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