Filing Details

Accession Number:
0001181431-11-061631
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-12-21 21:30:24
Reporting Period:
2011-12-19
Filing Date:
2011-12-21
Accepted Time:
2011-12-21 21:30:24
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
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 11,715 $0.00 168,021 No 4 M Direct
Common Stock Acquisiton 2011-12-19 10,155 $0.00 178,176 No 4 M Direct
Common Stock Disposition 2011-12-19 411 $39.96 3,573 No 4 S Indirect By Spouse
Common Stock Acquisiton 2011-12-19 994 $12.47 4,567 No 4 M Indirect By Spouse
Common Stock Disposition 2011-12-19 994 $40.00 3,573 No 4 S Indirect By Spouse
Common Stock Acquisiton 2011-12-19 1,000 $23.93 4,573 No 4 M Indirect By Spouse
Common Stock Disposition 2011-12-19 1,000 $40.00 3,573 No 4 S Indirect By Spouse
Common Stock Acquisiton 2011-12-19 794 $0.00 4,367 No 4 M Indirect By Spouse
Common Stock Disposition 2011-12-19 292 $38.88 4,075 No 4 F Indirect By Spouse
Common Stock Acquisiton 2011-12-19 956 $0.00 5,031 No 4 M Indirect By Spouse
Common Stock Disposition 2011-12-19 351 $38.88 4,680 No 4 F Indirect By Spouse
Common Stock Disposition 2011-12-20 605 $39.32 4,075 No 4 S Indirect By Spouse
Common Stock Disposition 2011-12-20 502 $39.32 3,573 No 4 S Indirect By Spouse
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 S Indirect By Spouse
No 4 M Indirect By Spouse
No 4 S Indirect By Spouse
No 4 M Indirect By Spouse
No 4 S Indirect By Spouse
No 4 M Indirect By Spouse
No 4 F Indirect By Spouse
No 4 M Indirect By Spouse
No 4 F Indirect By Spouse
No 4 S Indirect By Spouse
No 4 S Indirect By Spouse
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Unit Disposition 2011-12-19 11,715 $0.00 11,715 $0.00
Common Stock Restricted Stock Unit Disposition 2011-12-19 10,155 $0.00 10,155 $0.00
Common Stock Non-Qualified Stock Option (Right to Buy) Disposition 2011-12-19 994 $0.00 994 $12.47
Common Stock Non-Qualified Stock Option (Right to Buy) Disposition 2011-12-19 1,000 $0.00 1,000 $23.93
Common Stock Restricted Stock Unit Disposition 2011-12-19 794 $0.00 794 $0.00
Common Stock Restricted Stock Unit Disposition 2011-12-19 956 $0.00 956 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
23,430 No 4 M Direct
30,465 No 4 M Direct
993 2018-12-18 No 4 M Indirect
2,000 2019-12-17 No 4 M Indirect
793 No 4 M Indirect
1,912 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
  1. Amount reported includes shares subject to unvested Restricted Stock Awards.
  2. Securities were sold pursuant to a 10b5-1 Trading Plan.
  3. 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.
  4. The indirect holdings by Mrs. Hill are held in the Company unitized stock fund. The balance is reported as of the last business day.
  5. Each restricted stock unit represents a contingent right to receive one share of NVLS common stock.
  6. The grant vests in four annual equal installments beginning December 18, 2010.
  7. The grant vests in four annual equal installments beginning December 17, 2011.
  8. The grant vests in four annual equal installments beginning December 18, 2009.
  9. The grant vests in four annual equal installments beginning December 17, 2010.
  10. The grant vests in four annual equal installments beginning December 18, 2009.
  11. The grant vests in four annual equal installments beginning December 17, 2010.