0001209191-23-014101.txt : 20230301 0001209191-23-014101.hdr.sgml : 20230301 20230301161740 ACCESSION NUMBER: 0001209191-23-014101 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230228 FILED AS OF DATE: 20230301 DATE AS OF CHANGE: 20230301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PUMA MARY G CENTRAL INDEX KEY: 0001158015 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30941 FILM NUMBER: 23693760 MAIL ADDRESS: STREET 1: AXCELIS TECHNOLOGIES INC. STREET 2: 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 2023-02-28 0 0001113232 AXCELIS TECHNOLOGIES INC ACLS 0001158015 PUMA MARY G C/O AXCELIS TECHNOLOGIES, INC. 108 CHERRY HILL DRIVE BEVERLY MA 01915 1 1 0 0 President and CEO Common Stock 2023-02-28 4 F 0 8552 0.00 D 360406 D Common Stock 2023-02-28 4 F 0 6289 0.00 D 354117 D Common Stock 5000 I By spouse This forfeiture of shares for tax withholding purposes relates to the vesting on February 28, 2023 of the remainder of performance based restricted stock units granted to the executive in May 2021. These shares were determined to be earned by the executive pursuant to a resolution of the Axcelis Technologies, Inc. Compensation Committee on February 15, 2022, and half of the earned shares vested on February 28, 2022. As agreed with the executive, the shares issued to the executive on the vested shares were reduced by a number of shares having a value equal to the executive's tax withholding obligation with respect to the vested shares. These shares were withheld by the Company to cover the tax withholding obligations of the executive on the vesting of restricted stock units on February 28, 2023. Of the shares beneficially owned by the executive on February 28, 2023 after the vesting of the 2021 performance based restricted stock units, 104,401 shares were issuable on vesting of restricted stock units which are subject to forfeiture. This number includes 141,80 shares issuable under the executive's 2022 performance based restricted stock units, which also vested on February 28, 2023. This forfeiture of shares for tax withholding purposes relates to the vesting on February 28, 2023 of the first half of shares earned under performance based restricted stock units granted to the executive in May 2022. These shares were determined to be earned by the executive pursuant to a resolution of the Axcelis Technologies, Inc. Compensation Committee on February 16, 2023. The second half of the shares earned under this restricted stock unit award will vest on February 28, 2024, assuming continuation of the executive's services. As agreed with the executive, the shares issued to the executive on the vested shares were reduced by a number of shares having a value equal to the executive's tax withholding obligation with respect to the vested shares. Of the shares beneficially owned by the executive on February 28, 2023 after the vesting of shares issued on both the 2021 performance based restricted stock units and the 2022 performance based restricted stock units, 90,221 shares were issuable on vesting of restricted stock units which are subject to forfeiture. Lynnette C. Fallon, as attorney in fact for Mary G. Puma 2023-03-01