SEC Form 4 · accession 0000909791-16-000071
ULTRATECH INC · UTEK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joel F Gemunder
Director
Period of report
May 31, 2016
Accepted (ET)
Jun 2, 2016 · 6:03 pm EDT
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 | May 31, 2016 | M | 8,000 | $13.51 | A | 65,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F2 | $13.51 | May 31, 2016 | M | 8,000 | D | — | Jul 17, 2016 | Common Stock | 8,000 | 0 | D |
Explanation of responses
- F1Includes 6,000 shares subject to a restricted stock award granted on July 21, 2015 that will vest in full upon the earlier of (i) the Reporting Person's completion of one year of Board service measured from the award date or (ii) the Reporting Person's continuation in Board service through the day immediately prior to the Issuer's next Annual Stockholders' meeting.
- F2The option became exercisable upon the Reporting Person's completion of one (1) year of Board service with the Issuer measured from the date of grant.