SEC Form 4 · accession 0001628280-15-008954
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
Nov 20, 2015
Accepted (ET)
Nov 23, 2015 · 7:32 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 | Nov 20, 2015 | M | 13,125 | $0.00 | A | 235,685 | D | |
| Common StockF1 | Nov 20, 2015 | F | 6,848 | $0.00 | D | 228,837 | 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 | $0.00 | Nov 20, 2015 | M | 13,125 | D | Nov 20, 2015 | — | Restricted Stock Units (right to acquire) | 13,125 | 326,250 | 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.
- F3Not applicable.