# EDGAR Filing Document

**Accession Number:** 0000006951
**File Stem:** 0001127602-23-002146
**Filing Date:** 2023-1
**Character Count:** 8598
**Document Hash:** 466e8d63acb77ba477dcaed8d6f39590
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001127602-23-002146.hdr.sgml**: 20230124

**ACCESSION NUMBER**: 0001127602-23-002146

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20211011

**FILED AS OF DATE**: 20230124

**DATE AS OF CHANGE**: 20230124

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** CHEN XUN
- **CENTRAL INDEX KEY:** 0001284885

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-06920
- **FILM NUMBER:** 23549580

**MAIL ADDRESS:**
- **STREET 1:** 35 DORY RD.
- **CITY:** GLOUCESTER
- **STATE:** MA
- **ZIP:** 01930
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** APPLIED MATERIALS INC /DE
- **CENTRAL INDEX KEY:** 0000006951
- **STANDARD INDUSTRIAL CLASSIFICATION:** SEMICONDUCTORS & RELATED DEVICES [3674]
- **IRS NUMBER:** 941655526
- **STATE OF INCORPORATION:** DC
- **FISCAL YEAR END:** 1029

**BUSINESS ADDRESS:**
- **STREET 1:** 3050 BOWERS AVE
- **CITY:** SANTA CLARA
- **STATE:** CA
- **ZIP:** 95054-3299
- **BUSINESS PHONE:** 4085635300

**MAIL ADDRESS:**
- **STREET 1:** 3050 BOWERS AVE
- **CITY:** SANTA CLARA
- **STATE:** CA
- **ZIP:** 95054-3299

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** APPLIED MATERIALS TECHNOLOGY INC
- **DATE OF NAME CHANGE:** 19730319

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>CHEN XUN<br><sub>(Last) (First) (Middle)</sub><br>C/O APPLIED MATERIALS, INC.<br>P.O. BOX 58039, 3050 BOWERS AV, M/S 1268<br><sub>(Street)</sub><br>SANTA CLARA, CA 95054<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2021-10-11 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>APPLIED MATERIALS INC /DE [ AMAT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2021-10-11 |  | P |  | 29<sup>(1)</sup> | A | $128.26 | 29 | I | By Spouse in Trust |
| Common Stock | 2021-10-14 |  | P |  | 29<sup>(2)</sup> | A | $131.57 | 29 | I | By Family Trust |
| Common Stock | 2021-11-15 |  | P |  | 27<sup>(2)</sup> | A | $156.51 | 56 | I | By Family Trust |
| Common Stock | 2021-11-15 |  | P |  | 28<sup>(1)</sup> | A | $156.51 | 57 | I | By Spouse in Trust |
| Common Stock | 2021-12-15 |  | P |  | 27<sup>(1)</sup> | A | $146.65 | 84 | I | By Spouse in Trust |
| Common Stock | 2021-12-15 |  | P |  | 28<sup>(2)</sup> | A | $146.65 | 84 | I | By Family Trust |
| Common Stock | 2022-01-14 |  | P |  | 28<sup>(1)</sup> | A | $163.00 | 112 | I | By Spouse in Trust |
| Common Stock | 2022-01-14 |  | P |  | 28<sup>(2)</sup> | A | $159.89 | 112 | I | By Family Trust |
| Common Stock | 2022-02-14 |  | P |  | 30<sup>(1)</sup> | A | $131.53 | 142 | I | By Spouse in Trust |
| Common Stock | 2022-02-14 |  | P |  | 30<sup>(2)</sup> | A | $131.53 | 142 | I | By Family Trust |
| Common Stock | 2022-03-08 |  | P |  | 37<sup>(1)</sup> | A | $123.26 | 179 | I | By Spouse in Trust |
| Common Stock | 2022-03-08 |  | P |  | 36<sup>(2)</sup> | A | $123.26 | 178 | I | By Family Trust |
| Common Stock | 2022-06-21 |  | P |  | 20<sup>(1)</sup> | A | $94.75 | 199 | I | By Spouse in Trust |
| Common Stock | 2023-01-20 |  | S |  | 199<sup>(1)</sup> | D | $107.80 | 0 | I | By Spouse in Trust |
| Common Stock | 2023-01-20 |  | S |  | 178<sup>(2)</sup> | D | $107.80 | 0 | I | By Family Trust |
| Common Stock |  |  |  |  |  |  |  | 39868<sup>(3)</sup> | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) The transactions reported in this Form 4 were executed by an investment advisor for a managed account held in a trust for which the reporting person's spouse is the sole trustee and beneficiary. Both the reporting person and the reporting person's spouse were unaware of the transactions at the time they occurred and did not exercise any investment control over the purchases and sale.

(2) The transactions reported in this Form 4 were executed by an investment advisor for a managed account held in a trust for which the reporting person is co-trustee and the reporting person's children are the beneficiaries. The reporting person was unaware of the transactions at the time they occurred and did not exercise any investment control over the purchases and sale.

(3) Number of shares includes: (a) 21,849 restricted stock units previously reported that have vested and which, pursuant to Dr. Chen's election to defer, will be converted on a one-for-one basis into shares of Applied Materials, Inc. ("Applied") common stock and paid to him on the date of his termination of service from the Applied Board of Directors and (b) 1,920 restricted stock units previously reported that are scheduled to vest in March 2023 (subject to continued service as a director through the vesting date) and which, pursuant to Dr. Chen's election to defer, will be converted on a one-for-one basis into shares of Applied common stock and paid to him on the date of his termination of service from the Applied Board of Directors.

**Signature:** /s/ To-Anh Nguyen, Attorney-in-Fact  
**Date:** 2023-01-24

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* 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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**