SEC Form 4 · accession 0001628280-16-016202
MATTSON TECHNOLOGY INC · MTSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tyler Wayne Purvis
Officer — Chief Accounting Officer
Period of report
May 11, 2016
Accepted (ET)
May 11, 2016 · 9:07 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 | 40,611 | $3.80 | D | 0 | D | |
| Restricted Stock Units (right to acquire) | May 11, 2016 | D | 39,063 | $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) | $1.17 | May 11, 2016 | D | 28,208 | D | Apr 4, 2013 | Mar 4, 2020 | Common Stock | 28,208 | 226,792 | D |
| Non-Qualified Stock Option (right to buy) | $2.49 | May 11, 2016 | D | 5,625 | D | Apr 20, 2014 | Mar 20, 2021 | Common Stock | 5,625 | 221,167 | D |
| Incentive Stock Option (right to buy) | $2.73 | May 11, 2016 | D | 40,000 | D | Mar 14, 2013 | Mar 14, 2019 | Common Stock | 40,000 | 181,167 | D |
| Incentive Stock Option (right to buy) | $0.8975 | May 11, 2016 | D | 75,000 | D | Jan 31, 2014 | Oct 31, 2019 | Common Stock | 75,000 | 106,167 | D |
| Incentive Stock Option (right to buy) | $1.17 | May 11, 2016 | D | 31,166 | D | Apr 4, 2013 | Mar 4, 2020 | Common Stock | 31,166 | 75,001 | D |
| Incentive Stock Option (right to buy) | $1.17 | May 11, 2016 | D | 15,626 | D | Jun 4, 2016 | Mar 4, 2020 | Common Stock | 15,626 | 59,375 | D |
| Incentive Stock Option (right to buy) | $2.49 | May 11, 2016 | D | 10,000 | D | Apr 20, 2014 | Mar 20, 2021 | Common Stock | 10,000 | 49,375 | D |
| Incentive Stock Option (right to buy) | $2.49 | May 11, 2016 | D | 14,375 | D | May 20, 2016 | Mar 20, 2021 | Common Stock | 14,375 | 35,000 | D |
| Incentive Stock Option (right to buy) | $3.29 | May 11, 2016 | D | 10,937 | D | Feb 15, 2015 | Jan 15, 2022 | Common Stock | 10,937 | 24,063 | D |
| Incentive Stock Option (right to buy) | $3.29 | May 11, 2016 | D | 24,063 | D | May 15, 2016 | Jan 15, 2022 | Common Stock | 24,063 | 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.