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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 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. | |||
Persons 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 | ||||||||
Non-Qualified Stock Option (Right to Buy) | $ 40.68 | 01/29/2013 | M | 2,500 | (9) | 10/18/2014 | Common Stock | 2,500 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 51.98 | 01/29/2013 | M | 1,250 | (10) | 01/31/2013 | Common Stock | 1,250 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 47.86 | 01/29/2013 | M | 1,250 | (11) | 05/02/2013 | Common Stock | 1,250 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 41.45 | 01/29/2013 | M | 1,250 | (12) | 08/01/2013 | Common Stock | 1,250 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 50.39 | 01/29/2013 | M | 1,250 | (13) | 02/14/2014 | Common Stock | 1,250 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 50.39 | 01/29/2013 | M | 1,875 | (14) | 02/14/2014 | Common Stock | 1,875 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BARNHOLT EDWARD W C/O KLA-TENCOR CORPORATION ONE TECHNOLOGY DRIVE MILPITAS, CA 95035 |
X | Chairman of the Board |
Brian M. Martin as Attorney-in-Fact for Edward W. Barnholt | 01/31/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This transaction was executed in multiple trades at prices ranging from $55.351 to $55.354. The price reported above reflects the weighted-average sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
(2) | This transaction was executed in multiple trades at prices ranging from $55.374 to $55.376. The price reported above reflects the weighted-average sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
(3) | This transaction was executed in multiple trades at prices ranging from $55.362 to $55.374. The price reported above reflects the weighted-average sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
(4) | This transaction was executed in multiple trades at prices ranging from $55.334 to $55.352. The price reported above reflects the weighted-average sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
(5) | This transaction was executed in multiple trades at prices ranging from $55.331 to $55.336. The price reported above reflects the weighted-average sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
(6) | This transaction was executed in multiple trades at prices ranging from $55.35 to $55.356. The price reported above reflects the weighted-average sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
(7) | By The Barnholt Family Trust dated January 8, 1987, of which the Reporting Person is a trustee and beneficiary. |
(8) | Each restricted stock unit ("RSU") represents a contingent right to receive one share of KLA-Tencor common stock. |
(9) | Represents a stock option granted on October 18, 2004, granting the Reporting Person the right to purchase up to 2,500 shares of KLA-Tencor common stock. All of the shares subject to this stock option vested immediately and were exercisable on October 18, 2004. |
(10) | Represents a stock option granted on January 31, 2006, granting the Reporting Person the right to purchase up to 1,250 shares of KLA-Tencor common stock. All of the shares subject to this stock option vested immediately and were exercisable on January 31, 2006. |
(11) | Represents a stock option granted on May 2, 2006, granting the Reporting Person the right to purchase up to 1,250 shares of KLA-Tencor common stock. All of the shares subject to this stock option vested immediately and were exercisable on May 2, 2006. |
(12) | Represents a stock option granted on August 1, 2006, granting the Reporting Person the right to purchase up to 1,250 shares of KLA-Tencor common stock. All of the shares subject to this stock option vested immediately and were exercisable on August 1, 2006. |
(13) | Represents a stock option granted on February 14, 2007, granting the Reporting Person the right to purchase up to 1,250 shares of KLA-Tencor common stock. All of the shares subject to this stock option vested immediately and were exercisable on February 14, 2007. |
(14) | Represents a stock option granted on February 14, 2007, granting the Reporting Person the right to purchase up to 1,875 shares of KLA-Tencor common stock. All of the shares subject to this stock option vested immediately and were exercisable on February 14, 2007. |