beplay体育下载2KLA Corporation年度报告根据第13和15（d）

Annual report pursuant to Section 13 and 15(d)

Equity and Long-Term Incentive Compensation Plans

Equity and Long-Term Incentive Compensation Plans

12个月结束

Jun. 30, 2018

披露与薪酬相关的费用，基于股票的付款[摘要]

EQUITY AND LONG-TERM INCENTIVE COMPENSATION PLANS

注8-股权和长期激励薪酬计划

Equity Incentive Program

作为 June 30, 2018 ，公司有beplay官网ued 二 plans under which the Company was able to issue equity incentive awards, such as restricted stock units and stock options, to its employees, consultants and members of its Board of Directors: the 2004 Equity Incentive Plan (the “2004 Plan”) and the 1998 Director Plan (the “Outside Director Plan”).

2004年计划：

The 2004 Plan provides for the grant of options to purchase shares of the Company’s common stock, stock appreciation rights, restricted stock units, performance shares, performance units and deferred stock units to the Company’s employees, consultants and members of its Board of Directors. As of June 30, 2018 , 2000万根据2004年计划可发行股票。

Any 2004 Plan awards of restricted stock units, performance shares, performance units or deferred stock units with a per share or unit purchase price lower than 100% 根据适用奖励的赠款日期，根据2004年计划下的股票总数计算出授予日的公平市场价值：（a）对于2013年11月6日之前授予的任何此类奖项的授予日反对2004年计划共享储备作为 1.8 每股分享主题；（b）对于2013年11月6日或之后授予的任何此类奖项，该奖项违反2004年计划股份储备为 2.0 每次分享一份 subject thereto.

In addition, the plan administrator has the ability to grant “dividend equivalent” rights in connection with awards of restricted stock units, performance shares, performance units and deferred stock units before they are fully vested. The plan administrator, at its discretion, may grant a right to receive dividends on the aforementioned awards which may be settled in cash or Company stock at the discretion of the plan administrator subject to meeting the vesting requirement of the underlying awards.

Outside Director Plan

The Outside Director Plan only permits the issuance of stock options to the non-employee members of the Board of Directors. As of June 30, 2018 , 1.7 million shares were available for grant under the Outside Director Plan.

Equity Incentive Plans - General Information

下表总结了公司的股权激励计划下的合并活动：beplay官网ued



（成千上万个）	Available For Grant
截至2015年6月30日的余额	7,810
授予的限制股票单位 ^{（1）（3）}	(1,541	)
被限制的股票单位取消 ⁽¹⁾	509
截至2016年6月30日的余额	6,778
授予的限制股票单位 ^{（1）（3）}	(2,169	)
被限制的股票单位取消 ⁽¹⁾	101
截至2017年6月30日的余额	4,710
授予的限制股票单位 ^{（1）（3）}	(1,132	)
授予的限制股票单位adjustment ⁽²⁾	33
被限制的股票单位取消 ⁽¹⁾	69
截至2018年6月30日的余额	3,680

__________________


(1)	The number of restricted stock units reflects the application of the award multiplier as described above ( 1.8 x或 2.0 x取决于适用奖励的授予日）。


(2)	代表了具有基于绩效的归属标准的限制性股票单位的一部分，并在截至2018年6月30日的财政年度期间获得了绩效归属标准后发行的实际股份数量。

(3)

包括授予高级管理层的限制性股票单位，该单位具有基于绩效的归属标准（除了基于服务的任何此类限制性股票单位基于服务的归属标准外）。作为 June 30, 2018 ，尚未确定（如果有的话）满足基于绩效的归属标准的程度。因此，此行项目包括财政年度授予的所有基于绩效的限制性股票单位，以最大可能的股份数量报告，如果以最大水平和所有适用的服务达到所有适用的基于绩效的标准，则最终可发行。基于标准完全满足（ 30万 shares, 8.4万分享和 0.7 million 截至2018年6月30日，2017年和2016年6月30日的财政年度的股票， 1.8 x或 2.0 x multiplier described above).

基于股票的奖励的公允价值在授予日期衡量，并被认为是员工必要服务期的费用。对于没有“股息等效”权利的限制性股票单位，公允价值是使用公司普通股在授予日的收盘价进行计算的，并进行了调整，以排除这些限制性股票单位不计的股息的现值。beplay官网ued具有“股息同等”权利授予的限制股票单位的公允价值是使用公司普通股的收盘价确定的。beplay官网ued 作为June 30, 2018 ，公司应计beplay官网ued 960万美元应付股息，其中包括特殊现金股息和截至股息记录日期未偿还的未投资限制股票单位的常规季度现金股息。根据该公司的员工股票购买计划的购买权的公允价值是使用黑色chleoles评估模型确定的。beplay官网ued

