-----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, Wa0juqQgEcIOPVWYDfysqTA2Sq3Ia71J/JQcGGMjJ9wbHlgDp8WLTc6a//InKuLE WVTEmQzeUjOwzl9kxmEK3g== 0000909791-10-000016.txt : 20100427 0000909791-10-000016.hdr.sgml : 20100427 20100427184142 ACCESSION NUMBER: 0000909791-10-000016 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100423 FILED AS OF DATE: 20100427 DATE AS OF CHANGE: 20100427 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ZAFIROPOULO ARTHUR W CENTRAL INDEX KEY: 0000939376 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22248 FILM NUMBER: 10774740 MAIL ADDRESS: STREET 1: 3050 ZANKER RD CITY: SAN JOSE STATE: CA ZIP: 95134 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ULTRATECH INC CENTRAL INDEX KEY: 0000909791 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 943169580 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3050 ZANKER RD CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 4083218835 MAIL ADDRESS: STREET 1: 3050 ZANKER RD CITY: SAN JOSE STATE: CA ZIP: 95134 FORMER COMPANY: FORMER CONFORMED NAME: ULTRATECH STEPPER INC DATE OF NAME CHANGE: 19930727 4 1 edgardoc.xml PRIMARY DOCUMENT X0303 4 2010-04-23 0 0000909791 ULTRATECH INC UTEK 0000939376 ZAFIROPOULO ARTHUR W 3050 ZANKER ROAD SAN JOSE CA 95134 1 1 0 0 Chairman of the Board and CEO Common Stock 2010-04-23 4 S 0 77800 16.0435 D 1190181 D Common Stock 2010-04-26 4 A 0 25000 0 A 1215181 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in June 2009. Represents the weighted average sale price per share. The actual sale prices ranged from a low of $16.00 to a high of $16.17 per share. The Reporting Person will provide upon request by the Securities and Exchange Commission, the Issuer or any security holder of the Issuer full information regarding the number of shares sold at each separate price. Represents restricted stock units (RSUs) awarded under the Issuer's 1993 Stock Option/Stock Issuance Plan. Each RSU will entitle the Reporting Person to one share of the Issuer's common stock upon the designated issuance date following the vesting of that RSU. The RSUs will vest in a series of fifty successive equal monthly installments upon the Reporting Person's completion of each month of service with the Issuer over the fifty-month period measured from January 1, 2010. The shares underlying the RSUs that vest each year will be issued on January 31 of the following year (or in March 2014 for the two monthly installments that vest in that year) or, if earlier, upon the Reporting Person's seperation from service. The RSUs will vest in full on an accelerated basis, and the underlying shares of the Issuer's common stock will become immediately issuable, upon certain changes in ownership or upon the Reporting Person's termination of service with the Issuer under certain circumstances. Includes (i) 75,000 shares subject to RSUs which will vest in three successive equal annual installments upon the completion of each year of service over the three-year period measured from January 1, 2008, and the underlying shares will be issued on January 31, 2011, (ii) 100,000 shares subject to RSUs which will vest in three successive equal annual installments upon the completion of each year of service over the three-year period measured from January 1, 2009, and the underlying shares will be issued on January 31, 2012, (iii) 25,000 shares subject to RSUs which will vest in a series of fifty successive equal monthly installments upon the completion of each month of service over the fifty-month period measured from January 1, 2010 and the underlying shares will be issued on January 31 of the following year (or in March 2014 for the two monthly installments that vest in that year), and (iv) 25,000 shares subject to the reported RSU award. By: Bruce R. Wright, Attorney-in-Fact For: Art Zafiropoulo 2010-04-27 -----END PRIVACY-ENHANCED MESSAGE-----