Statement of Changes in Beneficial Ownership (4)
September 11 2020 - 5:31PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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Liu Tracy |
2. Issuer Name and Ticker or Trading Symbol
ACM Research, Inc.
[
ACMR
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O ACM RESEARCH, INC., 42307 OSGOOD ROAD, SUITE I |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/10/2020 |
(Street)
FREMONT, CA 94539
(City)
(State)
(Zip)
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4. 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. 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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Class A Common Stock | 9/10/2020 | | M(1) | | 6000 | A | $16.81 | 42924 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option | $16.81 | 9/10/2020 | | M (1) | | | 6000 | (2) | 4/22/2029 | Class A Common Stock | 6000 | $0 | 14000 | D | |
Explanation of Responses: |
(1) | On September 10, 2020, the reporting person exercised a previously issued stock option to purchase 6,000 shares of Class A Common Stock of the Issuer. |
(2) | The option vested and became exercisable as to 5,000 shares on April 23, 2020 and the remaining 15,000 shares vest and become exercisable in equal monthly installments over the following 36 months, subject to continued service through each vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Liu Tracy C/O ACM RESEARCH, INC. 42307 OSGOOD ROAD, SUITE I FREMONT, CA 94539 | X |
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Signatures
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/s/ Mark L. Johnson, Attorney-in-Fact for Tracy Liu | | 9/11/2020 |
**Signature of Reporting Person | Date |
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