下表显示了指定期间的基于税前的股票薪酬费用：



	截至6月30日的年
（成千上万个）	2018		2017		2016
基于股票的补偿费用：
Costs of revenues	$	8,062	$	5,338	$	4,689
研究与开发	11,249		8,089		8,618
销售，一般和行政	43,473		37,516		31,743
基于股票的总补偿费用	$	62,784	$	50,943	$	45,050

下表显示，基于股票的薪酬资本为库存，如下所示的日期：



（成千上万个）	作为June 30,
（成千上万个）	2018		2017
存货	$	4,580	$	2,820

限制股票单位

The following table shows the applicable number of restricted stock units and weighted-average grant date fair value for restricted stock units granted, vested and released, withheld for taxes, and forfeited during the fiscal year ended June 30, 2018 和restricted stock units outstanding as of June 30, 2018 和 2017 :



限制股票单位	分享（成千上万个） ⁽¹⁾		Weighted-Average 授予日期公允价值
Outstanding restricted stock units as of June 30, 2017 ⁽²⁾	2,241		$	68.24
的确 ⁽²⁾	567		$	95.95
的确adjustments ⁽³⁾	(17	)	$	74.26
既得并释放	(435	)	$	66.87
扣留税款	(307	)	$	66.87
没收	(35	)	$	67.33
Outstanding restricted stock units as of June 30, 2018 ⁽²⁾	2,014		$	76.50

__________________


(1)	Share numbers reflect actual shares subject to awarded restricted stock units. As described above, under the terms of the 2004 Plan, the number of shares subject to each award reflected in this number is multiplied by either 1.8 x或 2.0 x (depending on the grant date of the award) to calculate the impact of the award on the share reserve under the 2004 Plan.

(2)

包括授予高级管理层的限制性股票单位，该单位具有基于绩效的归属标准（除了基于服务的任何此类限制性股票单位基于服务的归属标准外）。作为 June 30, 2018 ，尚未确定（如果有的话）满足基于绩效的归属标准的程度。因此，此行项目包括所有基于绩效的限制性股票单位，以最大可能的股份数量报告（即 0.2million 财政年度的股票结束 June 30, 2018 , 42,000 财政年度的股票结束 June 30, 2017 和 30万财政年度的股票结束 June 30, 2016 ) that may ultimately be issuable if all applicable performance-based criteria are achieved at their maximum and all applicable service-based criteria are fully satisfied.


(3)	Represents the portion of restricted stock units granted with performance based vesting criteria and reported at the actual number of shares issued upon achievement of the performance vesting criteria during the fiscal year ended June 30, 2018 。

公司授予的限制股票单位通常归属于仅具有基于服务的归属标准的奖励（a）beplay官网ued 三或者 four equal installments and (b) with respect to awards with both performance-based and service-based vesting criteria, in 二在授予日期的三周年和四周年纪念日中，在适用归属日期起剩下的收件人的情况下，在每种情况下。beplay官网ued每年授予董事会独立成员授予的限制性股票单位。

下表显示了授予的限制性股票单位的加权平均赠款日期公允价值，以及公司在指定期间与既得和释放的限制性股票单位所实现的限制股票单位和税收福利：beplay官网ued



（成千上万，除了加权平均赠款日期公允价值除外）	截至6月30日的年
（成千上万，除了加权平均赠款日期公允价值除外）	2018		2017		2016
加权平均授予日公允价值每单位公允价值	$	95.95	$	78.83	$	51.12
授予日期的既得限制股票单位的公允价值	$	49,606	$	33,820	$	51,992
公司在既有和释放的限制股票单位上实现的税收优惠beplay官网ued	$	16,615	$	15,829	$	27,412

作为 June 30, 2018 , the unrecognized stock-based compensation expense balance related to restricted stock units was 1.043亿美元 , excluding the impact of estimated forfeitures, and will be recognized over a weighted-average remaining contractual term and an estimated weighted-average amortization period of 1。3年。截至截至 June 30, 2018 曾是 2.065亿美元。

基于现金的长期奖励补偿

The Company has adopted a cash-based long-term incentive (“Cash LTI”) program for many of its employees as part of the Company’s employee compensation program. During the fiscal years ended June 30, 2018 和 2017 ，公司批准了beplay官网ued现金LTI奖 $64.9 million 和 $96.7 million 分别根据公司的现金长期激励计划（“现金LTI计划”）beplay官网ued。该公司更beplay官网ued改了其员工年度赠款的时间安排，与2017年6月30日的财政年度相比，截至2018年6月30日的财政年度，现金LTI奖项较低。计划将归属三或者 four 平等分期付款，三分之一或者四分之一在授予日期的每个周年纪念日的现金LTI奖励总额三或者 four -year period. In order to receive payments under a Cash LTI award, participants must remain employed by the Company as of the applicable award vesting date. Executives and non-employee Board members are not participating in this program. During the fiscal years ended June 30, 2018 , 2017 和 2016 ，公司认可beplay官网ued 5240万美元 , 4880万美元和 $44.6 million , respectively, in compensation expense under the Cash LTI Plan. As of June 30, 2018 , the unrecognized compensation balance (excluding the impact of estimated forfeitures) related to the Cash LTI Plan was $132.1 million 。

