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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2019-11-20 21:18:54
Reporting Period:
Accepted Time:
2019-11-20 21:18:54
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
6951 Applied Materials Inc AMAT Semiconductors & Related Devices (3674) 941655526
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1183258 E Gary Dickerson C/o Applied Materials, Inc.
P.o. Box 58039, 3050 Bowers Av, M/s 1268
Santa Clara CA 95054
President And Ceo Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2019-11-19 1,000,000 $15.06 3,273,449 No 4 M Direct
Common Stock Disposition 2019-11-19 1,000,000 $61.11 2,273,449 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (Right to Buy) Disposition 2019-11-19 1,000,000 $0.00 1,000,000 $15.06
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2014-09-01 2020-09-01 No 4 M Direct
  1. Represents an exercise of a stock option granted on September 1, 2013 in connection with Mr. Dickerson's appointment as CEO. This option was scheduled to expire on September 1, 2020, if not exercised. There have been no prior exercises with respect to this option. Following the exercise and sale reported on this Form 4, Mr. Dickerson remains in compliance with the ownership requirements under Applied Materials, Inc.'s ("Applied") Stock Ownership Guidelines.
  2. Increased number of shares reflects periodic payroll acquisitions under Employees' Stock Purchase Plan that are exempt under Rule 16a-3 and Rule 16b-3. Number of shares includes 1,036,846 performance shares and restricted stock units previously reported that in the future will be converted on a one-for-one basis into shares of Applied common stock upon vesting, which vesting is scheduled to occur as follows: (a) 178,478 performance shares are scheduled to vest in December 2019, (b) 153,866 restricted stock units are scheduled to vest in installments in December of 2019 through 2021, and (c) 704,502 performance shares are scheduled to vest in installments in December of 2019 through 2021, which number of shares is the target amount, and the actual number of shares that may vest ranges from 0% to 200% of the target amount, depending on achievement of specified performance goals (all vesting is subject to continued employment through each applicable vesting date).
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.86 to $61.67, inclusive. The reporting person undertakes to provide to Applied, any security holder of Applied, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote 3 to this Form 4.
  4. Shares became exercisable in four equal annual installments beginning on September 1, 2014.