SEC Form 4 · accession 0001209191-17-011091
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 13, 2017
Accepted (ET)
Feb 15, 2017 · 4:33 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 13, 2017 | M | 18,876 | $3.72 | A | 80,512 | D | |
| Common Stock | Feb 13, 2017 | S | 14,311 | $16.40 | D | 66,201 | D | |
| Common Stock | Feb 13, 2017 | S | 1,650 | $16.45 | D | 64,551 | D | |
| Common Stock | Feb 13, 2017 | S | 2,915 | $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 13, 2017 | M | 18,876 | A | Jul 16, 2016 | Jul 16, 2019 | Common Stock | 18,876 | 0 | D |
Explanation of responses
- F1Of the shares held as of February 13, 2017, 40,000 were issuable on vesting of restricted stock units granted under the 2012 Equity Incentive Plan and are subject to forfeiture.