Initial Statement of Beneficial Ownership (3)
June 17 2019 - 4:37PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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
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Feng Lisa
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2. Date of Event Requiring Statement (MM/DD/YYYY)
6/6/2019
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3. Issuer Name
and
Ticker or Trading Symbol
ACM Research, Inc. [ACMR]
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(Last)
(First)
(Middle)
C/O ACM RESEARCH, INC., 42307 OSGOOD ROAD, SUITE I
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
See Remarks /
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(Street)
FREMONT, CA 94539
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Class A Common Stock
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6943
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D
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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Stock Option
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(1)
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11/1/2027
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Class A Common Stock
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9724
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$5.60
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D
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Stock Option
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(2)
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1/24/2028
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Class A Common Stock
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30000
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$5.31
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D
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Stock Option
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(3)
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4/22/2029
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Class A Common Stock
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25000
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$16.81
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D
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Explanation of Responses:
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(1)
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The option vested and became exercisable as to 4,167 shares on August 15, 2018 and the remaining 12,500 shares vest and become exercisable in equal monthly installments over the following 36 months, subject to continued service through each vesting date.
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(2)
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The option vested and became exercisable as to 7,500 shares on January 1, 2019 and the remaining 22,500 shares vest and become exercisable in equal monthly installments over the following 36 months, subject to continued service through each vesting date.
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(3)
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The option will vest and become exercisable as to 6,250 shares on April 23, 2020 and the remaining 18,750 shares vest and become exercisable in equal monthly installments over the following 36 months, subject to continued service through each vesting date.
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Remarks:
Interim Chief Financial Officer, Chief Accounting Officer and Treasurer
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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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Feng Lisa
C/O ACM RESEARCH, INC.
42307 OSGOOD ROAD, SUITE I
FREMONT, CA 94539
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See Remarks
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Signatures
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/s/ Mark L. Johnson, Attorney-in-Fact for Lisa Feng
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6/17/2019
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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 5(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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