FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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(Print or Type Responses)
1. Name and Address of Reporting Person *
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Miller William John |
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2. Issuer Name and Ticker or Trading Symbol VEECO INSTRUMENTS INC [VECO]
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5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director
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_____ 10% Owner
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__X__ Officer (give title below)
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_____ Other (specify below)
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CEO
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VEECO INSTRUMENTS INC., TERMINAL DRIVE |
3. Date of Earliest Transaction (Month/Day/Year) 05/07/2020 |
PLAINVIEW, NY 11803 |
4. If Amendment, Date Original Filed
(Month/Day/Year)
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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. Transaction Date (Month/Day/Year)
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2A. Deemed Execution Date, if any (Month/Day/Year)
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3. Transaction 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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Common Stock | 05/07/2020 |
| A |
| 11,150 (1) | A |
$
0
| 239,181 | D |
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Common Stock | 05/07/2020 |
| F |
| 5,461 (2) | D |
$10.89 | 233,720 | D |
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Common Stock | 05/07/2020 |
| A |
| 1,750 (3) | A |
$
0
| 235,470 | D |
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Common Stock | 05/07/2020 |
| F |
| 857 (2) | D |
$10.89 | 234,613 | D |
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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) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date (Month/Day/Year)
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3A. Deemed Execution Date, if any (Month/Day/Year)
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4. Transaction 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 (Month/Day/Year)
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7. Title and Amount of Underlying Securities (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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Performance Based Restricted Stock Units |
$
0
| 05/07/2020 |
| M |
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| 11,150 (4) | 05/07/2020 |
(4) | Common Stock | 11,150 |
$
0
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0
| D |
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Performance Based Restricted Stock Units |
$
0
| 05/07/2020 |
| M |
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| 1,750 (5) | 05/07/2020 |
(5) | Common Stock | 1,750 |
$
0
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0
| D |
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Reporting Owners
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Miller William John VEECO INSTRUMENTS INC. TERMINAL DRIVE PLAINVIEW, NY 11803 |
X
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CEO |
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Signatures
Kirk W. Mackey, Attorney-in-fact | |
05/11/2020 |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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 the issuance of shares upon the vesting of performance-based restricted stock units (PRSUs) granted on June 14, 2016 under Veeco's 2010 Stock Incentive Plan. |
(2) | Represents securities surrendered to Veeco to satisfy tax withholding obligations due upon the vesting of restricted stock. |
(3) | Represents the issuance of shares upon the vesting of performance-based restricted stock units (PRSUs) granted on December 14, 2016 under Veeco's 2010 Stock Incentive Plan. |
(4) | Represents the vesting of PRSUs based on the achievement of the performance criteria and other terms specified in the June 14, 2016 award agreement. The performance period of this award ended on March 31, 2020, and the vesting occurred on May 7, 2020, the date of the Company's filing of its first quarter 2020 10-Q report. |
(5) | Represents the vesting of PRSUs based on the achievement of the performance criteria and other terms specified in the December 14, 2016 award agreement. The performance period of this award ended on March 31, 2020, and the vesting occurred on May 7, 2020, the date of the Company's filing of its first quarter 2020 10-Q report. |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
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