SEC Form 4 · accession 0001628280-15-000144
MATTSON TECHNOLOGY INC · MTSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Fusen Ernie Chen
Officer — President and CEO · Director
Period of report
Jan 15, 2015
Accepted (ET)
Jan 16, 2015 · 4:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000928421
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F1 | $3.29 | Jan 15, 2015 | A | 32,923 | A | Feb 15, 2015 | Jan 15, 2022 | Common Stock | 32,923 | 585,000 | D |
| Non-Qualified Stock Option (right to buy)F1 | $3.29 | Jan 15, 2015 | A | 77,077 | A | Feb 15, 2015 | Jan 15, 2022 | Common Stock | 77,077 | 552,077 | D |
| Restricted Stock Units (right to acquire)F2 | $0.00 | Jan 15, 2015 | A | 110,000 | A | Feb 20, 2015 | Jan 15, 2022 | Common Stock | 110,000 | 472,500 | D |
Explanation of responses
- F1This option was issued pursuant to the 2012 Equity Incentive Plan. This option will vest in 48 equal monthly installments, beginning with the first monthly anniversary from the option grant date, so long as the optionee remains an employee of the Company.
- F2This award was issued pursuant to the 2012 Equity Incentive Plan. This award is scheduled to vest in 16 quarterly installments, beginning with the first 1/16th of the award vesting on the 20th day of the second month of the quarter from the award grant date, and quarterly thereafter, so long as the awardee remains an employee of the Company.