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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 Purchase) | $ 34.13 | 06/11/2010 | A | 84,400 | (2) | 06/10/2020 | common stock | 84,400 | $ 34.13 | 84,400 | D | ||||
Restricted Stock Unit (3) | $ 0 | 06/11/2010 | A | 10,500 | (3) | (3) | common stock | 10,500 | $ 0 | 10,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PEELER JOHN R VEECO INSTRUMENTS INC. TERMINAL DRIVE PLAINVIEW, NY 11803 |
X | CEO |
Gregory A. Robbins, Attorney-in-fact | 04/22/2011 | |
**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) | Represents securities surrendered to Veeco to satisfy tax withholding obligations due upon the vesting of restricted stock. This transaction was inadvertantly omitted from the original filing. The addition of this transaction and clarification of footnote (3) below are the only changes to this report. The balance of the report is unchanged. |
(2) | The option will become exercisable with respect to 1/3 of such shares on each of the first, second and third anniversaries of the date of grant. |
(3) | Reflects an award of performance restricted stock units granted under the Veeco Instruments Inc. 2010 Stock Incentive Plan. Each performance restricted stock unit represents a contingent right to receive one share of Veeco common stock. Vesting of the award is conditioned on the achievement of certain performance criteria. If the designated performance criteria is met, then one third of these awards will vest on the date on which the performance criteria is determined to have been met and one third will vest on each of the first and second anniversaries of such date. Vested shares will be delivered to the reporting person on the date of vesting. (footnote amended to clarify timing of vesting) |