Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| APPLIED MATERIALS INC /DEAMAT · Entity 2812 | Sr. VP, GC & Corp. Secretary | August 17, 2012 | August 20, 2012 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
APPLIED MATERIALS INC /DE
Report date August 17, 2012 · Filed August 20, 2012
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 503,344 |
Last balance in matching sequence
After 2012-08-17 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2012-08-17 · Exercise / conversion · Acquired 100,000 · Balance 603,344 F1: Increased in number of shares reflects periodic payroll acquisitions under Employees' Stock Purchase Plan that are exempt under Rule 16a-10 and Rule 16b-3. Number of shares includes 336,250 performance shares that in the future will be converted on a one-for-one basis into shares of Applied Materials, Inc. common stock upon vesting, which vesting is scheduled to occur as follows: (a) 163,750 shares are scheduled to vest in installments during each December of 2012 through 2014; (b) provided specified performance goals are achieved, 22,500 shares will be scheduled to vest in installments during each December of 2012 through 2013; and (c) provided specified performance goals are achieved, 150,000 shares will be scheduled to vest in installments during each December of 2012 through 2015, which number of shares is the target award level, and the actual number of shares that may vest ranges from 0% to 150% of the target amount depending on achievement of specified performance goals (all vesting will be subject to continued employment through each applicable vest date). Row 2 · 2012-08-17 · Sale · Disposed 100,000 · Balance 503,344 F1: Increased in number of shares reflects periodic payroll acquisitions under Employees' Stock Purchase Plan that are exempt under Rule 16a-10 and Rule 16b-3. Number of shares includes 336,250 performance shares that in the future will be converted on a one-for-one basis into shares of Applied Materials, Inc. common stock upon vesting, which vesting is scheduled to occur as follows: (a) 163,750 shares are scheduled to vest in installments during each December of 2012 through 2014; (b) provided specified performance goals are achieved, 22,500 shares will be scheduled to vest in installments during each December of 2012 through 2013; and (c) provided specified performance goals are achieved, 150,000 shares will be scheduled to vest in installments during each December of 2012 through 2015, which number of shares is the target award level, and the actual number of shares that may vest ranges from 0% to 150% of the target amount depending on achievement of specified performance goals (all vesting will be subject to continued employment through each applicable vest date). |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.58 · Expires 2014-03-09 | Direct | 100,000 |
Reported balance
After 2012-08-17 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2012-08-17 · Exercise / conversion · Disposed 100,000 · Balance 100,000 F3: 200,000 shares became exercisable on 4/1/2012. |
| Common StockSEC Table I · non-derivative | IndirectBy the 401(k) Plan | 14,332.133 |
Reported balance
Holding disclosure · report date 2012-08-17 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 14,332.133 F2: Increased number of shares reflects periodic payroll acquisitions and dividend reinvestment under 401(k) Plan that are exempt under Rule 16b-3. |
Filing footnotes · ownership attribution and instrument terms
F1: Increased in number of shares reflects periodic payroll acquisitions under Employees' Stock Purchase Plan that are exempt under Rule 16a-10 and Rule 16b-3. Number of shares includes 336,250 performance shares that in the future will be converted on a one-for-one basis into shares of Applied Materials, Inc. common stock upon vesting, which vesting is scheduled to occur as follows: (a) 163,750 shares are scheduled to vest in installments during each December of 2012 through 2014; (b) provided specified performance goals are achieved, 22,500 shares will be scheduled to vest in installments during each December of 2012 through 2013; and (c) provided specified performance goals are achieved, 150,000 shares will be scheduled to vest in installments during each December of 2012 through 2015, which number of shares is the target award level, and the actual number of shares that may vest ranges from 0% to 150% of the target amount depending on achievement of specified performance goals (all vesting will be subject to continued employment through each applicable vest date).
F2: Increased number of shares reflects periodic payroll acquisitions and dividend reinvestment under 401(k) Plan that are exempt under Rule 16b-3.
