MATTSON TECHNOLOGY INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-10-31: 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).
- 2012-10-31: Reporting owner DODSON J MICHAEL; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-10-31: Reporting owner DUTTON DAVID LOEL; Form 4; Security Incentive Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-10-31: Reporting owner DUTTON DAVID LOEL; 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 |
|---|---|---|---|---|---|---|---|---|
| 2012-10-31 | 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) | +2 2 owned after | $0.90 exercise price | 2012-11-02 | |
| 2012-10-31 | DODSON J MICHAEL Officer (Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +144,998 144,998 owned after | $0.90 exercise price | 2012-11-02 | |
| 2012-10-31 | 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) | +1 1 owned after | $0.90 exercise price | 2012-11-02 | |
| 2012-10-31 | 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) | +164,999 164,999 owned after | $0.90 exercise price | 2012-11-02 | |
| 2012-07-31 | 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 | $0.88 exercise price | 2012-08-02 | |
| 2012-07-31 | 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) | +20,000 20,000 owned after | $0.88 exercise price | 2012-08-02 | |
| 2012-07-31 | 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 | $0.88 exercise price | 2012-08-02 | |
| 2012-07-31 | 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) | +18,000 18,000 owned after | $0.88 exercise price | 2012-08-02 | |
| 2012-07-31 | 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) | +18,000 18,000 owned after | $0.88 exercise price | 2012-08-02 | |
| 2012-07-31 | 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) | +18,000 18,000 owned after | $0.88 exercise price | 2012-08-02 | |
| 2012-05-08 | DUTTON DAVID LOEL Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,310 160,528 owned after | $2.24 | 2012-05-08 | |
| 2012-05-08 | DUTTON DAVID LOEL Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −790 159,738 owned after | $2.35 | 2012-05-08 | |
| 2012-05-07 | DUTTON DAVID LOEL Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,900 166,838 owned after | $2.35 | 2012-05-08 | |
| 2012-02-06 | 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) | +68,278 68,278 owned after | $2.79 exercise price | 2012-02-07 | |
| 2012-02-06 | DODSON J MICHAEL Officer (Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,722 31,722 owned after | $2.79 exercise price | 2012-02-07 | |
| 2012-02-06 | 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) | +190,000 190,000 owned after | $2.79 exercise price | 2012-02-07 |