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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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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) | ||
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Non-Qualified Stock Option | $ 12.69 | 05/16/2007 | M | 5,625 | (4) | 10/26/2012 | Common Stock | 5,625 | (5) | 9,375 | D | ||||
| Non-Qualified Stock Option | $ 7.75 | 05/16/2007 | M | 4,162 | (6) | 04/16/2013 | Common Stock | 4,162 | (5) | 0 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| ANASTASI ROBERT E C/O BROOKS AUTOMATION, INC. 15 ELIZABETH DRIVE CHELMSFORD, MA 01824 |
Executive Vice President | |||
| /s/ Thomas S. Grilk, attorney-in-fact for Robert E. Anastasi | 05/18/2007 | |
| **Signature of Reporting Person | Date |
| * | 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) | The reporting person failed to timely report disposition of 2,860 shares of common stock held indirectly in the reporting person's 401(k) plan. This omission resulted in corresponding errors for subsequent reports filed on February 26, 2007, December 13, 2006 and December 11, 2006. Each of these reports erroneously disclosed in Table 1 an indirect holding (by the reporting person's 401(k) plan) of 2,860 shares of common stock. |
| (2) | These shares were held by the reporting person's 401K Plan but were disposed of on August 22, 2006, as reported herein. |
| (3) | This represents the weighted average price for shares sold at a range between $16.45 (low) and $16.50 (high). |
| (4) | The shares are part of an option for 15,000 shares of common stock that was granted on October 26, 2005 and becomes exercisable with respect to 1/16 of the shares subject to the option every three months following the date of grant, such that the option becomes fully exercisable as of 48 months following the date of grant. |
| (5) | No amount was paid upon grant of the option. The reporting person pays for the shares upon exercise of the option the per-share price listed in Column 2. |
| (6) | Received in the merger with Helix Technology Corporation ("Helix") in exchange for a stock option to acquire Helix common stock granted on April 16, 2003. The option vested in four equal annual installments beginning on the first anniversary of the grant. |