0001209191-15-079251.txt : 20151111 0001209191-15-079251.hdr.sgml : 20151111 20151110150602 ACCESSION NUMBER: 0001209191-15-079251 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151106 FILED AS OF DATE: 20151110 DATE AS OF CHANGE: 20151110 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BROOKS AUTOMATION INC CENTRAL INDEX KEY: 0000933974 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 043040660 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 15 ELIZABETH DRIVE CITY: CHELMSFORD STATE: MA ZIP: 01824 BUSINESS PHONE: (978) 262-2400 MAIL ADDRESS: STREET 1: 15 ELIZABETH DRIVE CITY: CHELMSFORD STATE: MA ZIP: 01824 FORMER COMPANY: FORMER CONFORMED NAME: BROOKS-PRI AUTOMATION INC DATE OF NAME CHANGE: 20020514 FORMER COMPANY: FORMER CONFORMED NAME: BROOKS AUTOMATION INC DATE OF NAME CHANGE: 19941215 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Joseph Jason CENTRAL INDEX KEY: 0001485448 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25434 FILM NUMBER: 151218608 MAIL ADDRESS: STREET 1: 170 TRACER LANE CITY: WALTHAM STATE: MA ZIP: 02451 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-11-06 0 0000933974 BROOKS AUTOMATION INC BRKS 0001485448 Joseph Jason C/O BROOKS AUTOMATION, INC. 15 ELIZABETH DRIVE CHELMSFORD MA 01824 0 1 0 0 VP, General Counsel, Secretary Common Stock 2015-11-06 4 F 0 13595 11.34 D 161272 D Common Stock 2015-11-06 4 A 0 18461 0.00 A 179733 D The forfeiture of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 6, 2015 of 41,696 restricted stock units held by the reporting person. An initial grant of 45,000 restricted stock units (RSUs) was received on November 6, 2013 and reported on Form 4 dated November 8, 2013. The grant contained 33,750 RSUs subject to performance-based vesting requirements. The RSUs were measured against the performance metrics resulting in the achievement of 154.7%, or 52,211 of the RSUs, subject to additional time-based vesting requirements. This transaction represents a grant of additional 54.7%, or 18,461 RSUs, 50% of which vested in November 6, 2015 and is included in the amount shown as vested in footnote 1 above, and the remaining 50% shall vest in November 6, 2016. No amount was paid upon grant of RSUs. /s/ Jason W. Joseph 2015-11-10