SEC Form 4 · accession 0001628280-16-016200

MATTSON TECHNOLOGY INC · MTSN

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

Reporting owner

J Michael Dodson

Officer — COO and CFO

Period of report

May 11, 2016

Accepted (ET)

May 11, 2016 · 9:05 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
Common Stock	May 11, 2016	D	95,574	$3.80	D	0	D
Restricted Stock Units (right to acquire)	May 11, 2016	D	62,813	$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)	$2.79	May 11, 2016	D	31,722	D	Feb 6, 2013	Feb 6, 2019	Common Stock	31,722	593,278	D
Non-Qualified Stock Option (right to buy)	$0.8975	May 11, 2016	D	144,998	D	Jan 31, 2014	Oct 31, 2019	Common Stock	144,998	448,280	D
Non-Qualified Stock Option (right to buy)	$1.17	May 11, 2016	D	85,936	D	Apr 4, 2013	Mar 4, 2020	Common Stock	85,936	362,344	D
Non-Qualified Stock Option (right to buy)	$2.49	May 11, 2016	D	21,875	D	Apr 20, 2014	Mar 20, 2021	Common Stock	21,875	340,469	D
Non-Qualified Stock Option (right to buy)	$3.29	May 11, 2016	D	15,091	D	Feb 15, 2015	Jan 15, 2022	Common Stock	15,091	325,378	D
Non-Qualified Stock Option (right to buy)	$3.29	May 11, 2016	D	4,976	D	May 15, 2016	Jan 15, 2022	Common Stock	4,976	320,402	D
Incentive Stock Option (right to buy)	$1.14	May 11, 2016	D	150,000	D	Oct 11, 2012	Oct 11, 2018	Common Stock	150,000	170,402	D
Incentive Stock Option (right to buy)	$2.79	May 11, 2016	D	68,278	D	Feb 1, 2013	Feb 6, 2019	Common Stock	68,278	102,124	D
Incentive Stock Option (right to buy)	$0.8975	May 11, 2016	D	2	D	Jan 31, 2014	Oct 31, 2019	Common Stock	2	102,122	D
Incentive Stock Option (right to buy)	$1.17	May 11, 2016	D	13,021	D	Apr 4, 2013	Mar 4, 2020	Common Stock	13,021	89,101	D
Incentive Stock Option (right to buy)	$1.17	May 11, 2016	D	26,043	D	Jun 4, 2016	Mar 4, 2020	Common Stock	26,043	63,058	D
Incentive Stock Option (right to buy)	$2.49	May 11, 2016	D	4,166	D	Apr 20, 2014	Mar 20, 2021	Common Stock	4,166	58,892	D
Incentive Stock Option (right to buy)	$2.49	May 11, 2016	D	23,959	D	May 20, 2016	Mar 20, 2021	Common Stock	23,959	34,933	D
Incentive Stock Option (right to buy)	$3.29	May 11, 2016	D	2,095	D	Feb 15, 2015	Jan 15, 2022	Common Stock	2,095	32,838	D
Incentive Stock Option (right to buy)	$3.29	May 11, 2016	D	32,838	D	May 15, 2016	Jan 15, 2022	Common Stock	32,838	0	D

Explanation of responses

F1Pursuant 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.
F2Pursuant 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.
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.
F4Pursuant 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.