Filing Details
- Accession Number:
- 0001181431-11-052846
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-10-17 17:28:34
- Reporting Period:
- 2011-10-13
- Filing Date:
- 2011-10-17
- Accepted Time:
- 2011-10-17 17:28:34
- 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 |
|---|---|---|---|---|---|---|---|
| 1488812 | Andrew Gottlieb | 4000 North First Street San Jose CA 95134 | Vp And General Counsel | 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 | Acquisiton | 2011-10-13 | 7,500 | $15.23 | 8,449 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-10-13 | 7,500 | $32.00 | 949 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-10-13 | 5,000 | $31.92 | 5,949 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-10-13 | 1,834 | $31.92 | 4,115 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2011-10-14 | 3,166 | $32.12 | 949 | 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 | F | 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 | 2011-10-13 | 7,500 | $0.00 | 7,500 | $15.23 |
| Common Stock | Restricted Stock Unit | Disposition | 2011-10-13 | 5,000 | $0.00 | 5,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 7,500 | 2018-10-16 | No | 4 | M | Direct | |
| 5,000 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 211 | Indirect | By 401(k) |
Footnotes
- Securities sold pursuant to a 10b-5 plan.
- The indirect holdings in the 401K are held in the Company unitized stock fund. The balance is reported as of the last business day.
- The grant vests in four annual equal installments beginning October 13, 2009.
- Each restricted stock unit represents a contingent right to receive one share of NVLS common stock.
Billionaire Hedge Funds
