0001140361-15-039058.txt : 20151030 0001140361-15-039058.hdr.sgml : 20151030 20151030112513 ACCESSION NUMBER: 0001140361-15-039058 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151028 FILED AS OF DATE: 20151030 DATE AS OF CHANGE: 20151030 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: CARLSON CAPITAL L P CENTRAL INDEX KEY: 0001056973 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22248 FILM NUMBER: 151186015 BUSINESS ADDRESS: STREET 1: 2100 MCKINNEY AVE STREET 2: STE 1800 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2149329600 MAIL ADDRESS: STREET 1: 2100 MCKINNEY AVE STREET 2: STE 1800 CITY: DALLAS STATE: TX ZIP: 75201 4 1 doc1.xml FORM 4 X0306 4 2015-10-28 0 0000909791 ULTRATECH INC UTEK 0001056973 CARLSON CAPITAL L P 2100 MCKINNEY AVE STE 1800 DALLAS TX 75201 0 0 1 0 Common Stock 2015-10-28 4 P 0 4487 15.3947 A 3284001 I See Footnotes Common Stock 2015-10-28 4 P 0 27300 15.7385 A 3311301 I See Footnotes Common Stock 2015-10-28 4 P 0 27300 15.7383 A 3338601 I See Footnotes Common Stock 2015-10-29 4 P 0 27450 15.5963 A 3366051 I See Footnotes The shares of Common Stock to which this relates are held directly by certain private funds and managed accounts (collectively, "Accounts") to which Carlson Capital, L.P., a Delaware limited partnership ("Carlson Capital"), serves as investment manager. Mr. Clint D. Carlson, a United States citizen, who serves as president of Carlson Capital, has the power to direct the affairs of Carlson Capital. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. /s/ Clint D. Carlson 2015-10-30