SEC Form 4 · accession 0001209191-15-065618
AXCELIS TECHNOLOGIES INC · ACLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas A. Lawson
Officer — EVP, Corporate Mktg & Strategy
Period of report
Aug 10, 2015
Accepted (ET)
Aug 12, 2015 · 4:55 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001113232
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 10, 2015 | M | 10,000 | $1.60 | A | 28,598 | D | |
| Common Stock | Aug 10, 2015 | M | 12,500 | $0.93 | A | 41,098 | D | |
| Common Stock | Aug 10, 2015 | M | 18,750 | $1.99 | A | 59,848 | D | |
| Common Stock | Aug 10, 2015 | M | 10,752 | $1.80 | A | 70,600 | D | |
| Common Stock | Aug 10, 2015 | S | 31,573 | $3.28 | D | 39,027 | D | |
| Common Stock | Aug 10, 2015 | S | 18,896 | $3.29 | D | 20,131 | D | |
| Common Stock | Aug 10, 2015 | S | 1,381 | $3.30 | D | 18,750 | D | |
| Common Stock | Aug 10, 2015 | S | 152 | $3.35 | D | 18,598 | D | |
| Common Stock | Aug 11, 2015 | M | 20,498 | $1.80 | A | 39,096 | D | |
| Common Stock | Aug 11, 2015 | S | 17,898 | $3.29 | D | 21,198 | D | |
| Common Stock | Aug 11, 2015 | S | 2,600 | $3.30 | D | 18,598 | D | |
| Common Stock | holding | — | — | — | 12,500 | I | Held by spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option (right to buy) | $1.60 | Aug 10, 2015 | M | 10,000 | D | Jul 15, 2015 | Jul 15, 2021 | Common Stock | 10,000 | 0 | D |
| Stock option (right to buy)F1 | $0.93 | Aug 10, 2015 | M | 12,500 | D | Jul 16, 2015 | Jul 16, 2019 | Common Stock | 12,500 | 12,500 | D |
| Stock option (right to buy)F2 | $1.99 | Aug 10, 2015 | M | 18,750 | D | Jul 15, 2015 | Jul 15, 2020 | Common Stock | 18,750 | 37,500 | D |
| Stock option (right to buy)F3 | $1.80 | Aug 10, 2015 | M | 10,752 | D | Jul 15, 2015 | Jul 15, 2021 | Common Stock | 10,752 | 114,248 | D |
| Stock option (right to buy)F3 | $1.80 | Aug 11, 2015 | M | 20,498 | D | Jul 15, 2015 | Jul 15, 2021 | Common Stock | 20,498 | 93,750 | D |
Explanation of responses
- F150,000 stock options were granted on July 16, 2012 and vested as to 12,500 shares on each of July 16, 2013, 2014 and 2015. The remaining options for 12,500 shares will vest on July 16, 2016.
- F275,000 stock options were granted on July 15, 2013 and vested as to 18,750 shares on each of July 15, 2014 and 2015. The remaining options for 37,500 shares will vest as to 18,750 shares on each of July 16, 2016 and 2017.
- F3125,000 stock options were granted on July 15, 2014 and vested as to 31,250 shares on July 15, 2015. The remaining options for 93,750 shares will vest as to 31,250 shares on each of July 15, 2016, 2017 and 2018.