Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-19-057842
Date:2019-11-15
Issuer: BROOKS AUTOMATION, INC. (BRKS)
Original Submission Date:

Reporting Person:

PIETRANTONI DAVID
15 ELIZABETH DRIVE
CHELMSFORD, MA 01824

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-11-15 A 27,557 a $0.00 57,386 direct
COMMON STOCK 2019-11-20 S 12,551 d $45.25 44,835 direct
COMMON STOCK 2019-11-20 S 1,038 d $45.25 43,797 direct
COMMON STOCK 2019-11-21 S 2,359 d $43.22 41,438 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 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.
f2 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 27,557 performance-based units held by the reporting person.
f3 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.
f4 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 2,284 restricted stock units from two grants held by the reporting person and previously reported on form 4.
f5 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 4,870 restricted stock units from two grants held by the reporting person and previously reported on form 4.
f6 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.
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