Quarterly Report (10-q)
November 06 2020 - 4:25PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
*
PATEL KIRAN M |
2. Issuer Name and Ticker or Trading Symbol
KLA CORP
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KLAC
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O KLA CORPORATION, ONE TECHNOLOGY DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/4/2020 |
(Street)
MILPITAS, CA 95035
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock - Restricted Stock Units (1) | 11/4/2020 | | M | | 1162 (2) | D | $0 | 0 | D | |
Common Stock | 11/4/2020 | | M | | 1162 (2) | A | $0 | 3234 | D | |
Common Stock - Restricted Stock Units (1) | 11/4/2020 | | A | | 906 (3) | A | $0 | 906 | D | |
Common Stock | | | | | | | | 7754 | I | By Trust (4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Each restricted stock unit ("RSU") represents a contingent right to receive one share of KLA common stock. |
(2) | On November 5, 2019, the Reporting Person received an automatic grant of RSUs for 1,162 shares of KLA common stock. On November 4, 2020, the RSUs vested in full. |
(3) | On November 4, 2020, the Reporting Person received an automatic grant of RSUs for 906 shares of KLA common stock. The RSUs will vest upon the earliest to occur of (i) November 4, 2021, (ii) immediately prior to the next annual meeting of stockholders and (iii) ten days prior to a change of control of KLA. |
(4) | By The Kiran Patel Trust dated August 28, 2018, of which the Reporting Person is a trustee and beneficiary. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
PATEL KIRAN M C/O KLA CORPORATION ONE TECHNOLOGY DRIVE MILPITAS, CA 95035 | X |
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Signatures
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/s/ Jeffrey Cannon as Attorney-in-Fact for Kiran M. Patel | | 11/6/2020 |
**Signature of Reporting Person | Date |
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