0000909791-17-000006.txt : 20170203 0000909791-17-000006.hdr.sgml : 20170203 20170203151534 ACCESSION NUMBER: 0000909791-17-000006 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: Landon Tammy Denice CENTRAL INDEX KEY: 0001666232 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22248 FILM NUMBER: 17571858 MAIL ADDRESS: STREET 1: 3050 ZANKER ROAD CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2017-01-31 0 0000909791 ULTRATECH INC UTEK 0001666232 Landon Tammy Denice 3050 ZANKER ROAD SAN JOSE CA 95134 0 1 0 0 SVP, Operations Common Stock 2017-01-31 4 D 0 338 25.92 D 33730 D Common Stock 2017-01-31 4 D 0 338 25.92 D 33392 D Common Stock 2017-01-31 4 D 0 338 25.92 D 33054 D Common Stock 2017-01-31 4 D 0 338 25.92 D 32716 D Common Stock 2017-01-31 4 D 0 84 25.92 D 32632 D Common Stock 2017-01-31 4 D 0 84 25.92 D 32548 D Common Stock 2017-01-31 4 D 0 84 25.92 D 32464 D Common Stock 2017-01-31 4 D 0 84 25.92 D 32380 D Common Stock 2017-01-31 4 A 0 30000 0.0 A 62380 D Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 960 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 23, 2012. Includes 52,170 shares subject to outstanding and unvested restricted stock units that are payable, upon vesting, in Issuer common stock. Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 960 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 23, 2012. Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 960 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 22, 2012. Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 240 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 240 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 240 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 240 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. Tammy D. Landon 2017-02-03