SEC Form 4 · accession 0001209191-17-008688
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
Feb 6, 2017
Accepted (ET)
Feb 8, 2017 · 4:29 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 | 3,125 | $3.72 | A | 34,479 | D | |
| Common Stock | Feb 6, 2017 | M | 4,687 | $7.96 | A | 39,166 | D | |
| Common Stock | Feb 6, 2017 | M | 7,813 | $7.20 | A | 46,979 | D | |
| Common Stock | Feb 6, 2017 | S | 3,125 | $16.50 | D | 43,854 | D | |
| Common Stock | Feb 6, 2017 | S | 1,987 | $16.45 | D | 41,867 | D | |
| Common Stock | Feb 6, 2017 | S | 100 | $16.50 | D | 41,767 | D | |
| Common Stock | Feb 6, 2017 | S | 2,600 | $16.47 | D | 39,167 | D | |
| Common StockF1 | Feb 6, 2017 | S | 7,813 | $16.45 | D | 31,354 | D | |
| Common Stock | holding | — | — | — | 3,125 | 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) | $3.72 | Feb 6, 2017 | M | 3,125 | A | Jul 16, 2016 | Jul 16, 2019 | Common Stock | 3,125 | 0 | D |
| Stock option (right to buy) | $7.96 | Feb 6, 2017 | M | 4,687 | A | Jul 15, 2016 | Jul 15, 2020 | Common Stock | 4,687 | 4,689 | D |
| Stock option (right to buy) | $7.20 | Feb 6, 2017 | M | 7,813 | A | Jul 15, 2016 | Jul 15, 2021 | Common Stock | 7,813 | 15,625 | D |
Explanation of responses
- F1Of the shares held as of February 6, 2017, 25,455 were issuable on vesting of restricted stock units granted under the 2012 Equity Incentive Plan and are subject to forefeiture.