0001209191-20-030572.txt : 20200519 0001209191-20-030572.hdr.sgml : 20200519 20200519170828 ACCESSION NUMBER: 0001209191-20-030572 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200515 FILED AS OF DATE: 20200519 DATE AS OF CHANGE: 20200519 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FALLON LYNNETTE C CENTRAL INDEX KEY: 0001195654 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30941 FILM NUMBER: 20894614 MAIL ADDRESS: STREET 1: 108 CHERRY HILL DRIVE CITY: BEVERLY STATE: MA ZIP: 01915 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AXCELIS TECHNOLOGIES INC CENTRAL INDEX KEY: 0001113232 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 341818596 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 108 CHERRY HILL DRIVE CITY: BEVERLY STATE: MA ZIP: 01915 BUSINESS PHONE: 978-787-4000 MAIL ADDRESS: STREET 1: 108 CHERRY HILL DRIVE CITY: BEVERLY STATE: MA ZIP: 01915 FORMER COMPANY: FORMER CONFORMED NAME: EATON SEMICONDUCTOR EQUIPMENT INC DATE OF NAME CHANGE: 20000501 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-05-15 0 0001113232 AXCELIS TECHNOLOGIES INC ACLS 0001195654 FALLON LYNNETTE C C/O AXCELIS TECHNOLOGIES, INC. 108 CHERRY HILL DRIVE BEVERLY MA 01915 0 1 0 0 Executive VP, HR/Legal Common Stock 2020-05-15 4 A 0 10894 0.00 A 75516 D Common Stock 2020-05-15 4 A 0 10894 0.00 A 86410 D Common Stock 2020-05-15 4 F 0 837 23.52 D 85573 D Common Stock 2020-05-16 4 F 0 1404 23.95 D 84169 D Common Stock 2020-05-16 4 F 0 558 23.95 D 83611 D Common Stock 2020-05-17 4 F 0 643 23.95 D 82968 D These shares are issuable on vesting of restricted stock units granted under the Company's 2012 Equity Incentive Plan. Assuming continuation of employment, 25% of these restricted stock units will vest on each of May 15, 2021, May 15, 2022, May 15, 2023 and May 15, 2024. Of the shares held after this first grant on May 15, 2020, 42,811 were issuable on vesting of restricted stock units granted to the executive under the 2012 Equity Incentive Plan and are subject to forfeiture. These shares are issuable on vesting of restricted stock units granted under the Company's 2012 Equity Incentive Plan. Based on the achievement of performance goals and assuming continuation of employment, up to 50% of these restricted stock units will vest on each of February 28, 2021 and February 28, 2022. Unearned restricted stock units will forfeit on February 28, 2021. Of the shares held after this second grant on May 15, 2020, 53,705 were issuable on vesting of restricted stock units granted to the executive under the 2012 Equity Incentive Plan and are subject to forfeiture. These shares were withheld by the Company to cover the tax withholding obligations of the executive on the vesting of restricted stock units. Represents the closing price of the common stock on the date of the tax withholding. Of the shares held after this tax withholding forfeiture (and related vesting) on May 15, 2020, 50,859 were issuable on vesting of restricted stock units granted to the executive under the 2012 Equity Incentive Plan and are subject to forfeiture. Of the shares held after this first tax withholding forfeiture (and related vesting) on May 16, 2020, 46,046 were issuable on vesting of restricted stock units granted to the executive under the 2012 Equity Incentive Plan and are subject to forfeiture. Of the shares held after this second tax withholding forfeiture (and related vesting) on May 16, 2020, 44,189 were issuable on vesting of restricted stock units granted to the executive under the 2012 Equity Incentive Plan and are subject to forfeiture. Of the shares held after this tax withholding forfeiture (and related vesting) on May 17, 2020, 42,002 were issuable on vesting of restricted stock units granted to the executive under the 2012 Equity Incentive Plan and are subject to forfeiture. Lynnette C. Fallon 2020-05-19