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美国证券交易委员会(sec) Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIESFiled 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. | |||
人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 | |
KENNEDY KEVIN C/O KLA CORPORATION ONE TECHNOLOGY DRIVE MILPITAS, CA 95035 |
X |
/s/ Jeffrey Cannon as Attorney-in-Fact for Kevin J. Kennedy | 08/03/2020 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person,seeInstruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations.See18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This sale was effected pursuant to the terms of a Rule 10b5-1 trading plan adopted by the Reporting Person on May 5, 2019. |
(2) | Represents the weighted average sales price for the shares. The sales prices ranged from $203.05 to $203.45. The reporting person will provide upon request full information regarding the number of shares sold at each separate price. |
(3) | Shares held by the Kennedy Family Trust U/A/D 11/19/98, of which the Reporting Person is a trustee and beneficiary. |
(4) | Represents the weighted average sales price for the shares. The sales prices ranged from $205.02 to $205.92. The reporting person will provide upon request full information regarding the number of shares sold at each separate price. |
(5) | Represents the weighted average sales price for the shares. The sales prices ranged from $206.10 to $207.07. The reporting person will provide upon request full information regarding the number of shares sold at each separate price. |
(6) | Represents the weighted average sales price for the shares. The sales prices ranged from $207.24 to $207.87. The reporting person will provide upon request full information regarding the number of shares sold at each separate price. |
(7) | Each restricted stock unit ("RSU") represents a contingent right to receive one share of KLA common stock. |