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
- Amount reported includes shares subject to unvested Restricted Stock Awards.
- Securities were sold pursuant to a 10b5-1 Trading Plan.
- 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 are held in the Company unitized stock fund. The balance is reported as of the last business day.
- 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, 2010.
- The grant vests in four annual equal installments beginning December 17, 2011.
- 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 grant vests in four annual equal installments beginning December 18, 2009.
- The grant vests in four annual equal installments beginning December 17, 2010.