员工股票购买计划

KLA-Tencor’s Employee Stock Purchase Plan (“ESPP”) provides, effective January 2, 2018, that eligible employees may contribute up to 15％的their eligible earnings toward the semi-annual purchase of KLA-Tencor’s common stock. Prior to January 2, 2018, eligible employees could contribute up to 10％的their eligible earnings. The ESPP is qualified under Section 423 of the Internal Revenue Code. The employee’s purchase price is derived from a formula based on the closing price of the common stock on the first day of the offering period versus the closing price on the date of purchase (or, if not a trading day, on the immediately preceding trading day).

The offering period (or length of the look-back period) under the ESPP has a duration of six months ，以及从该日期开始或之后开始的每个发行期的购买价格，直到另外修改为等于 85% 的the lesser of (i) the fair market value of the Company’s common stock at the commencement of the applicable six-month offering period or (ii) the fair market value of the Company’s common stock on the purchase date. The Company estimates the fair value of purchase rights under the ESPP using a Black-Scholes valuation model.

使用Black-Scholes选项评估模型和直线归因方法估算了ESPP下的每项购买权的公允价值，并具有以下加权平均假设：



	截至6月30日的年
	2018		2017		2016
股票购买计划：
预期股票价格波动	28.7	%	23.4	%	25.4	%
无风险利率	1.1	%	0.5	%	0.2	%
股息产量	2.5	%	2.8	%	3.3	%
预期的生活（几年）	0.50		0.50		0.50

下表显示，员工收到的现金总额是根据ESPP发行的股票，员工通过ESPP购买的股票数量，公司在ESPP和ESPP下购买的股份的不合格处置而实现的税收优惠beplay官网ued指定期间的加权平均公允价值每股公允价值：



(In thousands, except for weighted-average fair value per share)	截至6月30日的年
	2018		2017		2016
Total cash received from employees for the issuance of shares under the ESPP	$	61,452	$	45,358	$	38,295
Number of shares purchased by employees through the ESPP	733		705		735
Tax benefits realized by the Company in connection with the disqualifying dispositions of shares purchased under the ESPP	$	1,664	$	1,999	$	2,194
根据黑色choles模型，每股加权平均公允价值	$	21.95	$	15.16	$	12.48

The ESPP shares are replenished annually on the first day of each fiscal year by virtue of an evergreen provision. The provision allows for share replenishment equal to the lesser of 2000万在即将到来的财政年度，将要求根据ESPP发行KLA-Tencor估计的股份或股票数量。作为 June 30, 2018 , a total of 2000万 shares were reserved and available for issuance under the ESPP.

季度现金股息

2018年5月3日,公司董事会dbeplay官网uedeclared a regular quarterly cash dividend of $ 0.75 per share on the outstanding shares of the Company’s common stock, which was paid on June 1, 2018 to the stockholders of record as of the close of business on May 15, 2018. The total amount of regular quarterly cash dividends paid by the Company during the fiscal years ended June 30, 2018 和 2017 曾是 3.956亿美元和 3.354亿美元，分别。对于具有股息同等权利的未投资限制股票单位的常规季度现金股息应支付的应计股息金额 670万美元和 480万美元 as of June 30, 2018 和 2017 ，分别。These amounts will be paid upon vesting of the underlying restricted stock units. Refer to Note 19, “Subsequent Events” to the consolidated financial statements for additional information regarding the declaration of our quarterly cash dividend announced subsequent to June 30, 2018.

特殊现金股息

On November 19, 2014, the Company’s Board of Directors declared a special cash dividend of $ 16.50 per share on our outstanding common stock, which was paid on December 9, 2014 to the stockholders of record as of the close of business on December 1, 2014. The declaration and payment of the special cash dividend was part of the Company’s leveraged recapitalization transaction under which the special cash dividend was financed through a combination of existing cash and proceeds from the debt financing disclosed in Note 7, “Debt” that was completed during the three months ended December 31, 2014. As of the declaration date, the total amount of the special cash dividend accrued by the Company was approximately 27.6亿美元，在截至2014年12月31日的三个月中，几乎所有这些都付清了 4,300万美元 that was accrued for the unvested restricted stock units. As of June 30, 2018 和 2017 ，该公司总共beplay官网ued有 $2.8 million 和 $9.0 million 分别针对未偿还未投资的限制股票单位应为特殊现金股息支付应计的股息，这些股票将在此基本未投资的限制性股票单位归属时支付。公司在财beplay官网ued政年度结束时就既得限制股票单位支付了特殊的现金股息 June 30, 2018 和 2017 的 640万美元和 860万美元 respectively. Other than the special cash dividend declared during the three months ended December 31, 2014, the Company historically has not declared any special cash dividend.