-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, CalXRUyFAIFl8iChacUbTY6YKsmv4sbTlO7OdJtokSbZV18BFIGzis8HTkmbS54X CV/N6p3FecCRku0nNj5h2A== 0001257815-07-000036.txt : 20070222 0001257815-07-000036.hdr.sgml : 20070222 20070222174454 ACCESSION NUMBER: 0001257815-07-000036 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070220 FILED AS OF DATE: 20070222 DATE AS OF CHANGE: 20070222 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RUDOLPH TECHNOLOGIES INC CENTRAL INDEX KEY: 0001094392 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL INSTRUMENTS FOR MEASUREMENT, DISPLAY, AND CONTROL [3823] IRS NUMBER: 223531208 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: PO BOX 1000 STREET 2: ONE RUDOLPH RD CITY: FLANDERS STATE: NJ ZIP: 07836 BUSINESS PHONE: 9736911300 MAIL ADDRESS: STREET 1: PO BOX 1000 STREET 2: ONE RUDOLPH RD CITY: FLANDERS STATE: NJ ZIP: 07836 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BROOKS D MAYSON CENTRAL INDEX KEY: 0001194777 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27965 FILM NUMBER: 07643297 BUSINESS ADDRESS: BUSINESS PHONE: 973-691-1300 MAIL ADDRESS: STREET 1: C/O RUDOLPH TECHNOLOGIES, INC. STREET 2: ONE RUDOLPH ROAD, PO BOX 1000 CITY: FLANDERS STATE: NJ ZIP: 07836 4 1 edgardoc.xml PRIMARY DOCUMENT X0202 4 2007-02-20 0 0001094392 RUDOLPH TECHNOLOGIES INC RTEC 0001194777 BROOKS D MAYSON C/O RUDOLPH TECHNOLOGIES, INC. ONE RUDOLPH ROAD, PO BOX 1000 FLANDERS NJ 07836 0 0 0 1 VP, Global Sales Common Stock 2007-02-20 4 M 0 1854 13.59 A 4887 D Common Stock 2007-02-20 4 M 0 1333 10 A 6220 D Common Stock 2007-02-20 4 M 0 7625 13.62 A 13845 D Common Stock 2007-02-20 4 M 0 2702 14.81 A 16547 D Common Stock 2007-02-20 4 M 0 2706 14.81 A 19253 D Common Stock 2007-02-20 4 M 0 1715 13.7 A 20968 D Common Stock 2007-02-20 4 M 0 2287 13.86 A 23255 D Common Stock 2007-02-20 4 M 0 2287 13.78 A 25542 D Common Stock 2007-02-20 4 M 0 3431 13.19 A 28973 D Common Stock 2007-02-20 4 M 0 5337 6.17 A 34310 D Common Stock 2007-02-20 4 M 0 2287 6.23 A 36597 D Common Stock 2007-02-20 4 M 0 9150 5.64 A 45747 D Common Stock 2007-02-20 4 S 0 5000 16.3 D 40747 D Common Stock 2007-02-20 4 S 0 10714 16.31 D 30033 D Common Stock 2007-02-20 4 S 0 5000 16.35 D 25033 D Common Stock 2007-02-20 4 S 0 3000 16.4 D 22033 D Common Stock 2007-02-20 4 S 0 5000 16.48 D 17033 D Common Stock 2007-02-20 4 S 0 9000 16.56 D 8033 D Common Stock 2007-02-20 4 S 0 5000 16.61 D 3033 D Incentive Stock Option (right to buy) 10 2007-02-20 4 M 0 1333 D 2014-10-22 Common Stock 1333 0 D Incentive Stock Option (right to buy) 13.7 2007-02-20 4 M 0 1715 D 2007-05-01 Common Stock 1715 0 D Incentive Stock Option (right to buy) 14.81 2007-02-20 4 M 0 2702 D 2016-01-25 Common Stock 2702 4051 D Non-Qualified Stock Option (right to buy) 5.64 2007-02-20 4 M 0 9150 D 2009-12-19 Common Stock 9150 0 D Non-Qualified Stock Option (right to buy) 6.17 2007-02-20 4 M 0 5337 D 2009-07-18 Common Stock 5337 0 D Non-Qualified Stock Option (right to buy) 6.23 2007-02-20 4 M 0 2287 D 2009-10-25 Common Stock 2287 0 D Non-Qualified Stock Option (right to buy) 13.19 2007-02-20 4 M 0 3431 D 2008-12-07 Common Stock 3431 0 D Non-Qualified Stock Option (right to buy) 13.59 2007-02-20 4 M 0 1854 D 2014-07-30 Common Stock 1854 0 D Non-Qualified Stock Option (right to buy) 13.62 2007-02-20 4 M 0 7625 D 2014-12-30 Common Stock 7625 0 D Non-Qualified Stock Option (right to buy) 13.78 2007-02-20 4 M 0 2287 D 2008-04-06 Common Stock 2287 0 D Non-Qualified Stock Option (right to buy) 13.86 2007-02-20 4 M 0 2287 D 2007-12-15 Common Stock 2287 0 D Non-Qualified Stock Option (right to buy) 14.81 2007-02-20 4 M 0 2706 D 2016-01-25 Common Stock 2706 4057 D The amount of shares indicated in direct beneficial ownership include shares acquired through the Employee Stock Purchase Plan. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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 2007-02-22 -----END PRIVACY-ENHANCED MESSAGE-----