SEC Form 4 · accession 0001209191-16-136366
AXCELIS TECHNOLOGIES INC · ACLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William J Bintz
Officer — EVP, Engineering and Marketing
Period of report
Aug 8, 2016
Accepted (ET)
Aug 10, 2016 · 5:29 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 StockF1 | Aug 8, 2016 | M | 1,059 | $4.64 | A | 48,262 | D | |
| Common Stock | Aug 8, 2016 | M | 4,692 | $3.72 | A | 52,954 | D | |
| Common Stock | Aug 8, 2016 | S | 5,751 | $11.98 | D | 47,203 | D | |
| Common Stock | Aug 9, 2016 | M | 5,941 | $4.64 | A | 53,144 | D | |
| Common Stock | Aug 9, 2016 | M | 14,058 | $3.72 | A | 67,202 | D | |
| Common StockF1 | Aug 9, 2016 | S | 19,999 | $11.98 | D | 47,203 | D |
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) | $4.64 | Aug 8, 2016 | M | 1,059 | A | Nov 16, 2013 | Nov 16, 2019 | Common Stock | 25,000 | 23,941 | D |
| Stock option (right to buy) | $3.72 | Aug 8, 2016 | M | 4,692 | A | Jul 16, 2016 | Jul 16, 2019 | Common Stock | 18,750 | 14,058 | D |
| Stock option (right to buy) | $4.64 | Aug 9, 2016 | M | 5,941 | A | Nov 16, 2013 | Nov 16, 2019 | Common Stock | 23,941 | 18,000 | D |
| Stock option (right to buy) | $3.72 | Aug 9, 2016 | M | 14,058 | A | Jul 16, 2016 | Jul 16, 2019 | Common Stock | 14,058 | 0 | D |
Explanation of responses
- F1Of the shares held as of August 9,2016, 27,274 were issuable on vesting of restricted stock units granted under the 2012 Equity Incentive Plan and are subject to forefeiture.