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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 10.76 | 02/15/2006 | D | 45,000 | (1) | 08/18/2010 | Common Stock | 45,000 | (1) | 0 | D | ||||
Stock Option (right to buy) | $ 18.45 | 02/15/2006 | D | 171 | (2) | 02/06/2014 | Common Stock | 171 | (2) | 0 | D | ||||
Stock Option (right to buy) | $ 18.45 | 02/15/2006 | D | 2,844 | (3) | 02/06/2014 | Common Stock | 2,844 | (3) | 0 | D | ||||
Stock Option (right to buy) | $ 10.36 | 02/15/2006 | D | 2,500 | (4) | 07/30/2014 | Common Stock | 2,500 | (4) | 0 | D | ||||
Stock Option (right to buy) | $ 7.62 | 02/15/2006 | D | 414 | (5) | 10/22/2014 | Common Stock | 414 | (5) | 0 | D | ||||
Stock Option (right to buy) | $ 7.62 | 02/15/2006 | D | 794 | (6) | 10/22/2014 | Common Stock | 794 | (6) | 0 | D | ||||
Stock Option (right to buy) | $ 10.38 | 02/15/2006 | D | 10,000 | (7) | 12/30/2014 | Common Stock | 10,000 | (7) | 0 | D | ||||
Stock Option (right to buy) | $ 12.1 | 02/15/2006 | D | 6,259 | (8) | 03/07/2015 | Common Stock | 6,259 | (8) | 0 | D | ||||
Stock Option (right to buy) | $ 12.74 | 02/15/2006 | D | 377 | (9) | 07/21/2015 | Common Stock | 377 | (9) | 0 | D | ||||
Stock Option (right to buy) | $ 11.29 | 02/15/2006 | D | 13,461 | (10) | 01/25/2016 | Common Stock | 13,461 | $ 0 (10) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JOHNSON ARDELLE R 4900 WEST 78TH STREET BLOOMINGTON, MN 55435 |
VP, Strategic Marketing |
/s/ Robert K. Ranum as Attorney in Fact for Ardelle R. Johnson pursuant to Power of Attorney previously filed | 02/16/2006 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Pursuant to a merger agreement by and among the Issuer, Rudolph Technologies, Inc. ("Rudolph") and NS Merger Sub, Inc., a wholly-owned subsidiary of Rudolph (the "Merger"), the option, which was fully vested, was assumed by Rudolph in the Merger and replaced with an option to purchase 34,312 shares of Rudolph common stock for $14.12 per share. |
(2) | The option, which was fully vested, was assumed by Rudolph in the Merger and replaced with an option to purchase 130 shares of Rudolph common stock for $24.20 per share. |
(3) | The option, which was fully vested, was assumed by Rudolph in the Merger and replaced with an option to purchase 2,168 shares of Rudolph common stock for $24.20 per share. |
(4) | The option, which provided for vesting in annual increments of 20% of the shares beginning July 30, 2004, was assumed by Rudolph in the Merger and replaced with an option to purchase 1,906 shares of Rudolph common stock for $13.59 per share with the same vesting terms. |
(5) | The option, which was fully vested, was assumed by Rudolph in the Merger and replaced with an option to purchase 315 shares of Rudolph common stock for $10.00 per share. |
(6) | The option, which was fully vested, was assumed by Rudolph in the Merger and replaced with an option to purchase 605 shares of Rudolph common stock for $10.00 per share. |
(7) | The option, which provided for vesting 34% of the shares on December 30, 2005 and 33% on December 30, 2006 and 2007, was assumed by Rudolph in the Merger and replaced with an option to purchase 7,625 shares of Rudolph common stock for $13.62 per share with the same vesting terms. |
(8) | The option, which was fully vested, was assumed by Rudolph in the Merger and replaced with an option to purchase 4,772 shares of Rudolph common stock for $15.87 per share. |
(9) | The option, which was fully vested, was assumed by Rudolph in the Merger and replaced with an option to purchase 287 shares of Rudolph common stock for $16.71 per share. |
(10) | The option, which provided for vesting in annual increments of 20% of the shares beginning January 25, 2006, was assumed by Rudolph in the Merger and replaced with an option to purchase 10,263 shares of Rudolph common stock for $14.81 per share with the same vesting terms. |