0001181431-12-006929.txt : 20120208 0001181431-12-006929.hdr.sgml : 20120208 20120208191340 ACCESSION NUMBER: 0001181431-12-006929 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120207 FILED AS OF DATE: 20120208 DATE AS OF CHANGE: 20120208 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOTTLIEB ANDREW CENTRAL INDEX KEY: 0001488812 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-17157 FILM NUMBER: 12583542 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 rrd333340.xml GOTTLIEB FORM 4 X0304 4 2012-02-07 0 0000836106 NOVELLUS SYSTEMS INC NVLS 0001488812 GOTTLIEB ANDREW 4000 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 VP and General Counsel Common Stock 2012-02-07 4 M 0 2500 26.86 A 2500 D Common Stock 2012-02-07 4 S 0 2500 48.177 D 0 D Common Stock 211 I By 401(k) Stock Option (Right to Buy) 26.86 2012-02-07 4 M 0 2500 0.00 D 2020-04-15 Common Stock 2500 7500 D The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.17 to $48.18, 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 indirect holdings in the 401(k) 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 April 1, 2011. Andrew Gottlieb by Jeff Alexander, Attorney-in-Fact 2012-02-08