Filing Details

Accession Number:
0000909791-12-000043
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-07-26 17:15:31
Reporting Period:
2012-07-25
Filing Date:
2012-07-26
Accepted Time:
2012-07-26 17:15:31
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
909791 Ultratech Inc UTEK Special Industry Machinery, Nec (3559) 943169580
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
939376 W Arthur Zafiropoulo 3050 Zanker Road
San Jose CA 95134
Chairman Of The Board And Ceo Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2012-07-25 53,462 $11.36 909,409 No 4 M Direct
Common Stock Disposition 2012-07-25 53,462 $30.89 855,947 No 4 S Direct
Common Stock Acquisiton 2012-07-25 15,138 $11.36 871,085 No 4 M Direct
Common Stock Disposition 2012-07-25 15,138 $31.06 855,947 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2012-07-25 53,462 $0.00 53,462 $11.36
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2012-07-25 15,138 $0.00 15,138 $11.36
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
15,138 2013-01-27 No 4 M Direct
0 2013-01-27 No 4 M Direct
Footnotes
  1. Includes (i) 52,000 shares subject to RSUs vest in a series of 26 successive equal monthly installments upon completion of each month of service over 26-month period measured from 1/1/2012 and the underlying shares will be issued on January 31 following the year they vest (or in March 2014 for the 2 installments vest in that year), (ii) 114,000 shares subject to RSUs vest in a series of 38 successive equal monthly installments upon completion of each month of service over 38-month period measured from 1/1/2012 and the underlying shares will be issued on January 31 following the year they vest (or in March 2015 for the 2 installments vest in that year), and (iii) 80,000 shares subject to RSUs vest in a series of 50 successive equal monthly installments upon completion of each month of service over 50-month period measured from 1/1/2012 and the underlying shares will be issued on January 31 following the year they vest (or in March 2016 for the 2 installments vest in that year).
  2. Represents the weighted average sale price per share. The actual sale prices ranged from a low of $30.00 to a high of $31.00 per share. The Reporting Person will provide upon request by the Securities and Exchange Commission, the Issuer or any security holder of the Issuer full information regarding the number of shares sold at each separate price.
  3. Represents the weighted average sale price per share. The actual sale prices ranged from a low of $31.01 to a high of $31.19 per share. The Reporting Person will provide upon request by the Securities and Exchange Commission, the Issuer or any security holder of the Issuer full information regarding the number of shares sold at each separate price.
  4. The option was granted on January 28, 2003 and became exercisable with respect to fifty-two percent (52%) of the option shares upon the Reporting Person's completion of one (1) year of service with the Issuer measured from the date of grant, and the balance of the option shares become exercisable in twelve (12) successive equal monthly installments upon the Reporting Person's completion of each month of service over the twelve (12)-month period measured from the date one (1) year following the date of grant.