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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Khan Ahmad A. ONE TECHNOLOGY DRIVE MILPITAS, CA 95035 |
President, Semi Proc. Control |
/s/ Jeffrey Cannon as Attorney-in-Fact for Ahmad A. Khan | 08/11/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | The Reporting Person vested fifty percent (50%) of the performance-based RSUs upon the date on which the Compensation Committee of KLA's Board of Directors determined the level at which theunderlying performance goals were attained (August 5, 2021) and will vest in the remaining fifty percent (50%) upon his completion of four years of service following the award (August 2, 2022). The shares ofcommon stock will be issued as the performance-based RSUs vest. |
(2) | This amendment to Form 4 is being filed to correct an administrative error which incorrectly reported the number of shares of KLA common stock that were beneficially owned by the Reporting Person following this reported transaction on August 5, 2021, and to report the holding for the Reporting Person as 16,872 shares of KLA common stock, instead of 14,702, following such transaction. |
(3) | Pursuant to the terms of the grant, shares of KLA common stock were automatically withheld at vesting to cover required tax withholding. The fair market value of KLA common stock used for purposes of calculating the number of shares to be withheld was the closing price of KLA common stock as reported on August 5, 2021. |
(4) | This amendment to Form 4 is being filed to correct an administrative error which incorrectly reported the number of shares of KLA common stock that were beneficially owned by the Reporting Person following this reported transaction on August 5, 2021, and to report the holding for the Reporting Person as 12,671 shares of KLA common stock, instead of 10,501, following the reported transaction. |