Sec Form 4 Filing - JAMES SUSAN M. @ APPLIED MATERIALS INC /DE - 2016-12-30

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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1. Name and Address of Reporting Person
JAMES SUSAN M.
2. Issuer Name and Ticker or Trading Symbol
APPLIED MATERIALS INC /DE [ AMAT]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O APPLIED MATERIALS, INC., 3050 BOWERS AV, M/S 1268 P.O. BOX 58039
3. Date of Earliest Transaction (MM/DD/YY)
12/30/2016
(Street)
SANTA CLARA, CA95054
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/30/2016 A 785 ( 1 ) A $ 0 74,367 ( 2 ) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
JAMES SUSAN M.
C/O APPLIED MATERIALS, INC.
3050 BOWERS AV, M/S 1268 P.O. BOX 58039
SANTA CLARA, CA95054
X
Signatures
/s/ Harpreet S. Bal, Attorney-in-Fact 01/03/2017
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Represents number of restricted stock units ("RSUs") automatically acquired based on a value of $32.27 per share, the closing price of Applied Materials, Inc. common stock on December 30, 2016, in a transaction exempt under Rule 16b-3(d). This automatic acquisition resulted from dividends accrued on vested RSUs that, pursuant to Ms. James' election to defer, will be converted on a one-for-one basis into shares of Applied common stock and paid to her on the date of her termination of service from the Applied Board.
( 2 )Number of shares consists of: (a) 64,148 vested RSUs that, pursuant to Ms. James' election to defer, will be converted on a one-for-one basis into shares of Applied common stock and paid to her on the date of her termination of service from the Applied Board, and (b) 10,219 RSUs scheduled to vest in March 2017 (subject to continued service as a director through the vesting date).

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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