0000909791-11-000026.txt : 20110428 0000909791-11-000026.hdr.sgml : 20110428 20110428173030 ACCESSION NUMBER: 0000909791-11-000026 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110426 FILED AS OF DATE: 20110428 DATE AS OF CHANGE: 20110428 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: 11789771 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 2011-04-26 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 2011-04-26 4 A 0 37500 0 A 815307 D Common Stock 2011-04-26 4 M 0 91618 23.82 A 906925 D Common Stock 2011-04-26 4 S 0 44599 31.0229 D 862326 D Common Stock 2011-04-26 4 M 0 8382 23.82 A 870708 D Common Stock 2011-04-26 4 S 0 55401 32.0783 D 815307 D Non-Qualified Stock Option (right to buy) 23.82 2011-04-26 4 M 0 91618 0 D 2011-07-23 Common Stock 91618 8382 D Non-Qualified Stock Option (right to buy) 23.82 2011-04-26 4 M 0 8382 0 D 2011-07-23 Common Stock 8382 0 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 the weighted average sale price per share. The actual sale prices ranged from a low of $30.56 to a high of $31.55 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 the weighted average sale price per share. The actual sale prices ranged from a low of $31.60 to a high of $32.44 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. Includes (i) 100,000 shares subject to RSUs which will vest in 3 successive equal annual installments upon completion of each year of service over the 3-year period measured from 1/1/2009, and the underlying shares will be issued on 1/31/2012, (ii) 76,000 shares subject to RSUs which will vest in a series of 50 successive equal monthly installments upon completion of each month of service over 50-month period measured from 1/1/2010 and the underlying shares will be issued on January 31 following the year they vest (or in March 2014 for the 2 monthly installments vest in that year), (iii) 37,500 shares subject to RSUs which will vest in a series of 50 successive equal monthly installments upon completion of each month of service over 50-month period measured from 1/1/2011 and the underlying shares will be issued on January 31 following the year they vest (or in March 2015 for the 2 monthly installments vest in that year), and (iv) 37,500 shares subject to the reported RSU award. The option was granted on July 24, 2001 and 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: Bruce R. Wright, Attorney-in-Fact For: Art Zafiropoulo 2011-04-28