FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
RUDOLPH TECHNOLOGIES INC [ RTEC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/20/2007 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 02/20/2007 | M | 1,854 | A | $13.59 | 4,887(1) | D | |||
Common Stock | 02/20/2007 | M | 1,333 | A | $10 | 6,220(1) | D | |||
Common Stock | 02/20/2007 | M | 7,625 | A | $13.62 | 13,845(1) | D | |||
Common Stock | 02/20/2007 | M | 2,702 | A | $14.81 | 16,547(1) | D | |||
Common Stock | 02/20/2007 | M | 2,706 | A | $14.81 | 19,253(1) | D | |||
Common Stock | 02/20/2007 | M | 1,715 | A | $13.7 | 20,968(1) | D | |||
Common Stock | 02/20/2007 | M | 2,287 | A | $13.86 | 23,255(1) | D | |||
Common Stock | 02/20/2007 | M | 2,287 | A | $13.78 | 25,542(1) | D | |||
Common Stock | 02/20/2007 | M | 3,431 | A | $13.19 | 28,973(1) | D | |||
Common Stock | 02/20/2007 | M | 5,337 | A | $6.17 | 34,310(1) | D | |||
Common Stock | 02/20/2007 | M | 2,287 | A | $6.23 | 36,597(1) | D | |||
Common Stock | 02/20/2007 | M | 9,150 | A | $5.64 | 45,747(1) | D | |||
Common Stock | 02/20/2007 | S | 5,000 | D | $16.3 | 40,747(1) | D | |||
Common Stock | 02/20/2007 | S | 10,714 | D | $16.31 | 30,033(1) | D | |||
Common Stock | 02/20/2007 | S | 5,000 | D | $16.35 | 25,033(1) | D | |||
Common Stock | 02/20/2007 | S | 3,000 | D | $16.4 | 22,033(1) | D | |||
Common Stock | 02/20/2007 | S | 5,000 | D | $16.48 | 17,033(1) | D | |||
Common Stock | 02/20/2007 | S | 9,000 | D | $16.56 | 8,033(1) | D | |||
Common Stock | 02/20/2007 | S | 5,000 | D | $16.61 | 3,033(1) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Incentive Stock Option (right to buy) | $10 | 02/20/2007 | M | 1,333 | (2) | 10/22/2014 | Common Stock | 1,333 | (3) | 0 | D | ||||
Incentive Stock Option (right to buy) | $13.7 | 02/20/2007 | M | 1,715 | (4) | 05/01/2007 | Common Stock | 1,715 | (3) | 0 | D | ||||
Incentive Stock Option (right to buy) | $14.81 | 02/20/2007 | M | 2,702 | (5) | 01/25/2016 | Common Stock | 2,702 | (3) | 4,051 | D | ||||
Non-Qualified Stock Option (right to buy) | $5.64 | 02/20/2007 | M | 9,150 | (6) | 12/19/2009 | Common Stock | 9,150 | (3) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $6.17 | 02/20/2007 | M | 5,337 | (7) | 07/18/2009 | Common Stock | 5,337 | (3) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $6.23 | 02/20/2007 | M | 2,287 | (8) | 10/25/2009 | Common Stock | 2,287 | (3) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $13.19 | 02/20/2007 | M | 3,431 | (9) | 12/07/2008 | Common Stock | 3,431 | (3) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $13.59 | 02/20/2007 | M | 1,854 | (10) | 07/30/2014 | Common Stock | 1,854 | (3) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $13.62 | 02/20/2007 | M | 7,625 | (11) | 12/30/2014 | Common Stock | 7,625 | (3) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $13.78 | 02/20/2007 | M | 2,287 | (12) | 04/06/2008 | Common Stock | 2,287 | (3) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $13.86 | 02/20/2007 | M | 2,287 | (13) | 12/15/2007 | Common Stock | 2,287 | (3) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $14.81 | 02/20/2007 | M | 2,706 | (5) | 01/25/2016 | Common Stock | 2,706 | (3) | 4,057 | D |
Explanation of Responses: |
1. The amount of shares indicated in direct beneficial ownership include shares acquired through the Employee Stock Purchase Plan. |
2. The option to purchase 1,749 shares of August common stock for $7.62 per share, initially granted by August on October 22, 2004, which was fully vested, was assumed by Rudolph in the Merger and replaced with the referenced fully vested option. |
3. Average price of derivative security was $16.43. Exact price is not determinable as shares were sold in lots with other grants of derivative securities. |
4. The option to purchase 2,250 shares of August common stock for $10.44 per share, initially granted by August on May 1, 2000, which was fully vested, was assumed by Rudolph in the Merger and replaced with the referenced fully vested option. |
5. The option to purchase 17,727 shares of August common stock for $11.29 per share, initially granted by August on January 25, 2006, which provided for vesting in annual increments of 20% of the shares beginning January 25, 2006, was assumed by Rudolph in the Merger and replaced with the referenced options with the same vesting terms. |
6. The option to purchase 12,000 shares of August common stock for $4.30 per share, initially granted by August on December 19, 2002, which was fully vested, was assumed by Rudolph in the Merger and replaced with the referenced fully vested option. |
7. The option to purchase 7,000 shares of August common stock for $4.70 per share, initially granted by August on July 18, 2002, which was fully vested, was assumed by Rudolph in the Merger and replaced with the referenced fully vested option. |
8. The option to purchase 3,000 shares of August common stock for $4.75 per share, initially granted by August on October 25, 2002, which was fully vested, was assumed by Rudolph in the Merger and replaced with the referenced fully vested option. |
9. The option to purchase 4,500 shares of August common stock for $10.05 per share, initially granted by August on December 7, 2001, which was fully vested, was assumed by Rudolph in the Merger and replaced with the referenced fully vested option. |
10. The option to purchase 2,432 shares of August common stock for $10.36 per share, initially granted by August on July 30, 2004, which was fully vested, was assumed by Rudolph in the Merger and replaced with the referenced fully vested option. |
11. The option to purchase 10,000 shares of August common stock for $10.38 per share, initially granted by August on December 30, 2004, which provided for vesting of 34% of the shares on December 30, 2004 and 33% on December 30, 2005 and 2006, was assumed by Rudolph in the Merger and replaced with the referenced option with the same vesting terms. |
12. The option to purchase 3,000 shares of August common stock for $10.50 per share, initially granted by August on April 6, 2001, which was fully vested, was assumed by Rudolph in the Merger and replaced with the referenced fully vested option. |
13. The option to purchase 3,000 shares of August common stock for $10.563 per share, initially granted by August on December 15, 2000, which was fully vested, was assumed by Rudolph in the Merger and replaced with the referenced fully vested option. |
/s/ D. Mayson Brooks | 02/22/2007 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |