SEC Form 4 · accession 0001018724-16-000307
AMAZON COM INC · AMZN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew R Jassy
Officer — CEO Amazon Web Services
Period of report
Aug 15, 2016
Accepted (ET)
Aug 17, 2016 · 4:08 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 | Aug 15, 2016 | M | 5,489 | $0.00 | A | 84,446 | D | |
| Common Stock, par value $.01 per shareF2 | Aug 15, 2016 | S | 805 | $768.5025 | D | 83,641 | D | |
| Common Stock, par value $.01 per shareF3 | Aug 15, 2016 | S | 1,100 | $770.1257 | D | 82,541 | D | |
| Common Stock, par value $.01 per shareF4 | Aug 15, 2016 | S | 400 | $771.251 | D | 82,141 | D | |
| Common Stock, par value $.01 per share | holding | — | — | — | 486 | 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 AwardF5,F6 | $0.00 | Aug 15, 2016 | M | 5,489 | D | May 15, 2013 | Feb 15, 2018 | Common Stock, par value $.01 per share | 5,489 | 27,900 | 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 $769.04 and the lowest price at which shares were sold was $768.21.
- F3Represents the weighted average sale price. The highest price at which shares were sold was $770.55 and the lowest price at which shares were sold was $769.75.
- F4Represents the weighted average sale price. The highest price at which shares were sold was $771.50 and the lowest price at which shares were sold was $771.00.
- F5Converts into Common Stock on a one-for-one basis.
- F6This 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: 1,547 shares on each of May 15, 2013, August 15, 2013, and November 15, 2013; 1,546 shares on February 15, 2014; 2,334 shares on each of May 15, 2014, August 15, 2014, November 15, 2014, and February 15, 2015; 1,280 shares on each of May 15, 2015 and August 15, 2015; 1,279 shares on each of November 15, 2015 and February 15, 2016; 5,489 shares on each of May 15, 2016, August 15, 2016, November 15, 2016, and February 15, 2017; 4,231 shares on each of May 15, 2017 and August 15, 2017; and 4,230 shares on each of November 15, 2017 and February 15, 2018.
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.