Filing Details
- Accession Number:
- 0001181431-11-060723
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-12-15 19:51:05
- Reporting Period:
- 2011-12-13
- Filing Date:
- 2011-12-15
- Accepted Time:
- 2011-12-15 19:51:05
- 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 |
|---|---|---|---|---|---|---|---|
| 1417778 | John Hertz | 4000 North First Street San Jose CA 95134 | Vp And Chief Financial 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 | Acquisiton | 2011-12-13 | 2,500 | $26.15 | 5,727 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-12-13 | 2,500 | $36.19 | 3,227 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-12-13 | 625 | $0.00 | 3,852 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-12-13 | 222 | $35.31 | 3,630 | No | 4 | F | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Novellus Option Plan | Disposition | 2011-12-13 | 2,500 | $0.00 | 2,500 | $26.15 |
| Common Stock | Restricted Stock Unit | Disposition | 2011-12-13 | 625 | $0.00 | 625 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-12-13 | No | 4 | M | Direct | |
| 0 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 189 | Indirect | By 401(k) |
Footnotes
- The grant vests in four annual equal installments beginning December 13, 2008.
- Each restricted stock unit represents a contingent right to receive one share of NVLS common stock.
- Subject to the reporting person's continued employment, fifty percent (50%) of the shares will vest in four annual equal installments beginning December 13, 2008. The remaining fifty percent (50%) of the shares will vest upon achievement of specific revenue targets by March 31, 2011. If the performance conditions are not met by the target date, shares will be forfeited.
- Securities were sold pursuant to a 10b5-1 Trading 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.
Billionaire Hedge Funds
