SEC Form 4 · accession 0001209191-17-031689
AXCELIS TECHNOLOGIES INC · ACLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mary G Puma
Officer — President and CEO · Director
Period of report
May 9, 2017
Accepted (ET)
May 11, 2017 · 8:40 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 | May 9, 2017 | M | 46,598 | $2.80 | A | 240,684 | D | |
| Common StockF2,F1 | May 9, 2017 | S | 46,598 | $21.09 | D | 194,086 | D | |
| Common Stock | May 10, 2017 | M | 15,902 | $2.80 | A | 209,988 | D | |
| Common Stock | May 10, 2017 | M | 62,500 | $3.72 | A | 272,488 | D | |
| Common StockF3,F1 | May 10, 2017 | S | 78,402 | $21.05 | D | 194,086 | D | |
| Common Stock | May 11, 2017 | M | 62,500 | $4.64 | A | 256,686 | D | |
| Common StockF4,F1 | May 11, 2017 | S | 62,500 | $21.01 | D | 194,086 | D | |
| Common Stock | holding | — | — | — | 5,000 | 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) | $2.80 | May 9, 2017 | M | 46,598 | D | Nov 17, 2012 | Nov 17, 2018 | Common Stock | 46,598 | 15,902 | D |
| Stock option (right to buy) | $2.80 | May 10, 2017 | M | 15,902 | D | Nov 17, 2012 | Nov 17, 2018 | Common Stock | 15,902 | 0 | D |
| Stock option (right to buy) | $3.72 | May 10, 2017 | M | 62,500 | D | Jul 16, 2016 | Jul 16, 2019 | Common Stock | 62,500 | 0 | D |
| Stock option (right to buy) | $4.64 | May 11, 2017 | M | 62,500 | D | Nov 16, 2013 | Nov 16, 2019 | Common Stock | 62,500 | 0 | D |
Explanation of responses
- F1Of the shares held as of May 9, 10 and 11, 2017, 75,000 were issuable on vesting of restricted stock units granted under the 2012 Equity Incentive Plan and are subject to forfeiture.
- F2The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $21.00 to $21.45, inclusive. The reporting person undertakes to provide to Axcelis Technologies, Inc., any security holder of Axcelis Technologies, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.
- F3The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $21.00 to $21.40, inclusive. The reporting person undertakes to provide to Axcelis Technologies, Inc., any security holder of Axcelis Technologies, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.
- F4The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $21.00 to $21.10, inclusive. The reporting person undertakes to provide to Axcelis Technologies, Inc., any security holder of Axcelis Technologies, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.