Statement of Changes in Beneficial Ownership (4)
January 16 2015 - 4:42PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
CHEN FUSEN ERNIE
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2. Issuer Name
and
Ticker or Trading Symbol
MATTSON TECHNOLOGY INC
[
MTSN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President and CEO
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(Last)
(First)
(Middle)
47131 BAYSIDE PARKWAY
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3. Date of Earliest Transaction
(MM/DD/YYYY)
1/15/2015
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(Street)
FREMONT, CA 94538
(City)
(State)
(Zip)
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4. 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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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. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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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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Incentive Stock Option (right to buy)
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$3.29
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1/15/2015
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A
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32923
(1)
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2/15/2015
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1/15/2022
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Common Stock
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32923.0
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$0
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585000
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D
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Non-Qualified Stock Option (right to buy)
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$3.29
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1/15/2015
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A
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77077
(1)
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2/15/2015
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1/15/2022
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Common Stock
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77077.0
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$0
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552077
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D
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Restricted Stock Units (right to acquire)
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$0.0
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1/15/2015
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A
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110000
(2)
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2/20/2015
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1/15/2022
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Common Stock
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110000.0
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$0
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472500
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D
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Explanation of Responses:
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(
1)
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This option was issued pursuant to the 2012 Equity Incentive Plan. This option will vest in 48 equal monthly installments, beginning with the first monthly anniversary from the option grant date, so long as the optionee remains an employee of the Company.
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(
2)
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This award was issued pursuant to the 2012 Equity Incentive Plan. This award is scheduled to vest in 16 quarterly installments, beginning with the first 1/16th of the award vesting on the 20th day of the second month of the quarter from the award grant date, and quarterly thereafter, so long as the awardee remains an employee of the Company.
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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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CHEN FUSEN ERNIE
47131 BAYSIDE PARKWAY
FREMONT, CA 94538
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X
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President and CEO
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Signatures
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Tyler Purvis For: Dr. Fusen E. Chen
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1/16/2015
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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 4(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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