0001181431-12-023983.txt : 20120413 0001181431-12-023983.hdr.sgml : 20120413 20120413195446 ACCESSION NUMBER: 0001181431-12-023983 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120412 FILED AS OF DATE: 20120413 DATE AS OF CHANGE: 20120413 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARCHER TIMOTHY CENTRAL INDEX KEY: 0001343600 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-17157 FILM NUMBER: 12759707 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 rrd342152.xml ARCHER FORM 4 X0305 4 2012-04-12 0 0000836106 NOVELLUS SYSTEMS INC NVLS 0001343600 ARCHER TIMOTHY 4000 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 Chief Operating Officer Common Stock 2012-04-12 4 S 0 19528 47.694 D 13706 D Common Stock 2012-04-12 4 S 0 3198 48.256 D 10508 D Common Stock 2012-04-12 4 M 0 37500 12.47 A 48008 D Common Stock 2012-04-12 4 S 0 37500 47.545 D 10508 D Common Stock 2012-04-12 4 M 0 50000 29.24 A 60508 D Common Stock 2012-04-12 4 S 0 50000 47.355 D 10508 D Common Stock 3758 I By 401(k) Common Stock 445 I By Spouse Stock Option (Right to Buy) 12.47 2012-04-12 4 M 0 37500 0.00 D 2018-12-18 Common Stock 37500 37500 D Stock Option (Right to Buy) 29.24 2012-04-12 4 M 0 50000 0.00 D 2012-12-13 Common Stock 50000 0 D 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 $47.19 to $48.17, 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 $48.19 to $48.33, 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 $47.47 to $47.70, 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 $47.24 to $47.73, 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 indirect holdings by Mrs. Archer are estimated shares held in the Company 401(k) unitized stock fund. The balance is reported as of the last business day. The grant vests in four annual equal installments beginning December 18, 2009. The grant vests in four annual equal installments beginning December 13, 2003. Timothy Archer by Jeff Alexander, Attorney-in-Fact 2012-04-13