SEC Form 4 · accession 0001018724-15-000058
AMAZON COM INC · AMZN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J Szkutak
Officer — Senior Vice President and CFO
Period of report
May 15, 2015
Accepted (ET)
May 19, 2015 · 6:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001018724
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $.01 per share | May 15, 2015 | M | 383 | $0.00 | A | 53,570 | D | |
| Common Stock, par value $.01 per share | May 15, 2015 | M | 5,750 | $0.00 | A | 59,320 | D | |
| Common Stock, par value $.01 per shareF2 | May 15, 2015 | S | 461 | $426.6755 | D | 58,859 | D | |
| Common Stock, par value $.01 per shareF3 | May 15, 2015 | S | 1,182 | $427.6135 | D | 57,677 | D | |
| Common Stock, par value $.01 per shareF4 | May 15, 2015 | S | 633 | $428.4068 | D | 57,044 | D | |
| Common Stock, par value $.01 per shareF5 | May 15, 2015 | S | 300 | $429.2467 | D | 56,744 | D | |
| Common Stock, par value $.01 per share | holding | — | — | — | 488 | I | Held by the reporting person's Amazon.com 401(k) account |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Unit AwardF6,F7 | $0.00 | May 15, 2015 | M | 383 | D | May 15, 2013 | Feb 15, 2018 | Common Stock, par value $.01 per share | 383 | 35,051 | D |
| Restricted Stock Unit AwardF6,F8 | $0.00 | May 15, 2015 | M | 5,750 | D | May 15, 2014 | Feb 15, 2016 | Common Stock, par value $.01 per share | 5,750 | 17,250 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2Represents the weighted average sale price. The highest price at which shares were sold was $426.98 and the lowest price at which shares were sold was $425.99.
- F3Represents the weighted average sale price. The highest price at which shares were sold was $428.04 and the lowest price at which shares were sold was $427.05.
- F4Represents the weighted average sale price. The highest price at which shares were sold was $428.69 and the lowest price at which shares were sold was $428.09.
- F5Represents the weighted average sale price. The highest price at which shares were sold was $429.34 and the lowest price at which shares were sold was $429.11.
- F6Converts into Common Stock on a one-for-one basis.
- F7This award vests based upon the following vesting schedule and the satisfaction of certain business criteria intended to qualify the award as tax-deductible compensation under Section 162(m) of the Internal Revenue Code: 611 shares on each of May 15, 2013, August 15, 2013, and November 15, 2013; 610 shares on February 15, 2014; 1,303 shares on each of May 15, 2014, August 15, 2014, November 15, 2014, and February 15, 2015; 383 shares on each of May 15, 2015, August 15, 2015, November 15, 2015, and February 15, 2016; 4,788 shares on May 15, 2016; 4,787 shares on each of August 15, 2016, November 15, 2016, and February 15, 2017; 3,689 shares on May 15, 2017; and 3,688 shares on each of August 15, 2017, November 15, 2017, and February 15, 2018.
- F8This award vests based upon the following vesting schedule and the satisfaction of certain business criteria intended to qualify the award as tax-deductible compensation under Section 162(m) of the Internal Revenue Code: 5,750 shares on each of May 15, 2014, August 15, 2014, November 15, 2014, February 15, 2015, May 15, 2015, August 15, 2015, November 15, 2015, and February 15, 2016.
Remarks
The reporting person undertakes to provide, upon request by the staff of the SEC, the issuer, or a security holder of the issuer, full information regarding the number of shares transacted at each price, with respect to all transactions reported on this Form 4.