Filing Details

Accession Number:
0000909791-13-000010
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-02-06 17:15:46
Reporting Period:
2013-02-04
Filing Date:
2013-02-06
Accepted Time:
2013-02-06 17:15:46
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 2013-02-04 48,700 $21.83 903,965 No 4 M Direct
Common Stock Disposition 2013-02-04 48,700 $39.93 855,265 No 4 S Direct
Common Stock Acquisiton 2013-02-04 1,300 $21.83 856,565 No 4 M Direct
Common Stock Disposition 2013-02-04 1,300 $40.55 855,265 No 4 S Direct
Common Stock Acquisiton 2013-02-05 49,033 $21.83 904,298 No 4 M Direct
Common Stock Disposition 2013-02-05 49,033 $40.76 855,265 No 4 S Direct
Common Stock Acquisiton 2013-02-05 967 $21.83 856,232 No 4 M Direct
Common Stock Disposition 2013-02-05 967 $41.19 855,265 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
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 2013-02-04 48,700 $0.00 48,700 $21.83
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2013-02-04 1,300 $0.00 1,300 $21.83
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2013-02-05 49,033 $0.00 49,033 $21.83
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2013-02-05 967 $0.00 967 $21.83
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
151,300 2013-07-20 No 4 M Direct
150,000 2013-07-20 No 4 M Direct
100,967 2013-07-20 No 4 M Direct
100,000 2013-07-20 No 4 M Direct
Footnotes
  1. Represents the weighted average sale price per share. The actual sale prices ranged from a low of $39.49 to a high of $40.48. 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.
  2. Represents the weighted average sale price per share. The actual sale prices ranged from a low of $40.49 to a high of $40.58. 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 $40.18 to a high of $41.17. 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. Represents the weighted average sale price per share. The actual sale prices ranged from a low of $41.18 to a high of $41.22. 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.
  5. Includes (i) 28,000 shares subject to RSUs which will vest in a series of 50 equal monthly installments upon completion of each month of service over 50-month period measured from 1/1/13 and the underlying shares will be issued on 1/31 following the year they vest (or in March 2014 for the 2 monthly installments vest in that year), (ii) 78,000 shares subject to RSUs which will vest in a series of 50 equal monthly installments upon completion of each month of service over 50-month period measured from 1/1/13 and the underlying shares will be issued on 1/31 following the year they vest (or in March 2015 for the 2 monthly installments vest in that year), and (iii) 91,200 shares subject to RSUs which will vest in a series of 50 equal monthly installments upon completion of each month of service over 50-month period measured from 1/1/13 and the underlying shares will be issued on 1/31 following the year they vest (or in March 2016 for the 2 monthly installments vest in that year).
  6. The option was granted on July 21, 2003 and became exercisable with respect to twenty-four percent (24%) 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 thirty-eight (38) successive equal monthly installments upon the Reporting Person's completion of each month of service over the thirty-eight (38)-month period measured from the date one (1) year following the date of grant.