UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Donzella Oreste ONE TECHNOLOGY DRIVE MILPITAS, CA 95035 |
Executive Vice President |
Teri A. Little as Attorney-in-Fact for Oreste Donzella | 02/11/2020 | |
**Signature of Reporting Person | Date |
* | 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) | Each restricted stock unit ("RSU") represents a contingent right to receive one share of KLA common stock. |
(2) | Consists of seven different RSU awards covering: (1) 2,240 shares, which will vest as to all of the shares on September 7, 2020; (2) 2,000 shares, which will vest as to all of the shares on February 1, 2021; (3) 1,876 shares, which will vest as to 50% of the shares on August 3, 2020 and 2021; (4) 2,342 shares, which will vest as to 50% of the shares on November 1, 2020 and 2021; (5) 4,311 shares, which will vest as to one third of the shares on August 2, 2020, 2021 and 2022; (6) 5,360 shares, which will vest as to 25% of the shares on August 1, 2020, 2021, 2022 and 2023; and (7) 6,906 shares, which will vest as to all of the shares on March 20, 2022, in each case subject to continued service on the applicable vesting date. |
(3) | Does not include performance-based RSUs, if any, held by the Reporting Person for which an assessment has not yet been made regarding the achievement of the applicable performance goals. Any such holdings will be reported on a Form 4 within two business days of the date such assessment is made. |