F3: 200,000 shares became exercisable on 4/1/2012.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 01, 2007 Filed Oct 3, 2007 00:52 UTC | APPLIED MATERIALS INC /DE AMAT · Entity 2812 | Exercise / conversionCommon Stock | 35,000 | $21.03 | $736,095.50 |
DisclosureSEC source: 0001181431-07-060203 · rrd173946.xml · nonDerivative · entry 1 Sweeney Joseph J · CIK 0001322085 · Sr. VP, GC & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 263,928 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Number of shares includes 206,000 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: 6,000 performance shares are scheduled to vest in two equal annual installments beginning 8/31/08; and, provided specified performance goals are achieved, 200,000 performance shares are scheduled to vest no earlier than in four equal annual installments beginning 12/19/07 (all vesting is subject to continued employment). Read SEC document |
| September 21, 2007 Filed Sep 25, 2007 23:49 UTC | APPLIED MATERIALS INC /DE AMAT · Entity 2812 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 35,000 | $0.00 Strike: $21.03 | $0.00 |
DisclosureSEC source: 0001181431-07-058864 · rrd173284.xml · derivative · entry 4 Sweeney Joseph J · CIK 0001322085 · Sr. VP, GC & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2007-10-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 21, 2007 Filed Sep 25, 2007 23:49 UTC | APPLIED MATERIALS INC /DE AMAT · Entity 2812 | SaleCommon Stock | 35,000 | $21.35 | $747,295.50 |
DisclosureSEC source: 0001181431-07-058864 · rrd173284.xml · nonDerivative · entry 2 Sweeney Joseph J · CIK 0001322085 · Sr. VP, GC & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,928 F1 · balance_after: Number of shares includes 206,000 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: 6,000 performance shares are scheduled to vest in two equal annual installments beginning 8/31/08; and, provided specified performance goals are achieved, 200,000 performance shares are scheduled to vest no earlier than in four equal annual installments beginning 12/19/07 (all vesting is subject to continued employment). Read SEC document |
| September 21, 2007 Filed Sep 25, 2007 23:49 UTC | APPLIED MATERIALS INC /DE AMAT · Entity 2812 | Exercise / conversionCommon Stock | 35,000 | $21.03 | $736,095.50 |
DisclosureSEC source: 0001181431-07-058864 · rrd173284.xml · nonDerivative · entry 1 Sweeney Joseph J · CIK 0001322085 · Sr. VP, GC & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 263,928 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Number of shares includes 206,000 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: 6,000 performance shares are scheduled to vest in two equal annual installments beginning 8/31/08; and, provided specified performance goals are achieved, 200,000 performance shares are scheduled to vest no earlier than in four equal annual installments beginning 12/19/07 (all vesting is subject to continued employment). Read SEC document |
| August 31, 2007 Filed Sep 6, 2007 01:55 UTC | APPLIED MATERIALS INC /DE AMAT · Entity 2812 | Tax withholdingCommon Stock | 1,073 | $21.36 | $22,919.28 |
DisclosureSEC source: 0001181431-07-056074 · rrd171602.xml · nonDerivative · entry 1 Sweeney Joseph J · CIK 0001322085 · Sr. VP, GC & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,928 F1 · shares: Represents shares that were automatically withheld to cover tax withholding obligations in a transaction exempt under Rule 16b-3. F2 · balance_after: Increased in number of shares reflects periodic payroll acquisitions under Employees' Stock Purchase Plan that are exempt under Rule 16a-10 and Rule 16b-3. Number of shares includes 206,000 performance shares (or 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: 6,000 performance shares are scheduled to vest in two equal annual installments beginning 8/31/08; and, provided specified performance goals are achieved, 200,000 performance shares are scheduled to vest no earlier than in four equal annual installments beginning 12/19/07 (all vesting is subject to continued employment). Read SEC document |
| January 25, 2007 Filed Jan 29, 2007 23:43 UTC | APPLIED MATERIALS INC /DE AMAT · Entity 2812 | GrantPerformance Shares (or Restricted Stock Units) | 200,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001181431-07-006511 · rrd144432.xml · nonDerivative · entry 1 Sweeney Joseph J · CIK 0001322085 · Sr. VP, GC & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,093 F1 · security: The performance shares (or restricted stock units) will be converted on a one-for-one basis into shares of Applied Materials, Inc. common stock immediately upon vesting. F2 · shares: The performance shares will vest only after the satisfaction of specified performance goals. Provided such goals are achieved, vesting is scheduled to occur no earlier than in four equal annual installments commencing 12/19/07 (assuming continued employment). F3 · balance_after: Number of shares includes 9,000 performance shares 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 in three equal annual installments beginning 8/31/07 (assuming continued employment). Read SEC document |
