Filing Details

Accession Number:
0001209191-19-057464
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-11-20 17:13:46
Reporting Period:
2019-11-18
Accepted Time:
2019-11-20 17:13:46
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1113232 Axcelis Technologies Inc ACLS Special Industry Machinery, Nec (3559) 341818596
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1158015 G Mary Puma C/O Axcelis Technologies, Inc.
108 Cherry Hill Drive
Beverly MA 01915
President And Ceo Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2019-11-18 42,500 $6.40 392,373 No 4 M Direct
Common Stock Disposition 2019-11-18 42,500 $22.60 349,873 No 4 S Direct
Common Stock Acquisiton 2019-11-19 42,500 $7.96 392,373 No 4 M Direct
Common Stock Disposition 2019-11-19 42,500 $22.53 349,873 No 4 S Direct
Common Stock Acquisiton 2019-11-20 20,000 $6.40 369,873 No 4 M Direct
Common Stock Acquisiton 2019-11-20 1,831 $7.96 371,704 No 4 M Direct
Common Stock Disposition 2019-11-20 21,831 $22.36 349,873 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (right to buy) Disposition 2019-11-18 42,500 $0.00 42,500 $6.40
Common Stock Stock Option (right to buy) Disposition 2019-11-19 42,500 $0.00 42,500 $7.96
Common Stock Stock Option (right to buy) Disposition 2019-11-20 20,000 $0.00 20,000 $6.40
Common Stock Stock Option (right to buy) Disposition 2019-11-20 1,831 $0.00 1,831 $7.96
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
20,000 2014-07-15 2020-07-15 No 4 M Direct
20,000 2017-07-15 2020-07-15 No 4 M Direct
0 2014-07-15 2020-07-15 No 4 M Direct
18,169 2017-07-15 2020-07-15 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 5,000 Indirect Held by Spouse
Footnotes
  1. Of the shares held as of November 18, 2019, 167,676 were issuable on vesting of restricted stock units granted to the executive under the 2012 Equity Incentive Plan and are subject to forfeiture.
  2. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $22.47 to 22.71, 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.
  3. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $22.31 to $22.75, 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.
  4. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $22.25 to $22.60, 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.