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
- 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.
- 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.
- 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.
- 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.
- 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).
- 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.
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