Filing Details
- Accession Number:
- 0001181431-11-061529
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-12-21 16:22:51
- Reporting Period:
- 2011-12-19
- Filing Date:
- 2011-12-21
- Accepted Time:
- 2011-12-21 16:22:51
- 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 | 2011-12-19 | 12,500 | $12.47 | 17,291 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-12-19 | 12,200 | $39.64 | 5,091 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-12-19 | 300 | $40.14 | 4,791 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-12-19 | 12,500 | $23.93 | 17,291 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-12-19 | 12,200 | $39.63 | 5,091 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-12-19 | 300 | $40.14 | 4,791 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-12-19 | 1,950 | $0.00 | 6,741 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-12-19 | 692 | $38.88 | 6,049 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2011-12-19 | 3,750 | $0.00 | 9,799 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-12-19 | 1,330 | $38.88 | 8,469 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | 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 | Non-Qualified Stock Option (Right to Buy) | Disposition | 2011-12-19 | 12,500 | $0.00 | 12,500 | $12.47 |
| Common Stock | Non-Qualified Stock Option (Right to Buy) | Disposition | 2011-12-19 | 12,500 | $0.00 | 12,500 | $23.93 |
| Common Stock | Restricted Stock Unit | Disposition | 2011-12-19 | 1,950 | $0.00 | 1,950 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2011-12-19 | 3,750 | $0.00 | 3,750 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 12,500 | 2018-12-18 | No | 4 | M | Direct | |
| 25,000 | 2019-12-17 | No | 4 | M | Direct | |
| 1,950 | No | 4 | M | Direct | ||
| 7,500 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 189 | Indirect | By 401(k) |
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 $39.08 to $40.06, 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 $40.12 to $40.16, 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 $39.12 to $40.06, 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 $40.12 to $40.16, 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 in the 401(k) 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 December 18, 2009.
- The grant vests in four annual equal installments beginning December 17, 2010.
- Each restricted stock unit represents a contingent right to receive one share of NVLS common stock.
- The grant vests in four annual equal installments beginning December 18, 2009.
- The grant vests in four annual equal installments beginning December 17, 2010.
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