| September 06, 2006 Filed Sep 9, 2006 01:12 UTC | APPLIED MATERIALS INC /DE AMAT · Entity 2812 | Tax withholdingCommon Stock | 1,073 | $16.90 | $18,133.70 |
DisclosureSEC source: 0001181431-06-051938 · rrd129919.xml · nonDerivative · entry 1 Sweeney Joseph J · CIK 0001322085 · Sr. VP, GC & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,093 F1 · shares: Represents shares that were automatically withheld to cover tax withholding obligations in a transaction exempt under Rule 16b-3. F2 · balance_after: Increased number of shares reflects (a) periodic payroll acquisitions under Employees' Stock Purchase Plan that are exempt under Rule 16a-10 and Rule 16b-3 and (b) 9,000 performance shares (or 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 in three equal annual installments (assuming continued employment). Read SEC document |
| December 01, 2005 Filed Dec 6, 2005 02:04 UTC | APPLIED MATERIALS INC /DE AMAT · Entity 2812 | GrantEmployee Stock Option (right to buy) · Derivative | 105,000 | $0.00 Strike: $18.64 | $0.00 |
DisclosureSEC source: 0001181431-05-064745 · rrd99088.xml · derivative · entry 4 Sweeney Joseph J · CIK 0001322085 · Sr. VP, GC & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,000 Underlying: Common Stock · 105,000 shares Expires 2012-12-01 F4 · derivative.exercise_date: Shares become exercisable in four equal annual installments beginning on 8/31/06 (assuming continued employment). Read SEC document |
| December 01, 2005 Filed Dec 6, 2005 02:04 UTC | APPLIED MATERIALS INC /DE AMAT · Entity 2812 | GrantPerformance Shares (or Restricted Stock Units) | 12,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001181431-05-064745 · rrd99088.xml · nonDerivative · entry 3 Sweeney Joseph J · CIK 0001322085 · Sr. VP, GC & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 F2 · security: The performance shares will be converted on a one-for-one basis into shares of Applied Materials, Inc. common stock immediately upon vesting. F3 · shares: The performance shares are scheduled to vest in four equal annual installments beginning 8/31/06 (assuming continued employment). Read SEC document |
| November 21, 2005 Filed Nov 23, 2005 02:51 UTC | APPLIED MATERIALS INC /DE AMAT · Entity 2812 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 38,000 | $0.00 Strike: $9.78 | $0.00 |
DisclosureSEC source: 0001181431-05-062891 · rrd98027.xml · derivative · entry 4 Sweeney Joseph J · CIK 0001322085 · Sr. VP, GC & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 38,000 shares Expires 2005-12-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 21, 2005 Filed Nov 23, 2005 02:51 UTC | APPLIED MATERIALS INC /DE AMAT · Entity 2812 | SaleCommon Stock | 38,000 | $17.36 | $659,680.00 |
DisclosureSEC source: 0001181431-05-062891 · rrd98027.xml · nonDerivative · entry 2 Sweeney Joseph J · CIK 0001322085 · Sr. VP, GC & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,282 F1 · balance_after: Increased number of shares reflects periodic payroll acquisitions under Employees' Stock Purchase Plan that are exempt under Rule 16a-10 and Rule 16b-3. Read SEC document |
| November 21, 2005 Filed Nov 23, 2005 02:51 UTC | APPLIED MATERIALS INC /DE AMAT · Entity 2812 | Exercise / conversionCommon Stock | 38,000 | $9.78 | $371,689.40 |
DisclosureSEC source: 0001181431-05-062891 · rrd98027.xml · nonDerivative · entry 1 Sweeney Joseph J · CIK 0001322085 · Sr. VP, GC & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,282 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Increased number of shares reflects periodic payroll acquisitions under Employees' Stock Purchase Plan that are exempt under Rule 16a-10 and Rule 16b-3. Read SEC document |
| August 19, 2005 Filed Aug 23, 2005 00:55 UTC | APPLIED MATERIALS INC /DE AMAT · Entity 2812 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 70,000 | $0.00 Strike: $9.78 | $0.00 |
DisclosureSEC source: 0001181431-05-048274 · rrd90146.xml · derivative · entry 4 Sweeney Joseph J · CIK 0001322085 · Sr. VP, GC & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,000 Underlying: Common Stock · 108,000 shares Expires 2005-12-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 19, 2005 Filed Aug 23, 2005 00:55 UTC | APPLIED MATERIALS INC /DE AMAT · Entity 2812 | SaleCommon Stock | 70,000 | $18.20 | $1,273,937.00 |
DisclosureSEC source: 0001181431-05-048274 · rrd90146.xml · nonDerivative · entry 2 Sweeney Joseph J · CIK 0001322085 · Sr. VP, GC & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,850 Read SEC document |
| August 19, 2005 Filed Aug 23, 2005 00:55 UTC | APPLIED MATERIALS INC /DE AMAT · Entity 2812 | Exercise / conversionCommon Stock | 70,000 | $9.78 | $684,691.00 |
DisclosureSEC source: 0001181431-05-048274 · rrd90146.xml · nonDerivative · entry 1 Sweeney Joseph J · CIK 0001322085 · Sr. VP, GC & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,850 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.