0001209191-19-057849.txt : 20191122 0001209191-19-057849.hdr.sgml : 20191122 20191122172813 ACCESSION NUMBER: 0001209191-19-057849 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191115 FILED AS OF DATE: 20191122 DATE AS OF CHANGE: 20191122 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: 191242648 MAIL ADDRESS: STREET 1: 170 TRACER LANE CITY: WALTHAM STATE: MA ZIP: 02451 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 AUTOMATION INC DATE OF NAME CHANGE: 20030228 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-11-15 0 0000933974 Brooks Automation, Inc. BRKS 0001485448 Joseph Jason C/O BROOKS AUTOMATION, INC. 15 ELIZABETH DRIVE CHELMSFORD MA 01824 0 1 0 0 SVP, General Counsel, Secy. Common Stock 2019-11-15 4 A 0 50767 0.00 A 132108 D Common Stock 2019-11-20 4 S 0 22424 45.25 D 109684 D Common Stock 2019-11-20 4 S 0 1774 45.25 D 107910 D Common Stock 2019-11-21 4 S 0 2752 43.22 D 105158 D Represents shares issued upon the vesting of performance-based units granted on November 9, 2016, which were subject to performance-based vesting requirements measured at the three-year period ended September 30, 2019. No amount was paid by the reporting person upon grant or vesting of the performance-based units. Represents the sale 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 15, 2019 of 50,767 performance-based units held by the reporting person. Represents the weighted average price for shares sold between November 18, 2019 and November 20, 2019 at a range between $44.34 and $46.58. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price. Represents the sale 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 15, 2019 of 4,244 restricted stock units from two grants held by the reporting person and previously reported on Form 4. Represents the sale 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 15, 2019 of 5,682 restricted stock units from two grants held by the reporting person and previously reported on Form 4. Represents the weighted average price for shares sold at a range between $43.10 and $43.69. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price. /s/ Jason W. Joseph 2019-11-22