SEC Form 4 · accession 0001209191-17-036556
AXCELIS TECHNOLOGIES INC · ACLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph P Keithley
Director
Period of report
May 31, 2017
Accepted (ET)
May 31, 2017 · 5:40 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 31, 2017 | M | 10,000 | $6.16 | A | 35,439 | D | |
| Common StockF2,F1 | May 31, 2017 | S | 10,000 | $21.66 | D | 25,439 | D | |
| Common StockF1 | May 31, 2017 | M | 10,000 | $3.72 | A | 35,439 | D | |
| Common StockF3,F1 | May 31, 2017 | S | 10,000 | $21.61 | D | 25,439 | 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) | $6.16 | May 31, 2017 | M | 10,000 | D | Feb 12, 2012 | Aug 3, 2021 | Common Stock | 10,000 | 0 | D |
| Stock option (right to buy) | $3.72 | May 31, 2017 | M | 10,000 | D | Jan 13, 2013 | Jul 16, 2019 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Of the shares held as of May 31, 2017, 3,802 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 $21.65 to $21.70, 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 $21.60 to $21.65, 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.