MATTSON TECHNOLOGY INC 4
4 · MATTSON TECHNOLOGY INC · Filed May 11, 2016
Insider Transaction Report
Form 4
CHEN FUSEN ERNIE
DirectorPresident and CEO
Transactions
- Disposition to Issuer
Incentive Stock Option (right to buy)
2016-05-11$3.80/sh−64,287$244,291→ 64,173 totalExercise: $1.37From: 2016-05-19Exp: 2020-02-19→ Common Stock (64,287 underlying) - Disposition to Issuer
Non-Qualified Stock Option (right to buy)
2016-05-11$3.80/sh−126,560$480,928→ 458,440 totalExercise: $1.37From: 2014-02-19Exp: 2020-02-19→ Common Stock (126,560 underlying) - Disposition to Issuer
Non-Qualified Stock Option (right to buy)
2016-05-11$3.80/sh−13,839$52,588→ 444,601 totalExercise: $1.37From: 2013-05-19Exp: 2020-02-19→ Common Stock (13,839 underlying) - Disposition to Issuer
Incentive Stock Option (right to buy)
2016-05-11$3.80/sh−31,250$118,750→ 32,923 totalExercise: $2.49From: 2016-05-20Exp: 2021-03-20→ Common Stock (31,250 underlying) - Disposition to Issuer
Common Stock
2016-05-11$3.80/sh−226,062$859,036→ 0 total - Disposition to Issuer
Non-Qualified Stock Option (right to buy)
2016-05-11$3.80/sh−52,083$197,915→ 392,518 totalExercise: $2.49From: 2014-04-20Exp: 2021-03-20→ Common Stock (52,083 underlying) - Disposition to Issuer
Non-Qualified Stock Option (right to buy)
2016-05-11$3.80/sh−34,374$130,621→ 341,477 totalExercise: $3.29From: 2015-02-16Exp: 2022-01-15→ Common Stock (34,374 underlying) - Disposition to Issuer
Incentive Stock Option (right to buy)
2016-05-11$3.80/sh−170,314$647,193→ 128,460 totalExercise: $1.37From: 2014-02-19Exp: 2020-02-19→ Common Stock (170,314 underlying) - Disposition to Issuer
Incentive Stock Option (right to buy)
2016-05-11$3.80/sh−32,923$125,107→ 0 totalExercise: $3.29From: 2016-05-15Exp: 2022-01-15→ Common Stock (32,923 underlying) - Gift
Common Stock
2016-05-11−70,000→ 226,062 total - Disposition to Issuer
Restricted Stock Units (right to acquire)
2016-05-11$3.80/sh−219,375$833,625→ 0 total - Disposition to Issuer
Non-Qualified Stock Option (right to buy)
2016-05-11$3.80/sh−16,667$63,335→ 375,851 totalExercise: $2.49From: 2016-05-20Exp: 2021-03-20→ Common Stock (16,667 underlying) - Disposition to Issuer
Non-Qualified Stock Option (right to buy)
2016-05-11$3.80/sh−42,703$162,271→ 298,774 totalExercise: $3.29From: 2016-05-15Exp: 2022-01-15→ Common Stock (42,703 underlying)
Footnotes (5)
- [F1]On April 29, 2016, Mr. Chen made a bona fide gift of common stock.
- [F2]Pursuant to the Agreement and Plan of Merger providing for the merger of Dragon Acquisition Sub, Inc., an indirect subsidiary of Beijing E-town Dragon Semiconductor Industry Investment Center (Limited Partnership), with and into Mattson Technology, Inc., each share of Mattson's common stock will be cancelled and converted into the right to receive $3.80 in cash, without interest.
- [F3]Pursuant to the Merger Agreement, each restricted stock unit was converted into the right to receive cash equal to $3.80, subject to the same vesting terms and conditions as the original restricted stock unit grant.
- [F4]Pursuant to the Merger Agreement, each option to purchase common stock was converted into the right to receive cash, without interest, equal to $3.80, less the per share exercise price.
- [F5]Pursuant to the Merger Agreement, each option to purchase common stock was converted into the right to receive cash equal to $3.80 less the per share exercise price, subject to the same vesting terms and conditions as the original option grant.