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Filing Details

Accession Number:
0000909791-17-000030
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-05-16 11:29:27
Reporting Period:
2017-05-11
Filing Date:
2017-05-16
Accepted Time:
2017-05-16 11:29:27
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
1666084 Dave Ghosh 3050 Zanker Road
San Jose CA 95134
Senior Vice President, Global No 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 2017-05-11 2,999 $17.30 74,671 No 4 M Direct
Common Stock Disposition 2017-05-11 2,999 $30.57 71,672 No 4 S Direct
Common Stock Acquisiton 2017-05-11 1 $17.30 71,673 No 4 M Direct
Common Stock Disposition 2017-05-11 1 $30.57 71,672 No 4 S Direct
Common Stock Acquisiton 2017-05-11 3,000 $24.10 74,672 No 4 M Direct
Common Stock Disposition 2017-05-11 3,000 $30.57 71,672 No 4 S Direct
Common Stock Acquisiton 2017-05-11 3,000 $26.75 74,672 No 4 M Direct
Common Stock Disposition 2017-05-11 3,000 $30.57 71,672 No 4 S Direct
Common Stock Acquisiton 2017-05-11 3,000 $25.31 74,672 No 4 M Direct
Common Stock Disposition 2017-05-11 3,000 $30.57 71,672 No 4 S Direct
Common Stock Acquisiton 2017-05-11 7,680 $28.92 79,352 No 4 M Direct
Common Stock Disposition 2017-05-11 7,680 $30.57 71,672 No 4 S Direct
Common Stock Acquisiton 2017-05-11 6,700 $30.12 78,372 No 4 M Direct
Common Stock Disposition 2017-05-11 6,700 $30.65 71,672 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
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 Incentive Stock Option (right to buy) Disposition 2017-05-11 1 $0.00 1 $17.30
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2017-05-11 2,999 $0.00 2,999 $17.30
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2017-05-11 3,000 $0.00 3,000 $24.10
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2017-05-11 3,000 $0.00 3,000 $25.31
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2017-05-11 3,000 $0.00 3,000 $26.75
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2017-05-11 7,680 $0.00 7,680 $28.92
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2017-05-11 6,700 $0.00 6,700 $30.12
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2014-12-31 2024-10-26 No 4 M Direct
750 2014-12-31 2024-10-26 No 4 M Direct
750 2014-12-31 2024-07-20 No 4 M Direct
750 2014-12-31 2024-02-02 No 4 M Direct
750 2014-12-31 2024-04-27 No 4 M Direct
5,120 2012-12-31 2022-10-21 No 4 M Direct
5,120 2012-12-31 2022-07-22 No 4 M Direct
Footnotes
  1. Includes 49,520 shares subject to outstanding and unvested restricted stock units that are payable, upon vesting, in Issuer common stock
  2. Represents the weighted average sale price per share. The actual sale prices ranged from a low of $30.55 per share to a high of $30.65 per share. The Reporting Person undertakes to provide upon request by the staff of 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. The option becomes exercisable in a series of successive installments over Reporting Person's continued period of service as follows: 24% of the option shares become exercisable upon completion of 12 months of service measured from date of grant, and the balance of the option shares become exercisable in a series of 38 equal monthly installments over the Reporting Person's continued period of service following the initial vesting date. The first vesting dates are indicated above.
  4. The option will become exercisable with respect to twelve percent (12%) of the option shares upon the Reporting Person's completion of one (1) year of service with the Issuer after the grant date and the balance of the option shares in eighty-eight (88) successive equal monthly installments upon the Reporting Person's completion of each month of service with the Issuer over the eighty-eight (88) month period measured from the first anniversary of the grant date.The first vesting dates are indicated above.