SEC Form 4 · accession 0001209191-17-008687
AXCELIS TECHNOLOGIES INC · ACLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin J Brewer
Officer — EVP & Chief Financial Officer
Period of report
Feb 6, 2017
Accepted (ET)
Feb 8, 2017 · 4:28 pm EST
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 | Feb 6, 2017 | M | 18,478 | $3.72 | A | 80,114 | D | |
| Common Stock | Feb 6, 2017 | M | 31,250 | $4.64 | A | 111,364 | D | |
| Common Stock | Feb 6, 2017 | S | 4,500 | $16.80 | D | 106,864 | D | |
| Common Stock | Feb 6, 2017 | S | 300 | $16.75 | D | 106,564 | D | |
| Common Stock | Feb 6, 2017 | S | 300 | $16.70 | D | 106,264 | D | |
| Common Stock | Feb 6, 2017 | S | 600 | $16.65 | D | 105,664 | D | |
| Common Stock | Feb 6, 2017 | S | 500 | $16.60 | D | 105,164 | D | |
| Common Stock | Feb 6, 2017 | S | 1,750 | $16.55 | D | 103,414 | D | |
| Common Stock | Feb 6, 2017 | S | 18,066 | $16.50 | D | 85,348 | D | |
| Common Stock | Feb 6, 2017 | S | 1,600 | $16.53 | D | 83,748 | D | |
| Common Stock | Feb 6, 2017 | S | 100 | $16.43 | D | 83,648 | D | |
| Common Stock | Feb 6, 2017 | S | 19,812 | $16.40 | D | 63,836 | D | |
| Common StockF1 | Feb 6, 2017 | S | 2,200 | $16.45 | D | 61,636 | D | |
| Common Stock | Feb 7, 2017 | M | 146 | $3.72 | A | 61,782 | D | |
| Common StockF1 | Feb 7, 2017 | S | 146 | $16.50 | D | 61,636 | 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) | $3.72 | Feb 6, 2017 | M | 18,478 | A | Jul 16, 2016 | Jul 16, 2019 | Common Stock | 18,478 | 19,022 | D |
| Stock option (right to buy) | $4.64 | Feb 6, 2017 | M | 31,250 | A | Nov 16, 2013 | Nov 16, 2019 | Common Stock | 31,250 | 0 | D |
| Stock option (right to buy) | $3.72 | Feb 6, 2017 | M | 146 | A | Jul 16, 2016 | Jul 16, 2019 | Common Stock | 146 | 18,876 | D |
Explanation of responses
- F1Of the shares held as of February 6, 2017 and February 7, 2017, 40,000 were issuable on vesting of restricted stock units granted under the 2012 Equity Incentive Plan and are subject to forfeiture.