SEC Form 4 · accession 0001209191-18-034696
AXCELIS TECHNOLOGIES INC · ACLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Douglas A. Lawson
Officer — EVP, Corporate Mktg & Strategy
Period of report
Jun 1, 2018
Accepted (ET)
Jun 1, 2018 · 4:34 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 | Jun 1, 2018 | S | 3,000 | $21.72 | D | 46,450 | D | |
| Common StockF1 | Jun 1, 2018 | S | 1,154 | $21.71 | D | 45,296 | D | |
| Common StockF1 | Jun 1, 2018 | M | 1,953 | $12.04 | A | 47,249 | D | |
| Common StockF1 | Jun 1, 2018 | S | 1,953 | $21.74 | D | 45,296 | D | |
| Common Stock | holding | — | — | — | 3,125 | I | Held by spouse |
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)F2 | $12.04 | Jun 1, 2018 | M | 1,953 | D | Apr 15, 2018 | Jul 15, 2022 | Common Stock | 1,953 | 9,766 | D |
Explanation of responses
- F1Of the shares held as of June 1, 2018, 31,286 were issuable on vesting of restricted stock units granted to the executive under the 2012 Equity Incentive Plan and are subject to forfeiture.
- F2These options will vest as to 20% of the unvested shares each of October 15,2018, January 15,2019, April 15,2019 and July 15,2019 if the executive remains in the service of the Company on such vesting date.