SEC Form 4 · accession 0001209191-17-052595
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
Sep 12, 2017
Accepted (ET)
Sep 13, 2017 · 4:21 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 | Sep 12, 2017 | M | 37,500 | $6.40 | A | 106,684 | D | |
| Common StockF2 | Sep 12, 2017 | S | 37,500 | $22.37 | D | 69,184 | D | |
| Common Stock | Sep 12, 2017 | M | 24,848 | $7.20 | A | 94,032 | D | |
| Common StockF1 | Sep 12, 2017 | S | 24,848 | $22.60 | D | 69,184 | 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) | $6.40 | Sep 12, 2017 | M | 37,500 | D | Jul 15, 2015 | Jul 15, 2021 | Common Stock | 37,500 | 0 | D |
| Stock Option (right to buy) | $7.20 | Sep 12, 2017 | M | 24,848 | D | Jul 15, 2017 | Jul 15, 2021 | Common Stock | 24,848 | 14,063 | D |
Explanation of responses
- F1Of the shares held as of September 12, 2017, 39,167 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 $22.30 to $22.70, 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.