0000909791-11-000037.txt : 20110602 0000909791-11-000037.hdr.sgml : 20110602 20110602181736 ACCESSION NUMBER: 0000909791-11-000037 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110601 FILED AS OF DATE: 20110602 DATE AS OF CHANGE: 20110602 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: 11889723 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 2011-06-01 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 2011-06-01 4 S 0 29400 31.5012 D 755907 D Common Stock 2011-06-01 4 S 0 600 32.0633 D 755307 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 $31.02 to a high of $32.00 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 $32.06 to a high of $32.07 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 the 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 the completion of each month of service over the 50-month period measured from 1/1/2010 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) 75,000 shares subject to RSUs which will vest in a series of 50 successive equal monthly installments upon the completion of each month of service over the 50-month period measured from 1/1/2011 and the underlying shares will be issued on January 31 of the year following the year they vest (or in March 2015 for the 2 monthly installments that vest in that year). By: Bruce R. Wright, Attorney-in-Fact For: Art Zafiropoulo 2011-06-02