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AXCELIS TECHNOLOGIES INC — Director's Dealing 2019
May 17, 2019
31374_dirs_2019-05-17_fc6de07d-8d36-4aa0-9cc4-f11e34778383.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: 2019-05-15
Reporting Person: PUMA MARY G (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-05-15 | Common Stock | A | 45542 | $0.00 | Acquired | 320083 | Direct |
| 2019-05-15 | Common Stock | A | 45542 | $0.00 | Acquired | 365625 | Direct |
| 2019-05-16 | Common Stock | F | 8325 | $16.95 | Disposed | 357300 | Direct |
| 2019-05-16 | Common Stock | F | 3611 | $16.95 | Disposed | 353689 | Direct |
| 2019-05-17 | Common Stock | F | 3816 | $16.50 | Disposed | 349873 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5000 | Indirect |
Footnotes
F1: These shares are issuable on vesting of restricted stock units granted under the Company's 2012 Equity Incentive Plan. Assuming continuation of employment, 25% of these restricted stock units will vest on each of May 15, 2020, May 15, 2021, May 15, 2022 and May 15, 2023.
F2: Of the shares held as of May 15, 2019, 157,609 were issuable on vesting of restricted stock units granted to the executive under the 2012 Equity Incentive Plan and are subject to forfeiture.
F3: These shares are issuable on vesting of restricted stock units granted under the Company's 2012 Equity Incentive Plan. Assuming continuation of employment, up to 50% of these restricted stock units will vest on each of February 28, 2020 and February 28, 2021, based on performance vesting criteria. Unvested restricted stock units will forfeit on February 28, 2020.
F4: Of the shares held as of May 15, 2019, 203,151 were issuable on vesting of restricted stock units granted to the executive under the 2012 Equity Incentive Plan and are subject to forfeiture.
F5: These shares were withheld by the Company to cover the tax withholding obligations of the executive on the vesting of restricted stock units.
F6: Represents the closing price of the common stock on the date of the tax withholding.
F7: Of the shares held as of May 16, 2019, 176,270 were issuable on vesting of restricted stock units granted to the executive under the 2012 Equity Incentive Plan and are subject to forfeiture.
F8: Of the shares held as of May 17, 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.