Filing Details

Accession Number:
0001181431-12-023983
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-04-13 19:54:46
Reporting Period:
2012-04-12
Filing Date:
2012-04-13
Accepted Time:
2012-04-13 19:54:46
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
836106 Novellus Systems Inc NVLS Special Industry Machinery, Nec (3559) 770024666
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1343600 Timothy Archer 4000 North First Street
San Jose CA 95134
Chief Operating Officer No 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 Disposition 2012-04-12 19,528 $47.69 13,706 No 4 S Direct
Common Stock Disposition 2012-04-12 3,198 $48.26 10,508 No 4 S Direct
Common Stock Acquisiton 2012-04-12 37,500 $12.47 48,008 No 4 M Direct
Common Stock Disposition 2012-04-12 37,500 $47.55 10,508 No 4 S Direct
Common Stock Acquisiton 2012-04-12 50,000 $29.24 60,508 No 4 M Direct
Common Stock Disposition 2012-04-12 50,000 $47.36 10,508 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
No 4 M Direct
No 4 S 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 2012-04-12 37,500 $0.00 37,500 $12.47
Common Stock Stock Option (Right to Buy) Disposition 2012-04-12 50,000 $0.00 50,000 $29.24
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
37,500 2018-12-18 No 4 M Direct
0 2012-12-13 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 3,758 Indirect By 401(k)
Common Stock 445 Indirect By Spouse
Footnotes
  1. Securities were sold pursuant to a 10b5-1 Trading Plan.
  2. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.19 to $48.17, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
  3. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.19 to $48.33, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
  4. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.47 to $47.70, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
  5. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.24 to $47.73, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
  6. The indirect holdings in the 401(k) are held in the Company unitized stock fund. The balance is reported as of the last business day.
  7. The indirect holdings by Mrs. Archer are estimated shares held in the Company 401(k) unitized stock fund. The balance is reported as of the last business day.
  8. The grant vests in four annual equal installments beginning December 18, 2009.
  9. The grant vests in four annual equal installments beginning December 13, 2003.