MATTSON TECHNOLOGY INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-10-28: Reporting owner KRAMER SCOTT STEUBEN; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-10-11: Reporting owner DODSON J MICHAEL; Form 4; Security Incentive Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-08-01: Reporting owner Dyck Richard E.; Form 4/A; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-08-01: Reporting owner BETZ HANS GEORG DR; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-10-28 | KRAMER SCOTT STEUBEN Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $1.34 exercise price | 2011-11-01 | |
| 2011-10-11 | DODSON J MICHAEL Officer (Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $1.14 exercise price | 2011-10-12 | |
| 2011-08-01 | Dyck Richard E. Director | 4/A | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,000 16,000 owned after | $1.77 exercise price | 2012-02-23 | |
| 2011-08-01 | BETZ HANS GEORG DR Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,000 16,000 owned after | $1.77 exercise price | 2011-08-02 | |
| 2011-08-01 | Dyck Richard E. Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,000 16,000 owned after | $0.00 | 2011-08-02 | |
| 2011-08-01 | KANNAPPAN S KENNETH Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.77 exercise price | 2011-08-02 | |
| 2011-08-01 | NAKAYAMA SHIGERU STEVE Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.77 exercise price | 2011-08-02 | |
| 2011-08-01 | SMITH KENNETH G Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.77 exercise price | 2011-08-02 | |
| 2011-02-07 | Moring Andrew John Officer (Chief Financial Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,599 38,599 owned after | $2.40 exercise price | 2011-02-09 | |
| 2011-02-07 | Moring Andrew John Officer (Chief Financial Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +56,401 56,401 owned after | $2.40 exercise price | 2011-02-09 | |
| 2011-02-07 | DUTTON DAVID LOEL Officer (Chief Executive Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +39,522 39,522 owned after | $2.40 exercise price | 2011-02-09 | |
| 2011-02-07 | DUTTON DAVID LOEL Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,478 150,478 owned after | $2.40 exercise price | 2011-02-09 | |
| 2011-02-07 | Peterson Douglas Scott Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $2.40 exercise price | 2011-02-09 |