SEC Form 4 · accession 0001628280-16-016198

MATTSON TECHNOLOGY INC · MTSN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President and CEO · Director

Period of report

May 11, 2016

Accepted (ET)

May 11, 2016 · 9:04 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
Common Stock	May 11, 2016	G	70,000	$0.00	D	226,062	D
Common Stock	May 11, 2016	D	226,062	$3.80	D	0	D
Restricted Stock Units (right to acquire)	May 11, 2016	D	219,375	$3.80	D	0	D

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)	$1.37	May 11, 2016	D	126,560	D	Feb 19, 2014	Feb 19, 2020	Common Stock	126,560	458,440	D
Non-Qualified Stock Option (right to buy)	$1.37	May 11, 2016	D	13,839	D	May 19, 2013	Feb 19, 2020	Common Stock	13,839	444,601	D
Non-Qualified Stock Option (right to buy)	$2.49	May 11, 2016	D	52,083	D	Apr 20, 2014	Mar 20, 2021	Common Stock	52,083	392,518	D
Non-Qualified Stock Option (right to buy)	$2.49	May 11, 2016	D	16,667	D	May 20, 2016	Mar 20, 2021	Common Stock	16,667	375,851	D
Non-Qualified Stock Option (right to buy)	$3.29	May 11, 2016	D	34,374	D	Feb 16, 2015	Jan 15, 2022	Common Stock	34,374	341,477	D
Non-Qualified Stock Option (right to buy)	$3.29	May 11, 2016	D	42,703	D	May 15, 2016	Jan 15, 2022	Common Stock	42,703	298,774	D
Incentive Stock Option (right to buy)	$1.37	May 11, 2016	D	170,314	D	Feb 19, 2014	Feb 19, 2020	Common Stock	170,314	128,460	D
Incentive Stock Option (right to buy)	$1.37	May 11, 2016	D	64,287	D	May 19, 2016	Feb 19, 2020	Common Stock	64,287	64,173	D
Incentive Stock Option (right to buy)	$2.49	May 11, 2016	D	31,250	D	May 20, 2016	Mar 20, 2021	Common Stock	31,250	32,923	D
Incentive Stock Option (right to buy)	$3.29	May 11, 2016	D	32,923	D	May 15, 2016	Jan 15, 2022	Common Stock	32,923	0	D

F1On April 29, 2016, Mr. Chen made a bona fide gift of common stock.
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 restricted stock unit was converted into the right to receive cash equal to $3.80, subject to the same vesting terms and conditions as the original restricted stock unit grant.
F4Pursuant 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.
F5Pursuant to the Merger Agreement, each option to purchase common stock was converted into the right to receive cash equal to $3.80 less the per share exercise price, subject to the same vesting terms and conditions as the original option grant.