0001628280-16-016186.txt : 20160511 0001628280-16-016186.hdr.sgml : 20160511 20160511195455 ACCESSION NUMBER: 0001628280-16-016186 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160511 FILED AS OF DATE: 20160511 DATE AS OF CHANGE: 20160511 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MATTSON TECHNOLOGY INC CENTRAL INDEX KEY: 0000928421 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 770208119 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 47131 BAYSIDE PARKWAY CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 510 657 5900 MAIL ADDRESS: STREET 1: 47131 BAYSIDE PARKWAY CITY: FREMONT STATE: CA ZIP: 94538 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KANNAPPAN S KENNETH CENTRAL INDEX KEY: 0001184940 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24838 FILM NUMBER: 161641376 MAIL ADDRESS: STREET 1: 337 ENCINAL ST CITY: SANTA CRUZ STATE: CA ZIP: 95060 4 1 wf-form4_146301088203252.xml FORM 4 X0306 4 2016-05-11 1 0000928421 MATTSON TECHNOLOGY INC MTSN 0001184940 KANNAPPAN S KENNETH 47131 BAYSIDE PARKWAY FREMONT CA 94538 1 0 0 0 Restricted Stock Units (right to acquire) 2016-05-11 4 D 0 25875 3.80 D 115125 D Common Stock 2016-05-11 4 D 0 115125 3.80 D 0 D Non-Qualified Stock Option (right to buy) 2.12 2016-05-11 4 D 0 12500 3.80 D 2015-05-28 2021-05-28 Common Stock 12500.0 98000 D Non-Qualified Stock Option (right to buy) 2.14 2016-05-11 4 D 0 20000 3.80 D 2014-07-29 2020-07-29 Common Stock 20000.0 78000 D Non-Qualified Stock Option (right to buy) 0.88 2016-05-11 4 D 0 18000 3.80 D 2013-07-31 2019-07-31 Common Stock 18000.0 60000 D Non-Qualified Stock Option (right to buy) 1.77 2016-05-11 4 D 0 20000 3.80 D 2012-08-01 2018-08-01 Common Stock 20000.0 40000 D Non-Qualified Stock Option (right to buy) 3.09 2016-05-11 4 D 0 20000 3.80 D 2011-07-26 2017-07-26 Common Stock 20000.0 20000 D Non-Qualified Stock Option (right to buy) 1.29 2016-05-11 4 D 0 20000 3.80 D 2010-06-08 2017-06-08 Common Stock 20000.0 0 D Pursuant to the Merger Agreement, each restricted stock unit was converted into the right to receive cash, without interest, equal to $3.80. Pursuant to the Agreement and Plan of Merger providing for the merger of Dragon Acquisition Sub, Inc., an indirect subsidiary of Beijing E-town Dragon Semiconductor Industry Investment Center (Limited Partnership), with and into Mattson Technology, Inc., each share of Mattson's common stock will be cancelled and converted into the right to receive $3.80 in cash, without interest. Pursuant to the Merger Agreement, each option to purchase common stock was converted into the right to receive cash, without interest, equal to $3.80, less the per share exercise price. By: Tyler Purvis for S. Kenneth Kannappan 2016-05-11