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Filing Details

Accession Number:: 0001181431-11-061219
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2011-12-19 21:39:06
Reporting Period:: 2011-12-15

Filing Date:: 2011-12-19
Accepted Time:: 2011-12-19 21:39:06
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
1185713	Richard Hill	4000 North First Street San Jose CA 95134	Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2011-12-15	93,181	$29.24	249,487	No	4	M	Direct
Common Stock	Disposition	2011-12-15	38,348	$40.45	211,139	No	4	S	Direct
Common Stock	Disposition	2011-12-15	28,697	$41.71	182,442	No	4	S	Direct
Common Stock	Disposition	2011-12-15	26,136	$42.16	156,306	No	4	S	Direct
Common Stock	Acquisiton	2011-12-15	149,999	$31.24	306,305	No	4	M	Direct
Common Stock	Disposition	2011-12-15	149,999	$42.03	156,306	No	4	S	Direct
Common Stock	Acquisiton	2011-12-15	83,878	$24.61	240,184	No	4	M	Direct
Common Stock	Disposition	2011-12-15	34,500	$40.45	205,684	No	4	S	Direct
Common Stock	Disposition	2011-12-15	25,411	$41.70	180,273	No	4	S	Direct
Common Stock	Disposition	2011-12-15	23,967	$42.16	156,306	No	4	S	Direct
Common Stock	Acquisiton	2011-12-15	26,200	$26.01	182,506	No	4	M	Direct
Common Stock	Disposition	2011-12-15	2,501	$40.43	180,005	No	4	S	Direct
Common Stock	Disposition	2011-12-15	1,500	$41.70	178,505	No	4	S	Direct
Common Stock	Disposition	2011-12-15	1,199	$42.17	177,306	No	4	S	Direct
Common Stock	Disposition	2011-12-15	4,700	$40.42	172,606	No	4	S	Direct
Common Stock	Disposition	2011-12-15	3,300	$41.71	169,306	No	4	S	Direct
Common Stock	Disposition	2011-12-15	2,700	$42.16	166,606	No	4	S	Direct
Common Stock	Disposition	2011-12-15	2,500	$40.43	164,106	No	4	S	Direct
Common Stock	Disposition	2011-12-15	1,700	$41.75	162,406	No	4	S	Direct
Common Stock	Disposition	2011-12-15	1,000	$42.19	161,406	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Non-Qualified Stock Option (right to buy)	Disposition	2011-12-15	93,181	$0.00	93,181	$29.24
Common Stock	Non-Qualified Stock Option (right to buy)	Disposition	2011-12-15	149,999	$0.00	149,999	$31.24
Common Stock	Non-Qualified Stock Option (right to buy)	Disposition	2011-12-15	83,878	$0.00	83,878	$24.61
Common Stock	Non-Qualified Stock Option (right to buy)	Disposition	2011-12-15	26,200	$0.00	26,200	$26.01
Common Stock	Non-Qualified Stock Option (right to buy)	Disposition	2011-12-15	10,225	$0.00	10,225	$23.94

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2012-12-13	No	4	M	Direct
0	2014-06-11	No	4	M	Direct
0	2015-12-16	No	4	M	Direct
25,000	2017-12-14	No	4	M	Direct
119,175	2019-12-18	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	2,582	Indirect	By 401(k)
Common Stock	5,857	Indirect	By Spouse

Footnotes

Amount reported includes shares subject to unvested Restricted Stock Awards.
Securities were sold pursuant to a 10b5-1 Trading Plan.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.98, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.00 to $41.99, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.00 to $42.46, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.00 to $42.34, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.98, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.00 to $41.99, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.00 to $42.47, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.80, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.02 to $41.96, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.04 to $42.38, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.86, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.00 to $41.99, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.00 to $42.44, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.80, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.08 to $42.06, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.10 to $42.35, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The indirect holdings by Mr. Hill's 401(k) are held in the Company unitized stock fund. The balance is reported as of the last business day.
The indirect holdings take into account sales by Mrs. Hill, reported on even date herewith. The indirect holdings by Mrs. Hill include 2,284 estimated shares held in her Company 401(k) unitized stock fund. The balance is reported as of the last business day. The remaining shares are held in common stock.
The grant vests in four annual equal installments beginning December 13, 2003.
The grant vests in two installments on June 11, 2005 and November 11, 2005.
The grant vests in four annual equal installments beginning December 16, 2006.
The grant vests in four annual equal installments beginning December 14, 2008.
The grant vests in four annual equal installments beginning December 18, 2010.