-----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, VYl+WRNZ4hX2gsJ4CMgI2NdJnZnvnZQypRhxITsoKWeKgITrhWiDBQWXVathSE5H JcVJXDxDSHAguyAwDoR2ug== 0000909791-11-000009.txt : 20110202 0000909791-11-000009.hdr.sgml : 20110202 20110202175653 ACCESSION NUMBER: 0000909791-11-000009 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110131 FILED AS OF DATE: 20110202 DATE AS OF CHANGE: 20110202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WRIGHT BRUCE R CENTRAL INDEX KEY: 0001227979 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22248 FILM NUMBER: 11567797 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 2011-01-31 0 0000909791 ULTRATECH INC UTEK 0001227979 WRIGHT BRUCE R 3050 ZANKER ROAD SAN JOSE CA 95134 0 1 0 0 Sr. VP-Fin, CFO & Secretary Common Stock 2011-01-31 4 A 0 12500 0 A 107500 D Common Stock 2011-01-31 4 F 0 1056 22.53 D 106444 D Common Stock 2011-01-31 4 F 0 1056 22.53 D 105388 D Common Stock 2011-01-31 4 F 0 1056 22.53 D 104332 D Common Stock 2011-01-31 4 F 0 1761 22.53 D 102571 D Common Stock 2011-01-31 4 F 0 1056 22.53 D 101515 D Common Stock 2011-02-01 4 M 0 72039 11.36 A 173554 D Common Stock 2011-02-01 4 S 0 72039 23.4987 D 101515 D Incentive Stock Option (right to buy) 22.53 2011-01-31 4 A 0 3032 0 A 2021-01-31 Common Stock 3032 3032 D Non-Qualified Stock Option (right to buy) 11.36 2011-02-01 4 M 0 72039 0 D 2013-01-27 Common Stock 72039 0 D Non-Qualified Stock Option (right to buy) 22.53 2011-01-31 4 A 0 21968 0 A 2021-01-31 Common Stock 21968 21968 D 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, 2011. The shares underlying the RSUs that vest each year will be issued on January 31 of the following year (or in March 2015 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. Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 3,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 31, 2011, pursuant to a restricted stock unit award granted February 8, 2010. Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 3,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 31, 2011, pursuant to a restricted stock unit award granted April 26, 2010. Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 3,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 31, 2011, pursuant to a restricted stock unit award granted July 26, 2010. Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 5,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 31, 2011, pursuant to a restricted stock unit award granted February 4, 2008. Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 3,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 31, 2011, pursuant to a restricted stock unit award granted October 26, 2010. Represents the weighted average sale price per share. The actual sale prices ranged from a low of $23.00 to a high of $23.77. 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. Includes (i) 40,000 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, (ii) 38,000 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 year following the year they vest (or in March 2014 for the two monthly installments that vest in that year), and (iii) 12,500 shares subject to the reported RSU award. The option will become exercisable with respect to twenty-four percent (24%) of the option shares upon the Reporting Person's completion of one (1) year of service with the Issuer measured from January 1, 2011, and the balance of the option shares in thirty-eight (38) successive equal monthly installments upon the Reporting Person's completion of each month of service with the Issuer over the thirty-eight (38)-month period measured from January 1, 2012, subject to full acceleration upon the Reporting Person's termination of service with the Issuer under certain circumstances. The option became exercisable with respect to twenty-four percent (24%) of the option shares upon the Reporting Person's completion of one (1) year of service with the Issuer measured from the date of grant, and the balance of the option shares become exercisable in thirty-eight (38) successive equal monthly installments upon the Reporting Person's completion of each month of service over the thirty-eight (38)-month period measured from the date one (1) year following the date of grant. By: Cathy Lewis For: pursuant to a power of attorney 2011-02-02 -----END PRIVACY-ENHANCED MESSAGE-----