Initial Statement of Beneficial Ownership (3)
April 04 2016 - 7:43PM
Edgar (US Regulatory)
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FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
HASS ROBERT T
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2. Date of Event Requiring Statement (MM/DD/YYYY)
4/1/2016
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3. Issuer Name
and
Ticker or Trading Symbol
AMTECH SYSTEMS INC [ASYS]
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(Last)
(First)
(Middle)
C/O AMTECH SYSTEMS, INC., 131 SOUTH CLARK DRIVE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Interim CFO /
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(Street)
TEMPE, AZ 85281
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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1582
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Options (right to buy)
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(1)
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12/9/2018
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Amtech Systems, Inc. $.01 par value common stock
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3884.0
(2)
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$3.8
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D
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Stock Options (right to buy)
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(3)
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11/20/2019
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Amtech Systems, Inc. $.01 par value common stock
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2667.0
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$6.15
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D
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Stock Options (right to buy)
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(4)
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8/6/2020
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Amtech Systems, Inc. $.01 par value common stock
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1333.0
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$10.64
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D
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Stock Options (right to buy)
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(5)
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12/15/2021
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Amtech Systems, Inc. $.01 par value common stock
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5000.0
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$7.98
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D
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Stock Options (right to buy)
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(6)
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12/11/2022
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Amtech Systems, Inc. $.01 par value common stock
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9938.0
(7)
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$2.95
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D
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Stock Options (right to buy)
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(8)
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12/12/2023
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Amtech Systems, Inc. $.01 par value common stock
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5000.0
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$7.01
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D
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Stock Options (right to buy)
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(9)
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11/19/2024
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Amtech Systems, Inc. $.01 par value common stock
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2500.0
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$9.98
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D
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Explanation of Responses:
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(
1)
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Stock options vested one-fourth (1/4) annually commencing on the first anniversary of the 12/09/2008 grant date.
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(
2)
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Reporting person has exercised 5,116 of the 9,000 vested options.
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(
3)
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Stock options vested one-fourth (1/4) annually commencing on the first anniversary of the 11/20/2009 grant date.
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(
4)
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Stock options vested one-fourth (1/4) annually commencing on the first anniversary of the 08/06/2010 grant date.
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(
5)
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Stock options vested one-fourth (1/4) annually commencing on the first anniversary of the 12/15/2011 grant date.
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(
6)
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Stock options vest one-fourth (1/4) annually commencing on the first anniversary of the 12/11/2012 grant date.
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(
7)
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Reporting person has exercised 1,000 of the 10,938 vested options.
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(
8)
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Stock options vested one-half (1/2) annually commencing on the first anniversary of the 12/12/2013 grant date.
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(
9)
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Stock options vest one-half (1/2) annually commencing on the first anniversary of the 11/19/2014 grant date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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HASS ROBERT T
C/O AMTECH SYSTEMS, INC.
131 SOUTH CLARK DRIVE
TEMPE, AZ 85281
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Interim CFO
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Signatures
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/s/ Robert T Hass
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4/4/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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