0001181431-11-020105.txt : 20110325 0001181431-11-020105.hdr.sgml : 20110325 20110325154037 ACCESSION NUMBER: 0001181431-11-020105 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110324 FILED AS OF DATE: 20110325 DATE AS OF CHANGE: 20110325 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CHEN FUSEN ERNIE CENTRAL INDEX KEY: 0001316245 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-17157 FILM NUMBER: 11712478 MAIL ADDRESS: STREET 1: 4000 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 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 rrd306605.xml NVLS FORM 4 CHEN 20110324 X0303 4 2011-03-24 0 0000836106 NOVELLUS SYSTEMS INC NVLS 0001316245 CHEN FUSEN ERNIE 4000 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 EVP, Semiconductor Sys. Prods. Common Stock 2011-03-24 4 M 0 40000 24.76 A 40000 D Common Stock 2011-03-24 4 S 0 40000 36.51 D 0 D Common Stock 5765 I By 401(k) Non-Qualified Stock Option (right to buy) 24.76 2011-03-24 4 M 0 40000 0.00 D 2015-12-15 Common Stock 40000 0 D Securities were sold pursuant to a 10b5-1 Plan. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.50 to $36.53, 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 indirect holdings in the 401K are held in the Company unitized stock fund. The balance is reported as of the last business day. The grant vests in four annual equal installments beginning December 15, 2006. Fusen Chen by Gina Corrales, Attorney-in-Fact 2011-03-25