Filing Details
- Accession Number:
- 0000909791-17-000028
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-05-12 17:25:50
- Reporting Period:
- 2017-05-10
- Filing Date:
- 2017-05-12
- Accepted Time:
- 2017-05-12 17:25:50
- 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 | 2017-05-10 | 980 | $30.12 | 67,352 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-05-10 | 980 | $30.55 | 66,372 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-05-10 | 6,150 | $22.00 | 72,522 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-05-10 | 6,150 | $30.55 | 66,372 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-05-10 | 7,200 | $27.75 | 73,572 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-05-10 | 7,200 | $30.55 | 66,372 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-05-10 | 4,252 | $22.53 | 70,624 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-05-10 | 4,252 | $30.55 | 66,372 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-05-10 | 1,898 | $22.53 | 68,270 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-05-10 | 1,898 | $30.55 | 66,372 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-05-10 | 2,000 | $15.65 | 68,372 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-05-10 | 1,300 | $15.65 | 69,672 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-05-10 | 1,300 | $30.55 | 68,372 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-05-10 | 3,300 | $12.25 | 71,672 | No | 4 | M | 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 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 2017-05-10 | 3,300 | $0.00 | 3,300 | $12.25 |
| Common Stock | Incentive Stock Option (right to buy) | Disposition | 2017-05-10 | 2,000 | $0.00 | 2,000 | $15.65 |
| Common Stock | Incentive Stock Option (right to buy) | Disposition | 2017-05-10 | 1,300 | $0.00 | 1,300 | $15.65 |
| Common Stock | Incentive Stock Option (right to buy) | Disposition | 2017-05-10 | 1,898 | $0.00 | 1,898 | $22.53 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2017-05-10 | 6,150 | $0.00 | 6,150 | $22.00 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2017-05-10 | 4,252 | $0.00 | 4,252 | $22.53 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2017-05-10 | 7,200 | $0.00 | 7,200 | $27.75 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2017-05-10 | 980 | $0.00 | 980 | $30.12 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,200 | 2010-12-31 | 2020-02-07 | No | 4 | M | Direct |
| 2,500 | 2010-12-31 | 2020-04-25 | No | 4 | M | Direct |
| 1,200 | 2010-12-31 | 2020-04-25 | No | 4 | M | Direct |
| 679 | 2011-12-31 | 2021-01-30 | No | 4 | M | Direct |
| 2,999 | 2011-12-31 | 2021-10-23 | No | 4 | M | Direct |
| 2,922 | 2011-12-31 | 2021-01-30 | No | 4 | M | Direct |
| 2,346 | 2011-12-31 | 2021-07-24 | No | 4 | M | Direct |
| 11,820 | 2012-12-31 | 2022-07-22 | No | 4 | M | Direct |
Footnotes
- Includes 49,520 shares subject to outstanding and unvested restricted stock units that are payable, upon vesting, in Issuer common stock
- 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 $30.58 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.
- 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.
Billionaire Hedge Funds
