SEC Form 4 · accession 0001628280-18-011011
KLA CORP · KLAC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bren D. Higgins
Officer — EVP & Chief Financial Officer
Period of report
Aug 8, 2018
Accepted (ET)
Aug 10, 2018 · 4:04 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000319201
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Aug 8, 2018 | S | 600 | $116.77 | D | 13,089 | D | |
| Common StockF1 | Aug 8, 2018 | S | 265 | $118.13 | D | 12,824 | D | |
| Common StockF1,F3 | Aug 8, 2018 | S | 700 | $115.896 | D | 12,124 | D | |
| Common StockF1,F4 | Aug 8, 2018 | S | 344 | $117.432 | D | 11,780 | D | |
| Common StockF1,F5 | Aug 8, 2018 | S | 700 | $115.969 | D | 11,080 | D | |
| Common StockF1,F6 | Aug 9, 2018 | S | 1,243 | $117.355 | D | 9,837 | D | |
| Common StockF1 | Aug 9, 2018 | S | 2,899 | $117.46 | D | 6,938 | D | |
| Common Stock - Restricted Stock UnitsF7,F8 | holding | — | — | — | 64,395 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This sale was effected pursuant to the terms of a Rule 10b5-1 trading plan adopted by the Reporting Person on January 30, 2018.
- F2Represents the weighted average sales price for the shares. The sales prices ranged from $116.52 to $117.21. The reporting person will provide upon request full information regarding the number of shares sold at each separate price.
- F3Represents the weighted average sales price for the shares. The sales prices ranged from $115.71 to $116.00. The reporting person will provide upon request full information regarding the number of shares sold at each separate price.
- F4Represents the weighted average sales price for the shares. The sales prices ranged from $117.15 to $118.13. The reporting person will provide upon request full information regarding the number of shares sold at each separate price.
- F5Represents the weighted average sales price for the shares. The sales prices ranged from $115.78 to $116.00. The reporting person will provide upon request full information regarding the number of shares sold at each separate price.
- F6Represents the weighted average sales price for the shares. The sales prices ranged from $117.28 to $117.46. The reporting person will provide upon request full information regarding the number of shares sold at each separate price.
- F7Each restricted stock unit ("RSU") represents a contingent right to receive one share of KLA-Tencor common stock.
- F8Does 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.