0000909791-17-000004.txt : 20170203 0000909791-17-000004.hdr.sgml : 20170203 20170203151006 ACCESSION NUMBER: 0000909791-17-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170131 FILED AS OF DATE: 20170203 DATE AS OF CHANGE: 20170203 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: ZAFIROPOULO ARTHUR W CENTRAL INDEX KEY: 0000939376 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22248 FILM NUMBER: 17571831 MAIL ADDRESS: STREET 1: 3050 ZANKER RD CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2017-01-31 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 2017-01-31 4 D 0 4227 25.92 D 792160 D Common Stock 2017-01-31 4 D 0 4227 25.92 D 787933 D Common Stock 2017-01-31 4 D 0 1056 25.92 D 786877 D Common Stock 2017-01-31 4 D 0 1056 25.92 D 785821 D Common Stock 2017-01-31 4 D 0 1056 25.92 D 784765 D Common Stock 2017-01-31 4 D 0 1056 25.92 D 783709 D Common Stock 2017-01-31 4 A 0 90000 0.0 A 873709 D Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 12,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 31, 2017, pursuant to a restricted stock unit award granted July 22, 2013. Includes (i) 2,000 shares, (ii) 13,000 shares and (iii) 90,000, each subject to RSUs granted in 2013, 2014, and 2017 respectively. The RSUs granted in 2013 and 2014 vest in equal increments upon completion of each month of service over 50 months from the grant date. The underlying shares will be issued on January 31 following the year they vest (or in March 2017 or 2018, respectively, for the 2 monthly installments that vest in the final year). The RSUs granted in 2017 will vest and become payable 50 months after the date of grant. In each case, vesting and payment is subject to acceleration in certain circumstances. Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 12,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 31, 2017, pursuant to a restricted stock unit award granted October 21, 2013. Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 3,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 31, 2017, pursuant to a restricted stock unit award granted February 3, 2014. Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 3,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 31, 2017, pursuant to a restricted stock unit award granted April 28, 2014. Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 3,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 31, 2017, pursuant to a restricted stock unit award granted July 21, 2014. Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 3,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 31, 2017, pursuant to a restricted stock unit award granted October 27, 2014. 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 are scheduled to vest and become payable 50 months after the date of the grant, subject to the Reporting Person's continued 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 the Reporting Person's termination of service with the Issuer under certain circumstances. Certain portions of the award may also vest and become payable earlier than scheduled in connection with certain changes in the control of the issuer. Arthur Zafiropoulo 2017-02-03