SEC Form 4 · accession 0001018724-15-000164
AMAZON COM INC · AMZN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey A Wilke
Officer — Senior Vice President
Period of report
Nov 15, 2015
Accepted (ET)
Nov 17, 2015 · 7:09 pm EST
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 | Nov 15, 2015 | M | 2,568 | $0.00 | A | 44,642 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2015 | M | 6,250 | $0.00 | A | 50,892 | D | |
| Common Stock, par value $.01 per share | Nov 16, 2015 | S | 100 | $649.70 | D | 50,792 | D | |
| Common Stock, par value $.01 per shareF2 | Nov 16, 2015 | S | 520 | $648.2089 | D | 50,272 | D | |
| Common Stock, par value $.01 per shareF3 | Nov 16, 2015 | S | 488 | $646.9752 | D | 49,784 | D | |
| Common Stock, par value $.01 per shareF4 | Nov 16, 2015 | S | 600 | $646.0533 | D | 49,184 | D | |
| Common Stock, par value $.01 per shareF5 | Nov 16, 2015 | S | 300 | $644.84 | D | 48,884 | D | |
| Common Stock, par value $.01 per share | Nov 16, 2015 | S | 200 | $643.15 | D | 48,684 | D | |
| Common Stock, par value $.01 per shareF6 | Nov 16, 2015 | S | 500 | $638.5527 | D | 48,184 | D | |
| Common Stock, par value $.01 per share | Nov 16, 2015 | S | 100 | $637.95 | D | 48,084 | D | |
| Common Stock, par value $.01 per shareF7 | Nov 16, 2015 | S | 400 | $636.0325 | D | 47,684 | D | |
| Common Stock, par value $.01 per shareF8 | Nov 16, 2015 | S | 200 | $633.416 | D | 47,484 | D | |
| Common Stock, par value $.01 per shareF9 | Nov 16, 2015 | S | 200 | $631.57 | D | 47,284 | D | |
| Common Stock, par value $.01 per shareF10 | Nov 16, 2015 | S | 600 | $630.0556 | D | 46,684 | D | |
| Common Stock, par value $.01 per shareF11 | Nov 16, 2015 | S | 700 | $628.7914 | D | 45,984 | D | |
| Common Stock, par value $.01 per shareF12 | Nov 16, 2015 | S | 400 | $627.21 | D | 45,584 | D | |
| Common Stock, par value $.01 per shareF13 | Nov 16, 2015 | S | 300 | $626.4167 | D | 45,284 | D | |
| Common Stock, par value $.01 per shareF14 | Nov 16, 2015 | S | 300 | $625.3358 | D | 44,984 | D | |
| Common Stock, par value $.01 per share | holding | — | — | — | 13,748 | I | In trust | |
| Common Stock, par value $.01 per share | holding | — | — | — | 522 | I | Held by the reporting person's Amazon.com 401(k) plan 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 AwardF15,F16 | $0.00 | Nov 15, 2015 | M | 2,568 | D | May 15, 2013 | Feb 15, 2018 | Common Stock, par value $.01 per share | 2,568 | 51,370 | D |
| Restricted Stock Unit AwardF15,F17 | $0.00 | Nov 15, 2015 | M | 6,250 | D | May 15, 2014 | Feb 15, 2016 | Common Stock, par value $.01 per share | 6,250 | 6,250 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F10Represents the weighted average sale price. The highest price at which shares were sold was $630.30 and the lowest price at which shares were sold was $629.85.
- F11Represents the weighted average sale price. The highest price at which shares were sold was $628.99 and the lowest price at which shares were sold was $628.40.
- F12Represents the weighted average sale price. The highest price at which shares were sold was $627.64 and the lowest price at which shares were sold was $626.97.
- F13Represents the weighted average sale price. The highest price at which shares were sold was $626.51 and the lowest price at which shares were sold was $626.26.
- F14Represents the weighted average sale price. The highest price at which shares were sold was $625.38 and the lowest price at which shares were sold was $625.23.
- F15Converts into Common Stock on a one-for-one basis.
- F16This 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: 4,163 shares on May 15, 2013; 4,162 shares on each of August 15, 2013, November 15, 2013, and February 15, 2014; 3,892 shares on May 15, 2014; 3,891 shares on each of August 15, 2014, November 15, 2014, and February 15, 2015; 2,569 shares on May 15, 2015; 2,568 shares on each of August 15, 2015, November 15, 2015, and February 15, 2016; 6,889 shares on each of May 15, 2016 and August 15, 2016; 6,888 shares on each of November 15, 2016 and February 15, 2017; and 5,312 shares on each of May 15, 2017, August 15, 2017, November 15, 2017, and February 15, 2018.
- F17This 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: 6,250 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.
- F2Represents the weighted average sale price. The highest price at which shares were sold was $648.66 and the lowest price at which shares were sold was $647.84.
- F3Represents the weighted average sale price. The highest price at which shares were sold was $647.50 and the lowest price at which shares were sold was $646.51.
- F4Represents the weighted average sale price. The highest price at which shares were sold was $646.37 and the lowest price at which shares were sold was $645.50.
- F5Represents the weighted average sale price. The highest price at which shares were sold was $645.02 and the lowest price at which shares were sold was $644.75.
- F6Represents the weighted average sale price. The highest price at which shares were sold was $638.98 and the lowest price at which shares were sold was $638.34.
- F7Represents the weighted average sale price. The highest price at which shares were sold was $636.13 and the lowest price at which shares were sold was $636.00.
- F8Represents the weighted average sale price. The highest price at which shares were sold was $633.52 and the lowest price at which shares were sold was $633.33.
- F9Represents the weighted average sale price. The highest price at which shares were sold was $631.73 and the lowest price at which shares were sold was $631.41.
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.