FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 11/02/2017 |
3. Issuer Name and Ticker or Trading Symbol
ACM Research, Inc. [ ACMR ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Class A Common Stock | 166,667 | D | |
Class B Common Stock | 1,146,934 | D | |
Class A Common Stock | 60,000 | I | By the David Hui Wang and Jing Chen Family Irrevocable Trust for Wang Children |
Class B Common Stock | 7,334 | I | By the David Hui Wang and Jing Chen Family Irrevocable Trust for Wang Children |
Class A Common Stock | 206,667 | I | By the Wang-Chen Family Living Trust |
Class B Common Stock | 33,334 | I | By Jing Chen, wife of David H. Wang |
Class B Common Stock | 117,334 | I | By Brian Wang, son of David H. Wang |
Class B Common Stock | 117,334 | I | By Sophia Wang, daughter of David H. Wang |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option | (1) | 05/01/2021 | Class A Common Stock | 133,334 | 0.75 | D | |
Stock Option | (2) | 05/01/2021 | Class A Common Stock | 166,667 | 0.75 | D | |
Stock Option | (3) | 05/01/2025 | Class A Common Stock | 400,000 | 1.5 | D | |
Stock Option | (4) | 12/27/2026 | Class A Common Stock | 333,334 | 3 | D | |
Stock Option | (5) | 12/27/2026 | Class A Common Stock | 18,334 | 3 | I | By Sophia Wang, daughter of David H. Wang |
Explanation of Responses: |
1. Option was fully vested on May 1, 2011. |
2. Option was fully vested on May 1, 2011. |
3. The option vested and became exercisable as to 100,000 shares on May 1, 2016 and the remaining 300,000 shares vest and become exercisable in equal monthly installments over the following 36 months, subject to continued service through each vesting date. |
4. The option will vest and become exercisable as to 83,333 shares on January 1, 2018 and the remaining 250,001 shares will vest and become exercisable in equal monthly installments over the following 36 months, subject to continued service through each vesting date. |
5. The option vested and became exercisable as to 9,167 shares on July 5, 2017 and the remaining 9,167 shares vest and become exercisable in equal monthly installments over the following 12 months, subject to continued service through each vesting date. |
Remarks: |
Chief Executive Officer, President and Director |
/s/ Mark L Johnson, Attorney-in-Fact for David H. Wang | 11/02/2017 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |