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Filing Details

Accession Number:: 0000909791-11-000009
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2011-02-02 17:56:53
Reporting Period:: 2011-01-31

Filing Date:: 2011-02-02
Accepted Time:: 2011-02-02 17:56:53
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
1227979	R Bruce Wright	3050 Zanker Road San Jose CA 95134	Sr. Vp-Fin, Cfo & Secretary	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2011-01-31	12,500	$0.00	107,500	No	4	A	Direct
Common Stock	Disposition	2011-01-31	1,056	$22.53	106,444	No	4	F	Direct
Common Stock	Disposition	2011-01-31	1,056	$22.53	105,388	No	4	F	Direct
Common Stock	Disposition	2011-01-31	1,056	$22.53	104,332	No	4	F	Direct
Common Stock	Disposition	2011-01-31	1,761	$22.53	102,571	No	4	F	Direct
Common Stock	Disposition	2011-01-31	1,056	$22.53	101,515	No	4	F	Direct
Common Stock	Acquisiton	2011-02-01	72,039	$11.36	173,554	No	4	M	Direct
Common Stock	Disposition	2011-02-01	72,039	$23.50	101,515	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	F	Direct
No	4	F	Direct
No	4	F	Direct
No	4	F	Direct
No	4	F	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Incentive Stock Option (right to buy)	Acquisiton	2011-01-31	3,032	$0.00	3,032	$22.53
Common Stock	Non-Qualified Stock Option (right to buy)	Disposition	2011-02-01	72,039	$0.00	72,039	$11.36
Common Stock	Non-Qualified Stock Option (right to buy)	Acquisiton	2011-01-31	21,968	$0.00	21,968	$22.53

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
3,032	2021-01-31	No	4	A	Direct
0	2013-01-27	No	4	M	Direct
21,968	2021-01-31	No	4	A	Direct

Footnotes

Represents restricted stock units (RSUs) awarded under the Issuer's 1993 Stock Option/Stock Issuance Plan. Each RSU will entitle the Reporting Person to one share of the Issuer's common stock upon the designated issuance date following the vesting of that RSU. The RSUs will vest in a series of fifty successive equal monthly installments upon the Reporting Person's completion of each month of service with the Issuer over the fifty-month period measured from January 1, 2011. The shares underlying the RSUs that vest each year will be issued on January 31 of the following year (or in March 2015 for the two monthly installments that vest in that year) or, if earlier, upon the Reporting Person's seperation from service. The RSUs will vest in full on an accelerated basis, and the underlying shares of the Issuer's common stock will become immediately issuable, upon certain changes in ownership or upon the Reporting Person's termination of service with the Issuer under certain circumstances.
Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 3,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 31, 2011, pursuant to a restricted stock unit award granted February 8, 2010.
Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 3,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 31, 2011, pursuant to a restricted stock unit award granted April 26, 2010.
Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 3,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 31, 2011, pursuant to a restricted stock unit award granted July 26, 2010.
Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 5,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 31, 2011, pursuant to a restricted stock unit award granted February 4, 2008.
Represents shares of the Issuer's common stock withheld in satisfaction of the applicable withholding taxes from the 3,000 shares of the Issuer's common stock that became issuable to the Reporting Person on January 31, 2011, pursuant to a restricted stock unit award granted October 26, 2010.
Represents the weighted average sale price per share. The actual sale prices ranged from a low of $23.00 to a high of $23.77. 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) 40,000 shares subject to RSUs which will vest in three successive equal annual installments upon the completion of each year of service over the three-year period measured from January 1, 2009, and the underlying shares will be issued on January 31, 2012, (ii) 38,000 shares subject to RSUs which will vest in a series of fifty successive equal monthly installments upon the completion of each month of service over the fifty-month period measured from January 1, 2010 and the underlying shares will be issued on January 31 of the year following the year they vest (or in March 2014 for the two monthly installments that vest in that year), and (iii) 12,500 shares subject to the reported RSU award.
The option will become 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 January 1, 2011, and the balance of the option shares in thirty-eight (38) successive equal monthly installments upon the Reporting Person's completion of each month of service with the Issuer over the thirty-eight (38)-month period measured from January 1, 2012, subject to full acceleration upon the Reporting Person's termination of service with the Issuer under certain circumstances.
The option 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.