AXCELIS TECHNOLOGIES INC 10-Q

Item 5. Other Information. ​ During the quarter ended September 30, 2023 , no director or officer adopted or terminated any contract, instrument or written plan for the purchase or sale of Axcelis securities intended to satisfy the affirmative defense conditions of Rule 10 b5-1(c) under the Exchange Act or any non-Rule 10 b5-1 trading arrangement as defined in Item 408(c) of Regulation S-K. ​ 28 Table of Contents ​ Item 6. Exhibits. ​ The following exhibits are filed herewith: ​ Exhibit No Description ​ ​ ​ 3.1 ​ Restated Certificate of Incorporation of the Company filed November 2, 2017. Incorporated by reference to Exhibit 3.1 of the Company’s Form 10-Q filed with the Commission on November 3, 2017. ​ ​ ​ 3.2 ​ Bylaws of the Company, as amended as of May 11, 2022. Incorporated by reference to Exhibit 3.2 of the Company’s Form 8-K filed with the SEC on May 11, 2022. ​ ​ ​ 31.1* ​ Certification of the Principal Executive Officer under Exchange Act Rule 13a-14(a)/15d-14(a) (Section 302 of the Sarbanes-Oxley Act), dated November 2, 2023. ​ ​ ​ 31.2* ​ Certification of the Principal Financial Officer under Exchange Act Rule 13a-14(a)/15d-14(a) (Section 302 of the Sarbanes-Oxley Act), dated November 2, 2023. ​ ​ ​ 32.1** ​ Certification of the Principal Executive Officer pursuant to Section 1350 of Chapter 63 of title 18 of the United States Code (Section 906 of the Sarbanes-Oxley Act), dated November 2, 2023. ​ ​ ​ 32.2** ​ Certification of the Principal Financial Officer pursuant to Section 1350 of Chapter 63 of title 18 of the United States Code (Section 906 of the Sarbanes-Oxley Act), dated November 2, 2023. ​ ​ ​ 101* ​ The following materials from the Company’s Form 10-Q for the quarter ended September 30, 2023, formatted in inline eXtensible Business Reporting Language (iXBRL): (i) Consolidated Statements of Operations, (ii) Consolidated Statements of Comprehensive Income, (iii) Consolidated Balance Sheets, (iv) Consolidated Statements of Cash Flows and (v) Notes to Consolidated Financial Statements (Unaudited). Filed herewith. ​ ​ ​ 104* ​ Cover Page Interactive Data File (formatted as iXBRL and contained in Exhibit 101). ​ ​ ​ * Filed herewith ** This exhibit is being furnished rather than filed, and shall not be deemed incorporated by reference into any filing, in accordance with Item 601 of Regulation S-K. ​ ​ ​ 29 Table of Contents ​ SIGNATURES ​ Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. ​ ​ AXCELIS TECHNOLOGIES, INC. DATED: November 2, 2023 By: /s/ JAMES COOGAN ​ ​ ​ ​ ​ James Coogan ​ ​ Executive Vice President and Chief Financial Officer ​ ​ Duly Authorized Officer and Principal Financial Officer ​ ​ ​ 30