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Filing Details

Accession Number:: 0001181431-11-061224
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2011-12-20 06:03:47
Reporting Period:: 2011-12-15

Filing Date:: 2011-12-20
Accepted Time:: 2011-12-20 06:03:47
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	Explanation
Common Stock	Disposition	2011-12-15	1,800	$41.77	157,106	No	4	S	Direct
Common Stock	Disposition	2011-12-15	800	$42.19	156,306	No	4	S	Direct
Common Stock	Acquisiton	2011-12-15	2,500	$27.48	6,073	No	4	M	Indirect	By Spouse
Common Stock	Disposition	2011-12-15	1,500	$40.43	4,573	No	4	S	Indirect	By Spouse
Common Stock	Disposition	2011-12-15	1,000	$41.95	3,573	No	4	S	Indirect	By Spouse
Common Stock	Acquisiton	2011-12-15	2,500	$24.76	6,073	No	4	M	Indirect	By Spouse
Common Stock	Disposition	2011-12-15	1,500	$40.43	4,573	No	4	S	Indirect	By Spouse
Common Stock	Disposition	2011-12-15	1,000	$41.95	3,573	No	4	S	Indirect	By Spouse
Common Stock	Acquisiton	2011-12-15	2,000	$33.39	5,573	No	4	M	Indirect	By Spouse
Common Stock	Disposition	2011-12-15	1,200	$40.38	4,373	No	4	S	Indirect	By Spouse
Common Stock	Disposition	2011-12-15	500	$41.63	3,873	No	4	S	Indirect	By Spouse
Common Stock	Disposition	2011-12-15	300	$42.16	3,573	No	4	S	Indirect	By Spouse
Common Stock	Acquisiton	2011-12-15	1,725	$26.15	5,298	No	4	M	Indirect	By Spouse

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct
No	4	S	Direct
No	4	M	Indirect	By Spouse
No	4	S	Indirect	By Spouse
No	4	S	Indirect	By Spouse
No	4	M	Indirect	By Spouse
No	4	S	Indirect	By Spouse
No	4	S	Indirect	By Spouse
No	4	M	Indirect	By Spouse
No	4	S	Indirect	By Spouse
No	4	S	Indirect	By Spouse
No	4	S	Indirect	By Spouse
No	4	M	Indirect	By Spouse

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	5,100	$0.00	5,100	$27.51
Common Stock	Non-Qualified Stock Option (Right to Buy)	Disposition	2011-12-15	5,510	$0.00	5,510	$29.24
Common Stock	Non-Qualified Stock Option (Right to Buy)	Disposition	2011-12-15	2,500	$0.00	2,500	$31.24
Common Stock	Non-Qualified Stock Option (Right to Buy)	Disposition	2011-12-15	2,500	$0.00	2,500	$27.48
Common Stock	Non-Qualified Stock Option (Right to Buy)	Disposition	2011-12-15	2,500	$0.00	2,500	$24.76
Common Stock	Non-Qualified Stock Option (Right to Buy)	Disposition	2011-12-15	2,000	$0.00	2,000	$33.39
Common Stock	Non-Qualified Stock Option (Right to Buy)	Disposition	2011-12-15	1,725	$0.00	1,725	$26.15
Common Stock	Non-Qualified Stock Option (Right to Buy)	Disposition	2011-12-15	1,088	$0.00	1,088	$12.47
Common Stock	Non-Qualified Stock Option (Right to Buy)	Disposition	2011-12-15	600	$0.00	600	$23.93

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2012-08-15	No	4	M	Indirect
0	2012-12-13	No	4	M	Indirect
0	2014-06-11	No	4	M	Indirect
0	2014-12-16	No	4	M	Indirect
0	2015-12-15	No	4	M	Indirect
0	2016-12-14	No	4	M	Indirect
0	2017-12-13	No	4	M	Indirect
1,987	2018-12-18	No	4	M	Indirect
3,000	2019-12-17	No	4	M	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	2,582	Indirect	By 401(k)
Common Stock	2,284	Indirect	By Spouse

Footnotes

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 $41.08 to $42.03, 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.
Amount reported includes shares subject to unvested Restricted Stock Awards.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.09 to $42.45, 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 $40.84, 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 $41.56 to $42.45, 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 $40.84, 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 $41.56 to $42.45, 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 $41.93, 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 $42.05 to $42.29, 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 grant vests in four annual equal installments beginning August 15, 2003.
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, 2005.
The grant vests in four annual equal installments beginning December 15, 2006.
The grant vests in four annual equal installments beginning December 14, 2007.
The grant vests in four annual equal installments beginning December 13, 2008.
The grant vests in four annual equal installments beginning December 18, 2009.
The grant vests in four annual equal installments beginning December 17, 2010.
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 by Mrs. Hill's 401(k) are held in the Company unitized stock fund. The balance is reported as of the last business day.