Filing Details
- Accession Number:
- 0000909791-14-000068
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-12-05 17:26:13
- Reporting Period:
- 2014-12-03
- Filing Date:
- 2014-12-05
- Accepted Time:
- 2014-12-05 17:26:13
- 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 | 2014-12-03 | 7,082 | $14.12 | 1,030,249 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-12-03 | 72,918 | $14.12 | 1,103,167 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-12-03 | 72,918 | $19.44 | 1,030,249 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | 2014-12-03 | 7,082 | $0.00 | 7,082 | $14.12 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2014-12-03 | 72,918 | $19.44 | 72,918 | $14.12 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2005-01-22 | 2015-01-21 | No | 4 | M | Direct |
| 0 | 2005-01-22 | 2015-01-21 | No | 4 | M | Direct |
Footnotes
- Represents the weighted average sale price per share. The actual sale prices ranged from a low of $19.30 to a high of $19.73. 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) 42,000 shares, (ii) 62,400 shares, (iii) 76,000 shares, and (iv) 50,000 shares, each subject to RSUs granted in 2011, 2012, 2013, and 2014, respectively. The RSUs vest in equal increments upon completion of each month of service over 50 months from the grant date. The underlying shares will be issued on January 31 following the year they vest (or in March 2015, 2016, 2017, or 2017, respectively, for the 2 monthly installments that vest in the final year).
- The option was granted on January 22, 2005 and became vested and exercisable on the grant date.
Billionaire Hedge Funds
