Initial Statement of Beneficial Ownership (3)
February 11 2020 - 4:32PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Donzella Oreste |
2. Date of Event Requiring Statement (MM/DD/YYYY)
2/5/2020
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3. Issuer Name and Ticker or Trading Symbol
KLA CORP [KLAC]
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(Last)
(First)
(Middle)
ONE TECHNOLOGY DRIVE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Executive Vice President / |
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(Street)
MILPITAS, CA 95035
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 5967 | D | |
| Common Stock - Restricted Stock Units (1) | 25035 (2)(3) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| 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) | Consists of seven different RSU awards covering: (1) 2,240 shares, which will vest as to all of the shares on September 7, 2020; (2) 2,000 shares, which will vest as to all of the shares on February 1, 2021; (3) 1,876 shares, which will vest as to 50% of the shares on August 3, 2020 and 2021; (4) 2,342 shares, which will vest as to 50% of the shares on November 1, 2020 and 2021; (5) 4,311 shares, which will vest as to one third of the shares on August 2, 2020, 2021 and 2022; (6) 5,360 shares, which will vest as to 25% of the shares on August 1, 2020, 2021, 2022 and 2023; and (7) 6,906 shares, which will vest as to all of the shares on March 20, 2022, in each case subject to continued service on the applicable vesting date. |
| (3) | Does 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. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Donzella Oreste
ONE TECHNOLOGY DRIVE
MILPITAS, CA 95035 |
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| Executive Vice President |
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Signatures
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| Teri A. Little as Attorney-in-Fact for Oreste Donzella | | 2/11/2020 |
| **Signature of Reporting Person | Date |
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