SEC FORM 3 SEC Form 3
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
 
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
Wang David H

(Last) (First) (Middle)
C/O ACM RESEARCH, INC.
42307 OSGOOD ROAD, SUITE I

(Street)
FREMONT CA 94539

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
11/02/2017
3. Issuer Name and Ticker or Trading Symbol
ACM Research, Inc. [ ACMR ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
X Officer (give title below) Other (specify below)
See Remarks
5. If Amendment, Date of Original Filed (Month/Day/Year)
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 Beneficially Owned
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)
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.