Statement of Changes in Beneficial Ownership (4)
November 22 2019 - 5:24PM
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
*
Robertson Lindon G |
2. Issuer Name and Ticker or Trading Symbol
Brooks Automation, Inc.
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BRKS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP & Chief Financial Officer |
(Last)
(First)
(Middle)
C/O BROOKS AUTOMATION, INC., 15 ELIZABETH DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/15/2019 |
(Street)
CHELMSFORD, MA 01824
(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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Common Stock | 11/15/2019 | | A | | 94572 (1) | A | $0.00 | 248015 | D | |
Common Stock | 11/20/2019 | | S | | 43957 (2) | D | $45.25 (3) | 204058 | D | |
Common Stock | 11/20/2019 | | S | | 3640 (4) | D | $45.25 (3) | 200418 | D | |
Common Stock | 11/21/2019 | | S | | 2908 (5) | D | $43.22 (6) | 197510 | 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 |
Explanation of Responses: |
(1) | Represents shares issued upon the vesting of performance-based units granted on November 9, 2016, which were subject to performance-based vesting requirements measured at the three-year period ended September 30, 2019. No amount was paid by the reporting person upon grant or vesting of the performance-based units. |
(2) | Represents the sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 15, 2019 of 94,572 performance-based units held by the reporting person. |
(3) | Represents the weighted average price for shares sold between November 18, 2019 and November 20, 2019 at a range between $44.34 and $46.58. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price. |
(4) | Represents the sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 15, 2019 of 8,015 restricted stock units from two grants held by the reporting person and previously reported on Form 4. |
(5) | Represents the sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 15, 2019 of 6,006 restricted stock units held by the reporting person and previously reported on Form 4. |
(6) | Represents the weighted average price for shares sold at a range between $43.10 and $43.69. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Robertson Lindon G C/O BROOKS AUTOMATION, INC. 15 ELIZABETH DRIVE CHELMSFORD, MA 01824 |
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| EVP & Chief Financial Officer |
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Signatures
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/s/ Jason W. Joseph, Attorney-in-fact for Lindon G. Robertson | | 11/22/2019 |
**Signature of Reporting Person | Date |
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