SEC Form 4 · accession 0001140361-15-036776
ULTRATECH INC · UTEK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
CARLSON CAPITAL L P
10% Owner
Period of report
Oct 1, 2015
Accepted (ET)
Oct 5, 2015 · 11:41 am 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,F2 | Oct 1, 2015 | S | 100 | $15.72 | D | 3,301,621 | I | See Footnotes |
| Common StockF1,F2 | Oct 1, 2015 | S | 3,101 | $15.62 | D | 3,298,520 | I | See Footnotes |
| Common StockF1,F2 | Oct 1, 2015 | S | 8,603 | $15.60 | D | 3,289,917 | I | See Footnotes |
| Common StockF1,F2 | Oct 2, 2015 | S | 38,196 | $15.40 | D | 3,251,721 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares of Common Stock to which this relates are held directly by certain private funds and managed accounts (collectively, "Accounts") to which Carlson Capital, L.P., a Delaware limited partnership ("Carlson Capital"), serves as investment manager.
- F2Mr. Clint D. Carlson, a United States citizen, who serves as president of Carlson Capital, has the power to direct the affairs of Carlson Capital. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.