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