MATTSON TECHNOLOGY INC Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 76 rows, 76 shown. 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 Restricted Stock Units (right to acquire); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-05-11: Reporting owner Purvis Tyler Wayne; Form 4; Security Restricted Stock Units (right to acquire); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-05-11: Reporting owner DODSON J MICHAEL; Form 4; Security Restricted Stock Units (right to acquire); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-05-11: Reporting owner CHEN FUSEN ERNIE; Form 4; Security Restricted Stock Units (right to acquire); 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 | Restricted Stock Units (right to acquire) Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −80,001 0 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −39,063 0 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −62,813 0 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −219,375 0 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | St Dennis Thomas Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −26,125 7,375 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | KRAMER SCOTT STEUBEN Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −24,875 8,125 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Dyck Richard E. Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −24,875 112,525 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | Peterson Douglas Scott Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −26,375 25,625 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | SMITH KENNETH G Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −26,375 28,625 owned after | $3.80 | 2016-05-11 | |
| 2016-05-11 | KANNAPPAN S KENNETH Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,875 115,125 owned after | $3.80 | 2016-05-11 | |
| 2016-02-20 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,124 80,001 owned after | $0.00 | 2016-02-23 | |
| 2016-02-20 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,062 39,063 owned after | $0.00 | 2016-02-23 | |
| 2016-02-20 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,562 62,813 owned after | $0.00 | 2016-02-23 | |
| 2016-02-20 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,125 219,375 owned after | $0.00 | 2016-02-23 | |
| 2016-02-19 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −93,750 232,500 owned after | $0.00 | 2016-02-22 | |
| 2015-11-20 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,126 88,125 owned after | $0.00 | 2015-11-23 | |
| 2015-11-20 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,063 43,125 owned after | $0.00 | 2015-11-23 | |
| 2015-11-20 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,563 69,375 owned after | $0.00 | 2015-11-23 | |
| 2015-11-20 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,125 326,250 owned after | $0.00 | 2015-11-23 | |
| 2015-08-20 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,124 96,251 owned after | $0.00 | 2015-08-24 | |
| 2015-08-20 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,062 47,188 owned after | $0.00 | 2015-08-24 | |
| 2015-08-20 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,562 75,938 owned after | $0.00 | 2015-08-24 | |
| 2015-08-20 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,125 339,375 owned after | $0.00 | 2015-08-24 | |
| 2015-05-28 | KRAMER SCOTT STEUBEN Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 33,000 owned after | $0.00 | 2015-05-29 | |
| 2015-05-28 | St Dennis Thomas Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 33,500 owned after | $0.00 | 2015-05-29 | |
| 2015-05-28 | Dyck Richard E. Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 137,400 owned after | $0.00 | 2015-05-29 | |
| 2015-05-28 | SMITH KENNETH G Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 55,000 owned after | $0.00 | 2015-05-29 | |
| 2015-05-28 | Peterson Douglas Scott Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 52,000 owned after | $0.00 | 2015-05-29 | |
| 2015-05-28 | KANNAPPAN S KENNETH Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 141,000 owned after | $0.00 | 2015-05-29 | |
| 2015-05-20 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,126 104,375 owned after | $0.00 | 2015-05-21 | |
| 2015-05-20 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,063 51,250 owned after | $0.00 | 2015-05-21 | |
| 2015-05-20 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,563 82,500 owned after | $0.00 | 2015-05-21 | |
| 2015-05-20 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,125 352,500 owned after | $0.00 | 2015-05-21 | |
| 2015-02-20 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,062 55,313 owned after | $0.00 | 2015-02-23 | |
| 2015-02-20 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,124 112,501 owned after | $0.00 | 2015-02-23 | |
| 2015-02-20 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,125 365,625 owned after | $0.00 | 2015-02-23 | |
| 2015-02-20 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,562 89,063 owned after | $0.00 | 2015-02-23 | |
| 2015-02-19 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −93,750 378,750 owned after | $0.00 | 2015-02-23 | |
