SEC Form 4 · accession 0001628280-16-016188
MATTSON TECHNOLOGY INC · MTSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth G Smith
Director
Period of report
May 11, 2016
Accepted (ET)
May 11, 2016 · 7:56 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units (right to acquire) | May 11, 2016 | D | 26,375 | $3.80 | D | 28,625 | D | |
| Common Stock | May 11, 2016 | D | 28,625 | $3.80 | D | 0 | 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) | $2.12 | May 11, 2016 | D | 12,500 | D | May 28, 2015 | May 28, 2021 | Common Stock | 12,500 | 100,000 | D |
| Non-Qualified Stock Option (right to buy) | $2.14 | May 11, 2016 | D | 20,000 | D | Jul 29, 2014 | Jul 29, 2020 | Common Stock | 20,000 | 80,000 | D |
| Non-Qualified Stock Option (right to buy) | $0.88 | May 11, 2016 | D | 20,000 | D | Jul 31, 2013 | Jul 31, 2019 | Common Stock | 20,000 | 60,000 | D |
| Non-Qualified Stock Option (right to buy) | $1.77 | May 11, 2016 | D | 20,000 | D | Aug 1, 2012 | Aug 1, 2018 | Common Stock | 20,000 | 40,000 | D |
| Non-Qualified Stock Option (right to buy) | $3.09 | May 11, 2016 | D | 20,000 | D | Jul 26, 2011 | Jul 26, 2017 | Common Stock | 20,000 | 20,000 | D |
| Non-Qualified Stock Option (right to buy) | $1.29 | May 11, 2016 | D | 20,000 | D | Jun 8, 2010 | Jun 8, 2016 | Common Stock | 20,000 | 0 | D |
Explanation of responses
- F1Pursuant to the Merger Agreement, each restricted stock unit was converted into the right to receive cash, without interest, equal to $3.80.
- F2Pursuant to the Agreement and Plan of Merger providing for the merger of Dragon Acquisition Sub, Inc., an indirect subsidiary of Beijing E-town Dragon Semiconductor Industry Investment Center (Limited Partnership), with and into Mattson Technology, Inc., each share of Mattson's common stock will be cancelled and converted into the right to receive $3.80 in cash, without interest.
- F3Pursuant to the Merger Agreement, each option to purchase common stock was converted into the right to receive cash, without interest, equal to $3.80, less the per share exercise price.