SEC Form 4 · accession 0001209191-17-060052
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
Nov 7, 2017
Accepted (ET)
Nov 9, 2017 · 6:09 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 | Nov 7, 2017 | M | 37,500 | $6.40 | A | 91,412 | D | |
| Common StockF2,F1 | Nov 7, 2017 | S | 37,500 | $32.92 | D | 53,912 | D | |
| Common StockF1 | Nov 7, 2017 | M | 18,750 | $7.96 | A | 72,662 | D | |
| Common StockF3,F1 | Nov 7, 2017 | S | 18,750 | $32.91 | D | 53,912 | 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 | Nov 7, 2017 | M | 37,500 | D | Jul 15, 2015 | Jul 15, 2021 | Common Stock | 37,500 | 0 | D |
| Stock Option (right to buy) | $7.96 | Nov 7, 2017 | M | 18,750 | D | Jul 15, 2017 | Jul 1, 2020 | Common Stock | 18,750 | 0 | D |
Explanation of responses
- F1Of the shares held as of November 7, 2017, 25,985 were issuable on vesting of restricted stock units granted to the executive 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 $32.50 to $33.40, 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 sold 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 $32.80 to $33.15, 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 sold at each separate price.