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AXCELIS TECHNOLOGIES INC — Director's Dealing 2015
Aug 12, 2015
31374_dirs_2015-08-12_13d5874f-a573-4653-812f-8161a66f9232.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AXCELIS TECHNOLOGIES INC (ACLS)
CIK: 0001113232
Period of Report: 2015-08-10
Reporting Person: Lawson Douglas A. (EVP, Corporate Mktg & Strategy)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-08-10 | Common Stock | M | 10000 | $1.60 | Acquired | 28598 | Direct |
| 2015-08-10 | Common Stock | M | 12500 | $0.93 | Acquired | 41098 | Direct |
| 2015-08-10 | Common Stock | M | 18750 | $1.99 | Acquired | 59848 | Direct |
| 2015-08-10 | Common Stock | M | 10752 | $1.80 | Acquired | 70600 | Direct |
| 2015-08-10 | Common Stock | S | 31573 | $3.28 | Disposed | 39027 | Direct |
| 2015-08-10 | Common Stock | S | 18896 | $3.29 | Disposed | 20131 | Direct |
| 2015-08-10 | Common Stock | S | 1381 | $3.30 | Disposed | 18750 | Direct |
| 2015-08-10 | Common Stock | S | 152 | $3.35 | Disposed | 18598 | Direct |
| 2015-08-11 | Common Stock | M | 20498 | $1.80 | Acquired | 39096 | Direct |
| 2015-08-11 | Common Stock | S | 17898 | $3.29 | Disposed | 21198 | Direct |
| 2015-08-11 | Common Stock | S | 2600 | $3.30 | Disposed | 18598 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-08-10 | Stock option (right to buy) | $1.60 | M | 10000 | Disposed | 2021-07-15 | Common Stock (10000) | Direct |
| 2015-08-10 | Stock option (right to buy) | $0.93 | M | 12500 | Disposed | 2019-07-16 | Common Stock (12500) | Direct |
| 2015-08-10 | Stock option (right to buy) | $1.99 | M | 18750 | Disposed | 2020-07-15 | Common Stock (18750) | Direct |
| 2015-08-10 | Stock option (right to buy) | $1.80 | M | 10752 | Disposed | 2021-07-15 | Common Stock (10752) | Direct |
| 2015-08-11 | Stock option (right to buy) | $1.80 | M | 20498 | Disposed | 2021-07-15 | Common Stock (20498) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 12500 | Indirect |
Footnotes
F1: 50,000 stock options were granted on July 16, 2012 and vested as to 12,500 shares on each of July 16, 2013, 2014 and 2015. The remaining options for 12,500 shares will vest on July 16, 2016.
F2: 75,000 stock options were granted on July 15, 2013 and vested as to 18,750 shares on each of July 15, 2014 and 2015. The remaining options for 37,500 shares will vest as to 18,750 shares on each of July 16, 2016 and 2017.
F3: 125,000 stock options were granted on July 15, 2014 and vested as to 31,250 shares on July 15, 2015. The remaining options for 93,750 shares will vest as to 31,250 shares on each of July 15, 2016, 2017 and 2018.