur W Zafiropoulo
Officer — Chairman of the Board and CEO · Director
Period of report
Jan 30, 2015
Accepted (ET)
Feb 3, 2015 · 5:11 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000909791
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 30, 2015 | F | 3,170 | $15.94 | D | 1,027,079 | D | |
| Common StockF2 | Jan 30, 2015 | F | 3,170 | $15.94 | D | 1,023,909 | D | |
| Common StockF3 | Jan 30, 2015 | F | 3,170 | $15.94 | D | 1,020,739 | D | |
| Common StockF4 | Jan 30, 2015 | F | 3,170 | $15.94 | D | 1,017,569 | D | |
| Common StockF5 | Jan 30, 2015 | F | 3,382 | $15.94 | D | 1,014,187 | D | |
| Common StockF6 | Jan 30, 2015 | F | 3,382 | $15.94 | D | 1,010,805 | D | |
| Common StockF7 | Jan 30, 2015 | F | 3,382 | $15.94 | D | 1,007,423 | D | |
| Common StockF8 | Jan 30, 2015 | F | 5,979 | $15.94 | D | 1,001,444 | D | |
| Common StockF9 | Jan 30, 2015 | F | 5,979 | $15.94 | D | 995,465 | D | |
| Common StockF10 | Jan 30, 2015 | F | 1,521 | $15.94 | D | 993,944 | D | |
| Common StockF11 | Jan 30, 2015 | F | 1,521 | $15.94 | D | 992,423 | D | |
| Common StockF12 | Jan 30, 2015 | F | 1,494 | $15.94 | D | 990,929 | D | |
| Common StockF13,F14 | Jan 30, 2015 | F | 1,494 | $15.94 | D | 989,435 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 9,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 30, 2015, pursuant to a restricted stock unit award granted January 31, 2011.
- F10Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 3,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 30, 2015, pursuant to a restricted stock unit award granted February 3, 2014.
- F11Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 3,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 30, 2015, pursuant to a restricted stock unit award granted April 28, 2014.
- F12Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 3,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 30, 2015, pursuant to a restricted stock unit award granted July 21, 2014.
- F13Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 3,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 30, 2015, pursuant to a restricted stock unit award granted October 27, 2014.
- F14Includes (i) 6,000 shares, (ii) 33,600 shares, (iii) 52,000 shares, and (iv) 38,000 shares, each subject to RSUs granted in 2011, 2012, 2013, and 2014, respectively. The RSUs vest in equal increments upon completion of each month of service over 50 months from the grant date. The underlying shares will be issued on January 31 following the year they vest (or in March 2015, 2016, 2017, or 2017, respectively, for the 2 monthly installments that vest in the final year).
- F2Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 9,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 30, 2015, pursuant to a restricted stock unit award granted April 26, 2011.
- F3Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 9,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 30, 2015, pursuant to a restricted stock unit award granted July 25, 2011.
- F4Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 9,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 30, 2015, pursuant to a restricted stock unit award granted October 24, 2011.
- F5Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 9,600 shares of the Issuer's common stock that became issuable to the Reporting Person on January 30, 2015, pursuant to a restricted stock unit award granted April 23, 2012.
- F6Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 9,600 shares of the Issuer's common stock that became issuable to the Reporting Person on January 30, 2015, pursuant to a restricted stock unit award granted July 23, 2012.
- F7Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 9,600 shares of the Issuer's common stock that became issuable to the Reporting Person on January 30, 2015, pursuant to a restricted stock unit award granted October 22, 2012.
- F8Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 12,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 30, 2015, pursuant to a restricted stock unit award granted July 22, 2013.
- F9Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 12,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 30, 2015, pursuant to a restricted stock unit award granted October 21, 2013.