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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 | ||||||||
Employee Stock Option (right to buy) | $ 15.07 | 10/03/2007 | M | 35,000 | 07/15/2007 | 11/19/2009 | Common Stock | 35,000 | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 16.12 | 10/03/2007 | M | 18,750 | (2) | 11/03/2011 | Common Stock | 18,750 | $ 0 | 18,750 | D | ||||
Employee Stock Option (right to buy) | $ 18.64 | 10/03/2007 | M | 15,000 | (3) | 12/01/2012 | Common Stock | 15,000 | $ 0 | 30,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Erad Menachem C/O APPLIED MATERIALS, INC. P.O. BOX 58039, 3050 BOWERS AV, M/S 2023 SANTA CLARA, CA 95054 |
Group VP, Chief of Staff |
/s/ Charmaine Mesina, Attorney-in-Fact | 10/05/2007 | |
**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) | Number of shares includes 89,500 performance shares (restricted stock units) previously reported that in the future will be converted on a one-for-one basis into shares of Applied Materials, Inc. common stock immediately upon vesting, which vesting is scheduled to occur as follows: 37,500 performance shares are scheduled to vest in three equal annual installments beginning 8/31/08; and 52,000 performance shares are scheduled to vest in two equal annual installments beginning 8/31/08 (all vesting is subject to continued employment). |
(2) | 18,750 shares became exercisable on each of 7/15/05, 7/15/06 and 7/15/07; and 18,750 shares become exercisable on 7/15/08 (subject to continued employment). |
(3) | 15,000 shares became exercisable on each of 8/31/06 and 8/31/07; and 15,000 shares become exercisable on each of 8/31/08 and 8/31/09 (subject to continued employment). |