MATTSON TECHNOLOGY INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 72 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-05-11: Reporting owner HOANG HOANG; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-05-11: Reporting owner HOANG HOANG; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-05-11: Reporting owner HOANG HOANG; Form 4; Security Incentive Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-05-11: Reporting owner HOANG HOANG; Form 4; Security Incentive Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-05-11 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,250 220,750 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,004 213,746 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −79,166 134,580 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,834 113,746 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −26,041 87,705 owned after | $2.49 | 2016-05-11 | |
| 2016-05-11 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −23,959 63,746 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,333 55,413 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,667 38,746 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,937 30,809 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −30,809 0 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −28,208 226,792 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,625 221,167 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,000 181,167 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −75,000 106,167 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −31,166 75,001 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,626 59,375 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 49,375 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,375 35,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,937 24,063 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −24,063 0 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −31,722 593,278 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −144,998 448,280 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −85,936 362,344 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −21,875 340,469 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,091 325,378 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,976 320,402 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −150,000 170,402 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −68,278 102,124 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2 102,122 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,021 89,101 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −26,043 63,058 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,166 58,892 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −23,959 34,933 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,095 32,838 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −32,838 0 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −126,560 458,440 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,839 444,601 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −52,083 392,518 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,667 375,851 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −34,374 341,477 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −42,703 298,774 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −170,314 128,460 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −64,287 64,173 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −31,250 32,923 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −32,923 0 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | St Dennis Thomas Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,500 25,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | St Dennis Thomas Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,000 0 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | KRAMER SCOTT STEUBEN Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,500 66,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | KRAMER SCOTT STEUBEN Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −18,000 48,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | KRAMER SCOTT STEUBEN Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −18,000 30,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | KRAMER SCOTT STEUBEN Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −30,000 0 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Dyck Richard E. Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,500 76,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Dyck Richard E. Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −18,000 58,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Dyck Richard E. Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −18,000 40,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Dyck Richard E. Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,000 24,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Dyck Richard E. Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −24,000 0 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Peterson Douglas Scott Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,500 70,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Peterson Douglas Scott Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 50,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Peterson Douglas Scott Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 30,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Peterson Douglas Scott Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −30,000 0 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | SMITH KENNETH G Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,500 100,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | SMITH KENNETH G Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 80,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | SMITH KENNETH G Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 60,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | SMITH KENNETH G Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 40,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | SMITH KENNETH G Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 20,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | SMITH KENNETH G Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | KANNAPPAN S KENNETH Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,500 98,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | KANNAPPAN S KENNETH Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 78,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | KANNAPPAN S KENNETH Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −18,000 60,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | KANNAPPAN S KENNETH Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 40,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | KANNAPPAN S KENNETH Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 20,000 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | KANNAPPAN S KENNETH Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $3.80 | 2016-05-11 |