Statement of Changes in Beneficial Ownership (4)
September 25 2020 - 4:44PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
ALLEN A CLINTON |
2. Issuer Name and Ticker or Trading Symbol
Brooks Automation, Inc.
[
BRKS
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O BROOKS AUTOMATION, INC., 15 ELIZABETH DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/25/2020 |
(Street)
CHELMSFORD, MA 01824
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 |
Restricted Stock Unit | $0.00 (1) | 9/25/2020 | | A (2) | | 17 | | (1) | (1) | Common Stock | 17 | $0.00 (2) | 8099 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the later of his attainment of age 65 or his separation from service from the company. |
(2) | Grant of Restricted Stock Units (RSUs) based on the conversion of accumulated cash dividend equivalents on previously granted RSUs determined using the closing price of the Company's common stock on the dividend record date of September 4, 2020. Grant of Restricted Stock Units under the Company's 2015 Equity Incentive Plan. No amount was paid upon grant of the units. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ALLEN A CLINTON C/O BROOKS AUTOMATION, INC. 15 ELIZABETH DRIVE CHELMSFORD, MA 01824 | X |
|
|
|
Signatures
|
/s/ Jason W. Joseph, attorney-in-fact for A. Clinton Allen | | 9/25/2020 |
**Signature of Reporting Person | Date |
Brooks Automation (NASDAQ:BRKS)
Historical Stock Chart
From Aug 2024 to Sep 2024
Brooks Automation (NASDAQ:BRKS)
Historical Stock Chart
From Sep 2023 to Sep 2024