0001181431-11-061224.txt : 20111220
0001181431-11-061224.hdr.sgml : 20111220
20111220060347
ACCESSION NUMBER: 0001181431-11-061224
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111215
FILED AS OF DATE: 20111220
DATE AS OF CHANGE: 20111220
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: 111270663
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
rrd328666.xml
HILL FORM 4 (STEP 2)
X0304
4
2011-12-15
0
0000836106
NOVELLUS SYSTEMS INC
NVLS
0001185713
HILL RICHARD
4000 NORTH FIRST STREET
SAN JOSE
CA
95134
1
1
0
0
CEO
Common Stock
2011-12-15
4
S
0
1800
41.774
D
157106
D
Common Stock
2011-12-15
4
S
0
800
42.194
D
156306
D
Common Stock
2011-12-15
4
M
0
2500
27.48
A
6073
I
By Spouse
Common Stock
2011-12-15
4
S
0
1500
40.428
D
4573
I
By Spouse
Common Stock
2011-12-15
4
S
0
1000
41.952
D
3573
I
By Spouse
Common Stock
2011-12-15
4
M
0
2500
24.76
A
6073
I
By Spouse
Common Stock
2011-12-15
4
S
0
1500
40.429
D
4573
I
By Spouse
Common Stock
2011-12-15
4
S
0
1000
41.949
D
3573
I
By Spouse
Common Stock
2011-12-15
4
M
0
2000
33.39
A
5573
I
By Spouse
Common Stock
2011-12-15
4
S
0
1200
40.383
D
4373
I
By Spouse
Common Stock
2011-12-15
4
S
0
500
41.628
D
3873
I
By Spouse
Common Stock
2011-12-15
4
S
0
300
42.157
D
3573
I
By Spouse
Common Stock
2011-12-15
4
M
0
1725
26.15
A
5298
I
By Spouse
Common Stock
2582
I
By 401(k)
Common Stock
2284
I
By Spouse
Non-Qualified Stock Option (Right to Buy)
27.51
2011-12-15
4
M
0
5100
0
D
2012-08-15
Common Stock
5100
0
I
By Spouse
Non-Qualified Stock Option (Right to Buy)
29.24
2011-12-15
4
M
0
5510
0
D
2012-12-13
Common Stock
5510
0
I
By Spouse
Non-Qualified Stock Option (Right to Buy)
31.24
2011-12-15
4
M
0
2500
0
D
2014-06-11
Common Stock
2500
0
I
By Spouse
Non-Qualified Stock Option (Right to Buy)
27.48
2011-12-15
4
M
0
2500
0
D
2014-12-16
Common Stock
2500
0
I
By Spouse
Non-Qualified Stock Option (Right to Buy)
24.76
2011-12-15
4
M
0
2500
0
D
2015-12-15
Common Stock
2500
0
I
By Spouse
Non-Qualified Stock Option (Right to Buy)
33.39
2011-12-15
4
M
0
2000
0
D
2016-12-14
Common Stock
2000
0
I
By Spouse
Non-Qualified Stock Option (Right to Buy)
26.15
2011-12-15
4
M
0
1725
0
D
2017-12-13
Common Stock
1725
0
I
By Spouse
Non-Qualified Stock Option (Right to Buy)
12.47
2011-12-15
4
M
0
1088
0
D
2018-12-18
Common Stock
1088
1987
I
By Spouse
Non-Qualified Stock Option (Right to Buy)
23.93
2011-12-15
4
M
0
600
0
D
2019-12-17
Common Stock
600
3000
I
By Spouse
Securities were sold pursuant to a 10b5-1 Trading Plan.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.08 to $42.03, 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.
Amount reported includes shares subject to unvested Restricted Stock Awards.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.09 to $42.45, 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 $40.00 to $40.84, 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 $41.56 to $42.45, 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 $40.00 to $40.84, 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 $41.56 to $42.45, 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 $40.00 to $40.86, 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 $41.00 to $41.93, 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 $42.05 to $42.29, 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, 2003.
The grant vests in two installments on June 11, 2005 and November 11, 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 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 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's 401(k) are held in the Company unitized stock fund. The balance is reported as of the last business day.
Richard Hill by Jeff Alexander, Attorney-in-Fact
2011-12-19