1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Incentive Stock Option (right to buy)
|
Â
(3)
|
05/21/2010 |
Common Stock
|
15,250
|
$
5.24
|
D
|
Â
|
Incentive Stock Option (right to buy)
|
Â
(4)
|
07/30/2014 |
Common Stock
|
2,211
|
$
13.59
|
D
|
Â
|
Incentive Stock Option (right to buy)
|
Â
(5)
|
12/30/2014 |
Common Stock
|
3,812
|
$
13.62
|
D
|
Â
|
Incentive Stock Option (right to buy)
|
Â
(6)
|
01/04/2016 |
Common Stock
|
762
|
$
14.46
|
D
|
Â
|
Incentive Stock Option (right to buy)
|
Â
(7)
|
01/25/2016 |
Common Stock
|
4,019
|
$
14.81
|
D
|
Â
|
Incentive Stock Option (right to buy)
|
Â
(8)
|
03/07/2015 |
Common Stock
|
2,883
|
$
15.87
|
D
|
Â
|
Incentive Stock Option (right to buy)
|
Â
(9)
|
07/21/2015 |
Common Stock
|
513
|
$
16.71
|
D
|
Â
|
Incentive Stock Option (right to buy)
|
Â
(10)
|
02/06/2014 |
Common Stock
|
2,400
|
$
24.2
|
D
|
Â
|
Non-Qualified Stock Option (right to buy)
|
Â
(11)
|
01/25/2016 |
Common Stock
|
5,295
|
$
14.81
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
Each Restricted Stock Unit represents a contingent right to receive one (1) share of RTEC Common Stock. |
(2) |
20% of the shares of Common Stock subject to the Restricted Stock Unit vest each year on the grant date. Generally, vested shares will be delivered to the reporting person as soon as practicable after vesting. |
(3) |
Pursuant to a merger agreement by and amoung the August Technology Corporation ("August"), Rudolph Technologies, Inc. ("Rudolph") and NS Merger Sub, Inc., a wholly-owned subsidiary of Rudolph (the "Merger"), the option to purchase 20,000 shares of August common stock for $3.99 per share, initially granted by August on May 21, 2003, which was fully vested, was assumed by Rudolph in the Merger and replaced with the referenced fully vested option. |
(4) |
Options to purchase 2,900 shares of August common stock for $10.36 per share, initially granted by August on July 30, 2004, of which 400 shares were fully vested, the remaining 2,500 shares provided for vesting in annual increments of 20% of the shares beginning July 30, 2004, were assumed by Rudolph in the Merger and replaced with the referenced options with the same vesting terms. |
(5) |
The option to purchase 5,000 shares of August common stock for $10.38 per share, initially granted by August on December 30, 2004, which provided for vesting 34% of the shares on December 30, 2004 and 33% on December 30, 2005 and 2006, was assumed by Rudolph in the Merger and replaced with the referenced option with the same vesting terms. |
(6) |
The option to purchase 1,000 shares of August common stock for $11.02 per share, initially granted by August on January 4, 2006, which provided for vesting 20% of the shares on January 4, 2006 and each year thereafter, was assumed by Rudolph in the Merger and replaced with the referenced option with the same vesting terms. |
(7) |
The option to purchase 5,272 shares of August common stock for $11.29 per share, initially granted by August on January 25, 2006, which provided for vesting 20% of the shares on January 25, 2006 and each year thereafter, was assumed by Rudolph in the Merger and replaced with the referenced option with the same vesting terms. |
(8) |
The option to purchase 3,781 shares of August common stock for $12.10 per share, initally granted by August on March 7, 2005, which was fully vested, was assumed by Rudolph in the Merger and replaced with the referenced fully vested option. |
(9) |
The option to purchase 673 shares of August common stock for $12.74 per share, initally granted by August on July 21, 2005, which was fully vested, was assumed by Rudolph in the Merger and replaced with the referenced fully vested option. |
(10) |
The option to purchase 3,148 shares of August common stock for $18.45 per share, initally granted by August on February 6, 2004, which was fully vested, was assumed by Rudolph in the Merger and replaced with the reference fully vested option. |
(11) |
The option to purchase 6,945 shares of August common stock for $11.29 per share, initially granted by August on January 25, 2006, which provided for vesting 20% of the shares on January 25, 2006 and each year thereafter, was assumed by Rudolph in the Merger and replaced with the referenced option with the same vesting terms. |