| 2015-01-15 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,000 120,625 owned after | $0.00 | 2015-01-16 | |
| 2015-01-15 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 59,375 owned after | $0.00 | 2015-01-16 | |
| 2015-01-15 | DODSON J MICHAEL Officer (COO and CFO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,000 95,625 owned after | $0.00 | 2015-01-16 | |
| 2015-01-15 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +110,000 472,500 owned after | $0.00 | 2015-01-16 | |
| 2015-01-02 | HOANG HOANG Officer (Exec. VP Global Business Ops.) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 65,625 owned after | $0.00 | 2015-01-16 | |
| 2014-11-20 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,875 24,375 owned after | $0.00 | 2014-11-21 | |
| 2014-11-20 | HOANG HOANG Officer (SVP Global Business Operations) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,125 40,625 owned after | $0.00 | 2014-11-21 | |
| 2014-11-20 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 362,500 owned after | $0.00 | 2014-11-21 | |
| 2014-11-20 | DODSON J MICHAEL Officer (Officer) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,125 40,625 owned after | $0.00 | 2014-11-21 | |
| 2014-08-20 | HOANG HOANG Officer (SVP Global Business Operations) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,125 43,750 owned after | $0.00 | 2014-08-22 | |
| 2014-08-20 | DODSON J MICHAEL Officer (Officer) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,125 43,750 owned after | $0.00 | 2014-08-22 | |
| 2014-08-20 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,875 26,250 owned after | $0.00 | 2014-08-22 | |
| 2014-08-20 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 368,750 owned after | $0.00 | 2014-08-22 | |
| 2014-05-28 | St Dennis Thomas Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 21,000 owned after | $0.00 | 2015-03-20 | |
| 2014-05-28 | Peterson Douglas Scott Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 39,500 owned after | $0.00 | 2015-03-20 | |
| 2014-05-28 | Dyck Richard E. Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 124,900 owned after | $0.00 | 2015-03-20 | |
| 2014-05-28 | KANNAPPAN S KENNETH Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 128,500 owned after | $0.00 | 2015-03-20 | |
| 2014-05-28 | SMITH KENNETH G Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 42,500 owned after | $0.00 | 2015-03-20 | |
| 2014-05-28 | KRAMER SCOTT STEUBEN Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 20,500 owned after | $0.00 | 2015-03-20 | |
| 2014-05-20 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,875 28,125 owned after | $0.00 | 2014-05-21 | |
| 2014-05-20 | HOANG HOANG Officer (SVP Global Business Operations) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,125 46,875 owned after | $0.00 | 2014-05-21 | |
| 2014-05-20 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +6,250 134,066 owned after | $0.00 | 2014-05-21 | |
| 2014-05-20 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −2,348 131,718 owned after | $2.06 | 2014-05-21 | |
| 2014-05-20 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 375,000 owned after | $0.00 | 2014-05-21 | |
| 2014-05-20 | DODSON J MICHAEL Officer (Officer) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,125 46,875 owned after | $0.00 | 2014-05-21 | |
| 2014-03-20 | HOANG HOANG Officer (Sr VP Global Business Operatio) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.00 | 2014-03-24 | |
| 2014-03-20 | DODSON J MICHAEL Officer (Officer) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.00 | 2014-03-24 | |
| 2014-03-20 | Purvis Tyler Wayne Officer (Chief Accounting Officer) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.00 | 2014-03-24 | |
| 2014-03-20 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 475,000 owned after | $0.00 | 2014-03-24 | |
| 2014-02-19 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −93,750 281,250 owned after | $0.00 | 2014-02-20 | |
| 2013-10-25 | St Dennis Thomas Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,500 8,500 owned after | $0.00 | 2013-10-28 | |
| 2013-07-29 | Dyck Richard E. Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 94,400 owned after | $0.00 | 2013-07-31 | |
| 2013-07-29 | NAKAYAMA SHIGERU STEVE Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 36,000 owned after | $0.00 | 2013-07-31 | |
| 2013-07-29 | KRAMER SCOTT STEUBEN Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 8,000 owned after | $0.00 | 2013-07-31 | |
| 2013-07-29 | Peterson Douglas Scott Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 27,000 owned after | $0.00 | 2013-07-31 | |
| 2013-07-29 | SMITH KENNETH G Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 30,000 owned after | $0.00 | 2013-07-31 | |
| 2013-07-29 | KANNAPPAN S KENNETH Director | 4 | Restricted Stock Units (right to acquire) Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 115,800 owned after | $0.00 | 2013-07-31 | |
| 2013-02-19 | CHEN FUSEN ERNIE Director, Officer (President and CEO) | 4 | Restricted Stock Units (right to acquire) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +375,000 750,000 owned after | $0.00 | 2013-02-21 |