FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 11/13/2013 |
3. Issuer Name and Ticker or Trading Symbol
AXCELIS TECHNOLOGIES INC [ ACLS ] |
|||||||||||||
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 10,098 | D | |
Common Stock | 7,500 | I | By spouse |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock option (right to buy)(1) | 01/15/2014(2) | 01/15/2020 | Common Stock | 12,500 | $1.59 | D | |
Stock option (right to buy)(1) | 07/15/2014(3) | 07/15/2020 | Common Stock | 65,000 | $1.6 | D | |
Stock option (right to buy)(1) | 07/15/2015(4) | 07/15/2021 | Common Stock | 40,000 | $1.6 | D | |
Stock option (right to buy)(5) | 07/16/2016(6) | 07/16/2019 | Common Stock | 37,500 | $0.93 | D | |
Stock option (right to buy)(5) | 07/15/2017(7) | 07/15/2020 | Common Stock | 75,000 | $1.99 | D |
Explanation of Responses: |
1. Granted pursuant to the Axcelis Technologies, Inc. 2000 Stock Plan. |
2. To become exercisable on 1/15/2014. |
3. Exercisable as to 46,250 shares and to become exercisable as to an additional 18,750 on 7/15/2014. |
4. Excercisable as to 20,000 shares and to become exercisable as to an additional 10,000 shares on each of 7/15/2014 and 7/15/2015. |
5. Granted pursuant to the Axcelis Technologies, Inc. 2012 Equity Incentive Plan. |
6. To become exercisable as to 12,500 shares on each of 7/16/2014, 7/16/2015 and 7/16/2016. |
7. To become exercisable as to 18,750 shares on each of 7/15/2014, 7/15/2015, 7/15/2016 and 7/15/2017. |
Lynnette C. Fallon, as attorney in fact for Douglas A. Lawson | 11/14/2013 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |