SEC Form 4 · accession 0001209191-17-032382
AXCELIS TECHNOLOGIES INC · ACLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lynnette C Fallon
Officer — Executive VP, HR/Legal
Period of report
May 12, 2017
Accepted (ET)
May 15, 2017 · 5:08 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 Stock | May 12, 2017 | M | 5,071 | $4.64 | A | 49,562 | D | |
| Common StockF1,F2 | May 12, 2017 | S | 5,071 | $21.52 | D | 44,491 | D | |
| Common Stock | May 15, 2017 | M | 26,179 | $4.64 | A | 70,670 | D | |
| Common StockF3,F2 | May 15, 2017 | S | 26,179 | $21.16 | D | 44,491 | 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 | May 12, 2017 | M | 5,071 | D | Nov 16, 2013 | Nov 16, 2019 | Common Stock | 5,071 | 26,179 | D |
| Stock option (right to buy) | $4.64 | May 15, 2017 | M | 26,179 | D | Nov 16, 2013 | Nov 16, 2019 | Common Stock | 26,179 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $21.50 to $21.55, 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.
- F2Of the shares held as of May 12 and 15, 2017, 19,091 were issuable on vesting of restricted stock units granted under the 2012 Equity Incentive Plan and are subject to forfeiture.
- F3The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $21.15 to $21.25, 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.