SEC Form 4 · accession 0001628280-18-011634
KLA CORP · KLAC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard P Wallace
Officer — President and CEO · Director
Period of report
Sep 4, 2018
Accepted (ET)
Sep 5, 2018 · 5:11 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 | Sep 4, 2018 | S | 6,518 | $116.912 | D | 50,137 | D | |
| Common StockF1,F3 | Sep 4, 2018 | S | 5,790 | $117.869 | D | 44,347 | D | |
| Common StockF4 | holding | — | — | — | 9,182 | I | By Trust | |
| Common Stock - Restricted Stock UnitsF5,F6 | holding | — | — | — | 162,607 | 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 November 1, 2017.
- F2Represents the weighted average sales price for the shares. The sales prices ranged from $116.50 to $117.47. 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 $117.54 to $118.40. The reporting person will provide upon request full information regarding the number of shares sold at each separate price.
- F4Shares held under the Wallace Living Trust u/a/d 03/27/01, as amended, a trust of which the Reporting Person is a trustee and beneficiary.
- F5Each RSU represents a contingent right to receive one share of KLA-Tencor common stock.
- F6Does 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.