0000909791-16-000052.txt : 20160212
0000909791-16-000052.hdr.sgml : 20160212
20160212113631
ACCESSION NUMBER: 0000909791-16-000052
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160202
FILED AS OF DATE: 20160212
DATE AS OF CHANGE: 20160212
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ghosh Dave
CENTRAL INDEX KEY: 0001666084
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-22248
FILM NUMBER: 161416375
MAIL ADDRESS:
STREET 1: 3050 ZANKER ROAD
CITY: SAN JOSE
STATE: CA
ZIP: 95134
3
1
edgardoc.xml
PRIMARY DOCUMENT
X0206
3
2016-02-02
0
0000909791
ULTRATECH INC
UTEK
0001666084
Ghosh Dave
3050 ZANKER ROAD
SAN JOSE
CA
95134
0
1
0
0
Senior Vice President, Global
Common Stock
8118
D
Common Stock (1)
4000
D
Common Stock (2)
6000
D
Common Stock (3)
7680
D
Common Stock (4)
9600
D
Common Stock (5)
2600
D
Common Stock (6)
7600
D
Incentive Stock Option (right to buy)
12.25
2010-12-31
2020-02-07
Common Stock
4500
D
Incentive Stock Option (right to buy)
15.65
2010-12-31
2020-04-25
Common Stock
4500
D
Incentive Stock Option (right to buy)
17.3
2014-12-31
2024-10-26
Common Stock
1
D
Incentive Stock Option (right to buy)
18.65
2010-12-31
2020-10-25
Common Stock
4882
D
Incentive Stock Option (right to buy)
18.92
2010-12-31
2020-07-25
Common Stock
5300
D
Incentive Stock Option (right to buy)
22.0
2011-12-31
2021-10-23
Common Stock
601
D
Incentive Stock Option (right to buy)
22.53
2011-12-31
2021-01-30
Common Stock
2577
D
Incentive Stock Option (right to buy)
27.75
2011-12-31
2021-07-24
Common Stock
1254
D
Incentive Stock Option (right to buy)
28.92
2012-12-31
2022-10-21
Common Stock
640
D
Incentive Stock Option (right to buy)
30.12
2012-12-31
2022-07-22
Common Stock
640
D
Incentive Stock Option (right to buy)
30.91
2011-12-31
2021-04-25
Common Stock
4042
D
Incentive Stock Option (right to buy)
31.24
2012-12-31
2022-04-22
Common Stock
1859
D
Non-Qualified Stock Option (right to buy)
17.3
2014-12-31
2024-10-26
Common Stock
3749
D
Non-Qualified Stock Option (right to buy)
18.65
2010-12-31
2020-10-25
Common Stock
427
D
Non-Qualified Stock Option (right to buy)
22.0
2011-12-31
2021-10-23
Common Stock
9149
D
Non-Qualified Stock Option (right to buy)
22.53
2011-12-31
2021-01-30
Common Stock
7174
D
Non-Qualified Stock Option (right to buy)
24.1
2014-12-31
2024-07-20
Common Stock
3750
D
Non-Qualified Stock Option (right to buy)
25.31
2014-12-31
2024-02-02
Common Stock
3750
D
Non-Qualified Stock Option (right to buy)
26.75
2014-12-31
2024-04-27
Common Stock
3750
D
Non-Qualified Stock Option (right to buy)
27.75
2011-12-31
2021-07-24
Common Stock
9546
D
Non-Qualified Stock Option (right to buy)
28.92
2012-12-31
2022-10-21
Common Stock
12800
D
Non-Qualified Stock Option (right to buy)
30.12
2012-12-31
2022-07-22
Common Stock
12800
D
Non-Qualified Stock Option (right to buy)
30.91
2011-12-31
2021-04-25
Common Stock
6758
D
Non-Qualified Stock Option (right to buy)
31.24
2012-12-31
2022-04-22
Common Stock
11581
D
Shares subject to RSUs which were originally scheduled to vest in a series of 100 equal monthly installments, subject to continued service, over the 100-month period measured from 1/1/10. These shares represent the remaining unvested portion of the award and are scheduled to vest over the final 40 months of the original vesting period. If vested, these shares will be issued on 5/31/18.
Shares subject to RSUs which were originally scheduled to vest in a series of 100 equal monthly installments, subject to continued service, over the 100-month period measured from 1/1/11. These shares represent the remaining unvested portion of the award and are scheduled to vest over the final 40 months of the original vesting period. If vested, these shares will be issued on 5/31/19.
Shares subject to RSUs which were originally scheduled to vest in a series of 100 equal monthly installments, subject to continued service, over the 100-month period measured from 1/1/12. These shares represent the remaining unvested portion of the award and are scheduled to vest over the final 52 months of the original vesting period. If vested, 2,880 of these shares will be issued on 1/1/17 and 4,800 will be issued on 5/31/20.
Shares subject to RSUs which were originally scheduled to vest in a series of 100 equal monthly installments, subject to continued service, over the 100-month period measured from 1/1/13. These shares represent the remaining unvested portion of the award and are scheduled to vest over the final 64 months of the original vesting period. If vested, 3,600 of these shares will be issued on 1/1/18 and 6,000 will be issued on 5/31/21.
Shares subject to RSUs which were originally scheduled to vest in a series of 50 equal monthly installments, subject to continued service, over the 50-month period measured from 1/1/14. These shares represent the remaining unvested portion of the award and are scheduled to vest over the final 26 months of the original vesting period. If vested, 1,200 of these shares will be issued on 1/1/17, 1,200 will be issued on 1/1/18 and 200 will be issued on 3/31/18.
Shares subject to RSUs which were originally scheduled to vest in a series of 50 equal monthly installments, subject to continued service, over the 50-month period measured from 11/1/14. These shares represent the remaining unvested portion of the award and are scheduled to vest over the final 38 months of the original vesting period. If vested, 2,400 of these shares will be issued on 11/30/16, 2,400 will be issued on 11/30/17, 2,400 will be issued on 11/30/18 and 400 will be issued on 1/31/19.
The option will become exercisable with respect to twelve percent (12%) of the option shares upon the Reporting Person's completion of one (1) year of service with the Issuer after the grant date and the balance of the option shares in eighty-eight (88) successive equal monthly installments upon the Reporting Person's completion of each month of service with the Issuer over the eighty-eight (88) month period measured from the first anniversary of the grant date.The first vesting dates are indicated above.
The option becomes exercisable in a series of successive installments over Reporting Person's continued period of service as follows: 24% of the option shares become exercisable upon completion of 12 months of service measured from date of grant, and the balance of the option shares become exercisable in a series of 38 equal monthly installments over the Reporting Person's continued period of service following the initial vesting date. The first vesting dates are indicated above.
Dave Ghosh
2016-02-11