ULTRATECH INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 31 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-11-01: Reporting owner ZAFIROPOULO ARTHUR W; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-10-24: Reporting owner WRIGHT BRUCE R; Form 4; Security Incentive Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-10-24: Reporting owner WRIGHT BRUCE R; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-07-25: Reporting owner WRIGHT BRUCE R; Form 4; Security Incentive 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-11-01 | ZAFIROPOULO ARTHUR W Director, Officer (Chairman of the Board and CEO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −80,000 0 owned after | $13.96 exercise price | 2011-11-03 | |
| 2011-10-24 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +342 342 owned after | $22.00 exercise price | 2011-10-26 | |
| 2011-10-24 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,658 24,658 owned after | $22.00 exercise price | 2011-10-26 | |
| 2011-07-25 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000 1,000 owned after | $27.75 exercise price | 2011-07-27 | |
| 2011-07-25 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,000 24,000 owned after | $27.75 exercise price | 2011-07-27 | |
| 2011-05-27 | RICHARD HENRI P Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 20,000 owned after | $11.96 exercise price | 2011-05-31 | |
| 2011-05-27 | RICHARD HENRI P Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,000 5,000 owned after | $21.45 exercise price | 2011-05-31 | |
| 2011-05-27 | RICHARD HENRI P Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $21.45 exercise price | 2011-05-31 | |
| 2011-05-25 | GEMUNDER JOEL F Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 0 owned after | $22.21 exercise price | 2011-05-26 | |
| 2011-05-09 | KONIDARIS NICHOLAS Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 0 owned after | $13.51 exercise price | 2011-05-11 | |
| 2011-05-09 | KONIDARIS NICHOLAS Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 0 owned after | $13.67 exercise price | 2011-05-11 | |
| 2011-05-09 | KONIDARIS NICHOLAS Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 0 owned after | $14.60 exercise price | 2011-05-11 | |
| 2011-05-09 | KONIDARIS NICHOLAS Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 0 owned after | $15.00 exercise price | 2011-05-11 | |
| 2011-04-27 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,796 0 owned after | $13.96 exercise price | 2011-04-28 | |
| 2011-04-27 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,194 25,806 owned after | $23.82 exercise price | 2011-04-28 | |
| 2011-04-27 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,806 0 owned after | $23.82 exercise price | 2011-04-28 | |
| 2011-04-26 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,200 4,800 owned after | $9.66 exercise price | 2011-04-28 | |
| 2011-04-26 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,472 16,284 owned after | $12.25 exercise price | 2011-04-28 | |
| 2011-04-26 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000 1,000 owned after | $30.91 exercise price | 2011-04-28 | |
| 2011-04-26 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −52,674 7,326 owned after | $13.67 exercise price | 2011-04-28 | |
| 2011-04-26 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,326 0 owned after | $13.67 exercise price | 2011-04-28 | |
| 2011-04-26 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,204 13,796 owned after | $13.96 exercise price | 2011-04-28 | |
| 2011-04-26 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,000 24,000 owned after | $30.91 exercise price | 2011-04-28 | |
| 2011-04-26 | ZAFIROPOULO ARTHUR W Director, Officer (Chairman of the Board and CEO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −91,618 8,382 owned after | $23.82 exercise price | 2011-04-28 | |
| 2011-04-26 | ZAFIROPOULO ARTHUR W Director, Officer (Chairman of the Board and CEO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,382 0 owned after | $23.82 exercise price | 2011-04-28 | |
| 2011-03-03 | KONIDARIS NICHOLAS Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 0 owned after | $22.21 exercise price | 2011-03-07 | |
| 2011-02-07 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,961 0 owned after | $11.36 exercise price | 2011-02-09 | |
| 2011-02-07 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,082 0 owned after | $14.12 exercise price | 2011-02-09 | |
| 2011-02-01 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −72,039 0 owned after | $11.36 exercise price | 2011-02-02 | |
| 2011-01-31 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,032 3,032 owned after | $22.53 exercise price | 2011-02-02 | |
| 2011-01-31 | WRIGHT BRUCE R Officer (Sr. VP-Fin, CFO & Secretary) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,968 21,968 owned after | $22.53 exercise price | 2011-02-02 |