0000909791-13-000010.txt : 20130206 0000909791-13-000010.hdr.sgml : 20130206 20130206171546 ACCESSION NUMBER: 0000909791-13-000010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130204 FILED AS OF DATE: 20130206 DATE AS OF CHANGE: 20130206 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: 13578741 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 X0306 4 2013-02-04 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 2013-02-04 4 M 0 48700 21.83 A 903965 D Common Stock 2013-02-04 4 S 0 48700 39.934 D 855265 D Common Stock 2013-02-04 4 M 0 1300 21.83 A 856565 D Common Stock 2013-02-04 4 S 0 1300 40.545 D 855265 D Common Stock 2013-02-05 4 M 0 49033 21.83 A 904298 D Common Stock 2013-02-05 4 S 0 49033 40.7557 D 855265 D Common Stock 2013-02-05 4 M 0 967 21.83 A 856232 D Common Stock 2013-02-05 4 S 0 967 41.1938 D 855265 D Non-Qualified Stock Option (right to buy) 21.83 2013-02-04 4 M 0 48700 0 D 2013-07-20 Common Stock 48700 151300 D Non-Qualified Stock Option (right to buy) 21.83 2013-02-04 4 M 0 1300 0 D 2013-07-20 Common Stock 1300 150000 D Non-Qualified Stock Option (right to buy) 21.83 2013-02-05 4 M 0 49033 0 D 2013-07-20 Common Stock 49033 100967 D Non-Qualified Stock Option (right to buy) 21.83 2013-02-05 4 M 0 967 0 D 2013-07-20 Common Stock 967 100000 D Represents the weighted average sale price per share. The actual sale prices ranged from a low of $39.49 to a high of $40.48. 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 $40.49 to a high of $40.58. 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 $40.18 to a high of $41.17. 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 $41.18 to a high of $41.22. 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) 28,000 shares subject to RSUs which will vest in a series of 50 equal monthly installments upon completion of each month of service over 50-month period measured from 1/1/13 and the underlying shares will be issued on 1/31 following the year they vest (or in March 2014 for the 2 monthly installments vest in that year), (ii) 78,000 shares subject to RSUs which will vest in a series of 50 equal monthly installments upon completion of each month of service over 50-month period measured from 1/1/13 and the underlying shares will be issued on 1/31 following the year they vest (or in March 2015 for the 2 monthly installments vest in that year), and (iii) 91,200 shares subject to RSUs which will vest in a series of 50 equal monthly installments upon completion of each month of service over 50-month period measured from 1/1/13 and the underlying shares will be issued on 1/31 following the year they vest (or in March 2016 for the 2 monthly installments vest in that year). The option was granted on July 21, 2003 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: Attorney-in-Fact, Bruce R. Wright For: Art Zafiropoulo 2013-02-06