Filing Details
- Accession Number:
- 0001181431-12-003399
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-01-20 18:57:43
- Reporting Period:
- 2012-01-18
- Filing Date:
- 2012-01-20
- Accepted Time:
- 2012-01-20 18:57:43
- 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 | 2012-01-18 | 50,000 | $34.36 | 194,769 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-01-18 | 50,000 | $45.00 | 144,769 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-01-18 | 50,000 | $34.36 | 194,769 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-01-18 | 50,000 | $45.00 | 144,769 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-01-18 | 25,000 | $26.01 | 169,769 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-01-18 | 25,000 | $45.00 | 144,769 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-01-18 | 39,725 | $23.94 | 184,494 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-01-18 | 39,725 | $45.00 | 144,769 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2012-01-18 | 50,000 | $0.00 | 50,000 | $34.36 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2012-01-18 | 50,000 | $0.00 | 50,000 | $34.36 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2012-01-18 | 25,000 | $0.00 | 25,000 | $26.01 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2012-01-18 | 39,725 | $0.00 | 39,725 | $23.94 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 50,000 | 2016-12-15 | No | 4 | M | Direct | |
| 0 | 2016-12-15 | No | 4 | M | Direct | |
| 0 | 2017-12-14 | No | 4 | M | Direct | |
| 79,450 | 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 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 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 three annual equal installments beginning December 15, 2007.
- The grant vests in four annual equal installments beginning December 14, 2008.
- The grant vests in four annual equal installments beginning December 18, 2010.
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