SEC Form 4 · accession 0001628280-15-000957
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
Feb 19, 2015
Accepted (ET)
Feb 23, 2015 · 8:29 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000928421
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 19, 2015 | M | 93,750 | $0.00 | A | 233,209 | D | |
| Common StockF1 | Feb 19, 2015 | F | 35,231 | $0.00 | D | 197,978 | D | |
| Common Stock | Feb 20, 2015 | M | 13,125 | $0.00 | A | 211,103 | D | |
| Common StockF1 | Feb 20, 2015 | F | 4,931 | $0.00 | D | 206,172 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units (right to acquire)F2,F3,F4 | $0.00 | Feb 19, 2015 | M | 93,750 | D | — | — | Restricted Stock Units (right to acquire) | 93,750 | 378,750 | D |
| Restricted Stock Units (right to acquire)F2,F5,F4 | $0.00 | Feb 20, 2015 | M | 13,125 | D | — | — | Restricted Stock Units (right to acquire) | 13,125 | 365,625 | D |
Explanation of responses
- F1The reported shares were withheld to cover the Reporting Person's tax liability in connection with the vesting of restricted stock units, or RSUs.
- F2Each restricted stock unit represents a contingent right to receive one share of MTSN common stock.
- F3This award was issued pursuant to the 2012 Equity Incentive Plan. This award is scheduled to vest in 4 annual installments from the vesting commencement date so long as the awardee remains an employee of the Company.
- F4Not applicable.
- F5This award was issued pursuant to the 2012 Equity Incentive Plan. This award is scheduled to vest in sixteen equal quarterly installments starting from the second month anniversary of the award grant date, so long as the awardee remains an employee of the Company.