# EDGAR Filing Document

**Accession Number:** 0001251708
**File Stem:** 0001415889-23-004953
**Filing Date:** 2023-3
**Character Count:** 7551
**Document Hash:** 2832a808fbcc0189cf541acdc2fb1386
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001415889-23-004953.hdr.sgml**: 20230315

**ACCESSION NUMBER**: 0001415889-23-004953

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230313

**FILED AS OF DATE**: 20230315

**DATE AS OF CHANGE**: 20230315

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** KIERNAN JOHN P
- **CENTRAL INDEX KEY:** 0001251708

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-16244
- **FILM NUMBER:** 23735851

**MAIL ADDRESS:**
- **STREET 1:** C/O VEECO INSTRUMENTS INC
- **STREET 2:** TERMINAL DRIVE
- **CITY:** PLAINVIEW
- **STATE:** NY
- **ZIP:** 11803
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** VEECO INSTRUMENTS INC
- **CENTRAL INDEX KEY:** 0000103145
- **STANDARD INDUSTRIAL CLASSIFICATION:** SPECIAL INDUSTRY MACHINERY, NEC [3559]
- **IRS NUMBER:** 112989601
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** TERMINAL DRIVE
- **CITY:** PLAINVIEW
- **STATE:** NY
- **ZIP:** 11803
- **BUSINESS PHONE:** 516 677-0200

**MAIL ADDRESS:**
- **STREET 1:** TERMINAL DRIVE
- **CITY:** PLAINVIEW
- **STATE:** NY
- **ZIP:** 11803

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** VACUUM ELECTRONIC MANUFACTURING CORP
- **DATE OF NAME CHANGE:** 19700408

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>KIERNAN JOHN P<br><sub>(Last) (First) (Middle)</sub><br>C/O VEECO INSTRUMENTS INC.<br>1 TERMINAL DRIVE<br><sub>(Street)</sub><br>PLAINVIEW, NY 11803<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-13 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_SVP & CHIEF FINANCIAL OFFICER_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>VEECO INSTRUMENTS INC [ VECO ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-03-13 |  | F |  | 2117<sup>(1)</sup> | D | $20.82 | 85403 | D |  |
| Common Stock | 2023-03-14 |  | F |  | 480<sup>(1)</sup> | D | $20.51 | 84923 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Unit | <sup>(2)</sup> | 2023-03-13 |  | A |  | 9450 |  | <sup>(3)</sup> | <sup>(3)</sup> | common stock | 9450 | $0 | 9450 | D |  |
| Performance Based Restricted Stock Unit | <sup>(4)</sup> | 2023-03-13 |  | A |  | 17550<sup>(4)</sup> |  | <sup>(4)</sup> | <sup>(4)</sup> | common stock | 17550 | $0 | 17550 | D |  |

---

### Footnotes:

(1) Represents securities surrendered to Veeco to satisfy tax withholding obligations due upon the vesting of restricted stock.

(2) Each restricted stock unit represents a contingent right to receive one share of Veeco common stock.

(3) These restricted stock units (RSUs) were acquired pursuant to an award under the Veeco Instruments 2019 Stock Incentive Plan and are subject to certain restrictions. These restrictions will lapse with respect to 1/3 of such RSUs on each of the first, second and third anniversaries of the date of grant. Vested shares of Veeco common stock will be delivered to the reporting person on the vesting date.

(4) On March 13, 2023, the reporting person was granted the contingent right to receive 17,550 performance-based restricted stock units ("PRSUs"). This contingent right is subject to the reporting person's continued service with the Company and the achievement of three-year performance criteria, which is based on the Company's total shareholder return relative to other companies in the Russell 2000 as specified in the award agreement (the "Criteria"). Each PRSU represents the contingent right to receive one share of Veeco common stock. The award, if earned, could range from 50% to 200% of the granted P RSUs based on the achievement of the Criteria. If the Criteria are not achieved, the award will be forfeited. Subject to having been earned, vested shares will be delivered to the reporting person on the date specified in the award agreement, but in no case earlier than the third anniversary of the grant date.

**Signature:** /s/ Kirk W. Mackey, Attorney-in-Fact  
**Date:** 2023-03-15

### Remarks:

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 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).

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.**