Item 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES

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Item 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES

(a) The following documents are filed as part of this Annual Report on Form 10-K:

  1. Financial Statements:

The following financial statements and schedules of the Registrant are contained in Item 8, “Financial Statements and Supplementary Data” of this Annual Report on Form 10-K:

Consolidated Balance Sheets as of June 30, 2021 and June 30, 202061
Consolidated Statements of Operations for each of the three years in the period ended June 30, 202162
Consolidated Statements of Comprehensive Income for each of the three years in the period ended June 30, 202163
Consolidated Statements of Stockholders’ Equity for each of the three years in the period ended June 30, 202164
Consolidated Statements of Cash Flows for each of the three years in the period ended June 30, 202165
Notes to Consolidated Financial Statements66
Report of Independent Registered Public Accounting Firm112
  1. Financial Statement Schedule:

The following financial statement schedule of the Registrant is filed as part of this Annual Report on Form 10-K and should be read in conjunction with the financial statements:

Schedule II—Valuation and Qualifying Accounts for the years ended June 30, 2021, 2020 and 2019114

All other schedules are omitted because they are either not applicable or the required information is shown in the Consolidated Financial Statements or notes thereto.

  1. Exhibits

The information required by this item is set forth below.

Exhibit NumberExhibit DescriptionIncorporated by Reference
FormFile No.Exhibit NumberFiling Date
3.1Restated Certificate of Incorporation10-KNo. 000-099923.1August 16, 2019
3.2Amended and Restated Bylaws8-KNo. 000-099923.1May 7, 2021
4.1Indenture dated November 6, 2014 between KLA-Tencor Corporation and Wells Fargo Bank, National Association, as trustee8-KNo. 000-099924.1November 7, 2014
4.2Form of Officer’s Certificate setting forth the terms of the Notes (with form of Notes attached)8-KNo. 000-099924.2November 7, 2014
4.3Form of Officer’s Certificate setting forth the terms of the 4.100% Senior Notes due 2029 and 5.000% Senior Notes due 2049 (with form of Notes attached)8-KNo. 000-099924.2March 20, 2019
4.4Form of Officer’s Certificate setting forth the terms of the 3.300% Senior Notes due 2050 (with form of Notes attached)8-KNo. 000-099924.2March 3, 2020
4.5Description of the Registrant's securities registered under Section 12 of the Securities Act of 193410-QNo. 000-099924.1October 30, 2020
10.12004 Equity Incentive Plan (as amended and restated (as of November 7, 2018))*S-8No. 22828310.1November 8, 2018
10.2Form of Restricted Stock Unit Award Notification (Performance-Vesting)*
10.3Form of Restricted Stock Unit Award Notification (Service-Vesting)*
10.4Executive Deferred Savings Plan (as amended and restated effective July 31, 2019)*10-KNo. 000-0999210.9August 16, 2019
10.5Credit Agreement, dated as of November 30, 2017 among KLA-Tencor Corporation, the lenders from time to time and JPMorgan Chase Bank, N.A., as administrative agent8-KNo. 000-0999210.1November 30, 2017
10.6Amended and Restated Executive Severance Plan*8-KNo. 000-0999210.1October 20, 2016
10.7Amended and Restated 2010 Executive Severance Plan*10-QNo. 000-0999210.45October 22, 2015
10.8Calendar Year 2021 Executive Incentive Plan*+10-QNo. 000-0999210.1April 30, 2021
10.9Incremental Facility, Extension and Amendment Agreement, dated as of November 2, 2018 by and among the registrant, the subsidiary guarantors party thereto, the lenders party thereto and JPMorgan Chase Bank, N.A., as administrative agent8-KNo. 000-0999210.1November 8, 2018
10.10Offer Letter dated August 20, 2020 by and between KLA Corporation and Mary Beth Wilkinson*10-QNo. 000-0999210.1October 30, 2020
21.1List of Subsidiaries
23.1Consent of Independent Registered Public Accounting Firm
31.1Certification of Chief Executive Officer under Rule 13a-14(a) of the Securities Exchange Act of 1934
Exhibit NumberExhibit DescriptionIncorporated by Reference
FormFile No.Exhibit NumberFiling Date
31.2Certification of Chief Financial Officer under Rule 13a-14(a) of the Securities Exchange Act of 1934
32Certification of Chief Executive Officer and Chief Financial Officer Pursuant to 18 U.S.C. Section 1350^
101.INSXBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.
101.SCHXBRL Taxonomy Extension Schema Document
101.CALXBRL Taxonomy Extension Calculation Linkbase Document
101.DEFXBRL Taxonomy Extension Definition Linkbase Document
101.LABXBRL Taxonomy Extension Label Linkbase Document
101.PREXBRL Taxonomy Extension Presentation Linkbase Document
*Denotes a management contract, plan or arrangement.
+Certain portions of this document that constitute confidential information have been redacted in accordance with Regulation S-K, Item 601(b)(10).
^Furnished herewith

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