1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock option (right to buy)
(1)
|
01/15/2014(2)
|
01/15/2020 |
Common Stock
|
12,500
|
$
1.59
|
D
|
Â
|
Stock option (right to buy)
(1)
|
07/15/2014(3)
|
07/15/2020 |
Common Stock
|
65,000
|
$
1.6
|
D
|
Â
|
Stock option (right to buy)
(1)
|
07/15/2015(4)
|
07/15/2021 |
Common Stock
|
40,000
|
$
1.6
|
D
|
Â
|
Stock option (right to buy)
(5)
|
07/16/2016(6)
|
07/16/2019 |
Common Stock
|
37,500
|
$
0.93
|
D
|
Â
|
Stock option (right to buy)
(5)
|
07/15/2017(7)
|
07/15/2020 |
Common Stock
|
75,000
|
$
1.99
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
Granted pursuant to the Axcelis Technologies, Inc. 2000 Stock Plan. |
(2) |
To become exercisable on 1/15/2014. |
(3) |
Exercisable as to 46,250 shares and to become exercisable as to an additional 18,750 on 7/15/2014. |
(4) |
Excercisable as to 20,000 shares and to become exercisable as to an additional 10,000 shares on each of 7/15/2014 and 7/15/2015. |
(5) |
Granted pursuant to the Axcelis Technologies, Inc. 2012 Equity Incentive Plan. |
(6) |
To become exercisable as to 12,500 shares on each of 7/16/2014, 7/16/2015 and 7/16/2016. |
(7) |
To become exercisable as to 18,750 shares on each of 7/15/2014, 7/15/2015, 7/15/2016 and 7/15/2017. |