AXCELIS TECHNOLOGIES INC — Director's Dealing 2019

Nov 20, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AXCELIS TECHNOLOGIES INC (ACLS)
CIK: 0001113232
Period of Report: 2019-11-18

Reporting Person: PUMA MARY G (Director, President and CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-11-18	Common Stock	M	42500	$6.40	Acquired	392373	Direct
2019-11-18	Common Stock	S	42500	$22.60	Disposed	349873	Direct
2019-11-19	Common Stock	M	42500	$7.96	Acquired	392373	Direct
2019-11-19	Common Stock	S	42500	$22.53	Disposed	349873	Direct
2019-11-20	Common Stock	M	20000	$6.40	Acquired	369873	Direct
2019-11-20	Common Stock	M	1831	$7.96	Acquired	371704	Direct
2019-11-20	Common Stock	S	21831	$22.36	Disposed	349873	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-11-18	Stock Option (right to buy)	$6.40	M	42500	Disposed	2020-07-15	Common Stock (42500)	Direct
2019-11-19	Stock Option (right to buy)	$7.96	M	42500	Disposed	2020-07-15	Common Stock (42500)	Direct
2019-11-20	Stock Option (right to buy)	$6.40	M	20000	Disposed	2020-07-15	Common Stock (20000)	Direct
2019-11-20	Stock Option (right to buy)	$7.96	M	1831	Disposed	2020-07-15	Common Stock (1831)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	5000	Indirect

Footnotes

F1: 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.

F2: 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.

F3: 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.

F4: 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.