MATTSON TECHNOLOGY INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-10-25: Reporting owner St Dennis Thomas; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-07-29: Reporting owner Dyck Richard E.; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-07-29: Reporting owner NAKAYAMA SHIGERU STEVE; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-07-29: 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).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-10-25 | St Dennis Thomas Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $2.93 | 2013-10-28 | |
| 2013-07-29 | 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 | $2.14 exercise price | 2013-07-31 | |
| 2013-07-29 | 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 | $2.14 exercise price | 2013-07-31 | |
| 2013-07-29 | 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 | $2.14 exercise price | 2013-07-31 | |
| 2013-07-29 | 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 | $2.14 exercise price | 2013-07-31 | |
| 2013-07-29 | 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 | $2.14 exercise price | 2013-07-31 | |
| 2013-07-29 | 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 | $2.14 exercise price | 2013-07-31 | |
| 2013-06-06 holding as of filing | HOANG HOANG Officer (Sr VP Global Business Operatio) | 3 | Incentive Stock Option (right to buy) Derivative · Direct | Holding | $1.17 exercise price | 2013-06-06 | ||
| 2013-03-04 | 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) | +39,064 39,064 owned after | $1.17 exercise price | 2013-03-06 | |
| 2013-03-04 | 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) | +85,936 85,936 owned after | $1.17 exercise price | 2013-03-06 | |
| 2013-02-19 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +375,000 375,000 owned after | $1.37 exercise price | 2013-02-21 |