SEC Form 4 · accession 0001209191-18-031397
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 16, 2018
Accepted (ET)
May 18, 2018 · 4:13 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 StockF2,F1,F3 | May 16, 2018 | F | 8,335 | $22.40 | D | 217,713 | D | |
| Common StockF4,F5 | May 16, 2018 | A | 32,524 | $0.00 | A | 250,237 | D | |
| Common StockF6,F7 | May 16, 2018 | A | 32,524 | $0.00 | A | 282,761 | D | |
| Common StockF9,F8,F10 | May 17, 2018 | F | 3,820 | $22.40 | D | 278,941 | D | |
| Common Stock | holding | — | — | — | 5,000 | I | Held by spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were withheld by the Company to cover the tax withholding obligations of the executive on the vesting of restricted stock units on May 16, 2018.
- F10Of the shares held as of May 17, 2018, 128,330 were issuable on vesting of restricted stock units granted to the executive under the 2012 Equity Incentive Plan and are subject to forfeiture.
- F2Represents the closing price on May 16, 2018.
- F3Of the shares held as of May 16, 2018, 71,875 were issuable on vesting of restricted stock units granted to the executive under the 2012 Equity Incentive Plan and are subject to forfeiture.
- F4These shares are issuable on vesting of restricted stock units granted under the Company's 2012 Equity Incentive Plan. Assuming continuation of employment, 25% of these restricted stock units will vest on each of May 16, 2019, May 16, 2020, May 16, 2021 and May 16, 2022.
- F5Of the shares held as of May 16, 2018, 104,399 were issuable on vesting of restricted stock units granted to the executive under the 2012 Equity Incentive Plan and are subject to forfeiture.
- F6These shares are issuable on vesting of restricted stock units granted under the Company's 2012 Equity Incentive Plan. Assuming continuation of employment, up to 50% of these restricted stock units will vest on each of February 28, 2019 and February 28, 2020, based on performance vesting criteria. Unvested restricted stock units will forfeit on February 28, 2019.
- F7Of the shares held as of May 16, 2018, 136,923 were issuable on vesting of restricted stock units granted to the executive under the 2012 Equity Incentive Plan and are subject to forfeiture.
- F8These shares were withheld by the Company to cover the tax withholding obligations of the executive on the vesting of restricted stock units on May 17, 2018.
- F9Represents the closing price on May 17, 2018.