MATTSON TECHNOLOGY INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-05-28: 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).
- 2015-05-28: 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).
- 2015-05-28: 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).
- 2015-05-28: Reporting owner SMITH KENNETH G; 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 |
|---|---|---|---|---|---|---|---|---|
| 2015-05-28 | 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) | +12,500 91,000 owned after | $3.85 | 2015-05-29 | |
| 2015-05-28 | 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) | +12,500 50,000 owned after | $3.85 | 2015-05-29 | |
| 2015-05-28 | 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) | +12,500 101,000 owned after | $3.85 | 2015-05-29 | |
| 2015-05-28 | 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) | +12,500 154,000 owned after | $3.85 | 2015-05-29 | |
| 2015-05-28 | 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) | +12,500 95,000 owned after | $3.85 | 2015-05-29 | |
| 2015-05-28 | 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) | +12,500 156,000 owned after | $3.85 | 2015-05-29 | |
| 2015-01-15 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,746 230,000 owned after | $3.29 exercise price | 2015-01-16 | |
| 2015-01-15 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,254 191,254 owned after | $3.29 exercise price | 2015-01-16 | |
| 2015-01-15 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 255,000 owned after | $3.29 exercise price | 2015-01-16 | |
| 2015-01-15 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +34,933 625,000 owned after | $3.29 exercise price | 2015-01-16 | |
| 2015-01-15 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,067 590,067 owned after | $3.29 exercise price | 2015-01-16 | |
| 2015-01-15 | 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) | +32,923 585,000 owned after | $3.29 exercise price | 2015-01-16 | |
| 2015-01-15 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +77,077 552,077 owned after | $3.29 exercise price | 2015-01-16 | |
| 2015-01-02 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 175,000 owned after | $3.42 exercise price | 2015-01-16 |