SEC Form 4/A · accession 0001209191-19-009283
AXCELIS TECHNOLOGIES INC · ACLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Douglas A. Lawson
Officer — EVP, Corporate Mktg & Strategy
Period of report
Jun 1, 2018
Accepted (ET)
Feb 12, 2019 · 4:11 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 | Jun 1, 2018 | S | 3,000 | $21.72 | D | 46,450 | D | |
| Common StockF1,F2 | Jun 1, 2018 | S | 1,554 | $21.71 | D | 44,896 | D | |
| Common StockF1,F2 | Jun 1, 2018 | M | 1,953 | $12.04 | A | 46,849 | D | |
| Common StockF1,F2 | Jun 1, 2018 | S | 1,953 | $21.74 | D | 44,896 | 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)F3 | $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.
- F2The original Form 4, filed on June 1, 2018, is being amended by this Form 4 amendment solely to correct an administrative error, which misreported a sale that occurred on June 1, 2018 as a total of 1,154 shares sold when in fact 1,554 shares of the Issuer's common stock were sold. As a result of this administrative error, the number of shares beneficially owned by the reporting person following the corrected transaction reflects a reduction of 400 shares.
- F3These 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.