0000909791-11-000062.txt : 20111026 0000909791-11-000062.hdr.sgml : 20111026 20111026174746 ACCESSION NUMBER: 0000909791-11-000062 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111024 FILED AS OF DATE: 20111026 DATE AS OF CHANGE: 20111026 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: 111159794 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 X0304 4 2011-10-24 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 2011-10-24 4 A 0 37500 0 A 770307 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. 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) 112,500 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. By: Cathy Lewis, Attorney-in-Fact For: Art Zafiropoulo 2011-10-26