0001181431-11-016937.txt : 20110309 0001181431-11-016937.hdr.sgml : 20110309 20110309202943 ACCESSION NUMBER: 0001181431-11-016937 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110307 FILED AS OF DATE: 20110309 DATE AS OF CHANGE: 20110309 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HILL RICHARD CENTRAL INDEX KEY: 0001185713 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-17157 FILM NUMBER: 11676514 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NOVELLUS SYSTEMS INC CENTRAL INDEX KEY: 0000836106 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 770024666 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4000 N FIRST ST CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 408-943-9700 MAIL ADDRESS: STREET 1: 4000 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 rrd304741.xml NVLS FORM 4 HILL (LOAN) 20110307 X0303 4 2011-03-07 0 0000836106 NOVELLUS SYSTEMS INC NVLS 0001185713 HILL RICHARD 4000 NORTH FIRST STREET SAN JOSE CA 95134 1 1 0 0 CEO Common Stock 2011-03-07 4 M 0 1200 27.48 A 7057 I By Spouse Common Stock 2011-03-07 4 S 0 1000 40.55 D 6057 I By Spouse Common Stock 2011-03-07 4 S 0 200 41.10 D 5857 I By Spouse Common Stock 2011-03-07 4 M 0 1200 24.76 A 7057 I By Spouse Common Stock 2011-03-07 4 S 0 1000 40.56 D 6057 I By Spouse Common Stock 2011-03-07 4 S 0 200 41.10 D 5857 I By Spouse Common Stock 2011-03-07 4 M 0 900 33.39 A 6757 I By Spouse Common Stock 2011-03-07 4 S 0 900 40.69 D 5857 I By Spouse Common Stock 2011-03-07 4 M 0 400 26.15 A 6257 I By Spouse Common Stock 2011-03-07 4 S 0 400 40.69 D 5857 I By Spouse Common Stock 2011-03-07 4 M 0 400 12.47 A 6257 I By Spouse Common Stock 2011-03-07 4 S 0 400 40.66 D 5857 I By Spouse Common Stock 2011-03-07 4 M 0 100 23.93 A 5957 I By Spouse Common Stock 2011-03-07 4 S 0 100 40.82 D 5857 I By Spouse Common Stock 2011-03-07 4 M 0 2500 27.51 A 8357 I By Spouse Common Stock 2011-03-07 4 S 0 2300 40.62 D 6057 I By Spouse Common Stock 2011-03-07 4 S 0 200 41.08 D 5857 I By Spouse Common Stock 2011-03-07 4 M 0 2700 29.24 A 8557 I By Spouse Common Stock 2011-03-07 4 S 0 2500 40.61 D 6057 I By Spouse Common Stock 2011-03-07 4 S 0 200 41.13 D 5857 I By Spouse Common Stock 2011-03-07 4 M 0 1200 31.24 A 7057 I By Spouse Common Stock 2011-03-07 4 S 0 1000 40.57 D 6057 I By Spouse Common Stock 2011-03-07 4 S 0 200 41.10 D 5857 I By Spouse Common Stock 2582 I By 401(k) Common Stock 155116 D Non-Qualified Stock Option (Right to Buy) 27.51 2011-03-07 4 M 0 2500 0.00 D 2012-08-15 Common Stock 2500 7500 I By Spouse Non-Qualified Stock Option (Right to Buy) 29.24 2011-03-07 4 M 0 2700 0.00 D 2012-12-13 Common Stock 2700 8010 I By Spouse Non-Qualified Stock Option (Right to Buy) 31.24 2011-03-07 4 M 0 1200 0.00 D 2014-06-11 Common Stock 1200 3800 I By Spouse Non-Qualified Stock Option (Right to Buy) 27.48 2011-03-07 4 M 0 1200 0.00 D 2014-12-16 Common Stock 1200 3800 I By Spouse Non-Qualified Stock Option (Right to Buy) 24.76 2011-03-07 4 M 0 1200 0.00 D 2015-12-15 Common Stock 1200 3800 I By Spouse Non-Qualified Stock Option (Right to Buy) 33.39 2011-03-07 4 M 0 900 0.00 D 2016-12-14 Common Stock 900 3100 I By Spouse Non-Qualified Stock Option (Right to Buy) 26.15 2011-03-07 4 M 0 400 0.00 D 2017-12-13 Common Stock 400 1569 I by Spouse Non-Qualified Stock Option (Right to Buy) 12.47 2011-03-07 4 M 0 400 0.00 D 2018-12-18 Common Stock 400 1588 I by Spouse Non-Qualified Stock Option (Right to Buy) 23.93 2011-03-07 4 M 0 100 0.00 D 2019-12-17 Common Stock 100 900 I by Spouse 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 four annual equal installments beginning December 13, 2003. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.07 to $41.01, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.05 to $41.04, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.07 to $41.12, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.08 to $41.12, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.05 to $40.82, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The grant vests 12,500 shares on June 11, 2005 and 37,500 shares on November 15, 2005. The grant vests in four annual equal installments beginning December 16, 2005. The grant vests in four annual equal installments beginning December 15, 2006. The grant vests in four annual equal installments beginning December 14, 2007. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.25 to $41.12, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.09 to $41.02, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.05 to $41.02, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The grant vests in four annual equal installments beginning August 15, 2003. The grant vests in four annual equal installments beginning December 13, 2008. 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 price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.05 to $40.83, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.05 to $40.83, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.08 to $41.18, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.07 to $41.12, inclusive. The reporting person undertakes to provide to Novellus Systems, Inc., any security holder of Novellus Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Richard Hill by Gina Corrales, Attorney-in-Fact 2011-03-09