SEC Form 4 · accession 0001018724-16-000339
AMAZON COM INC · AMZN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shelley Reynolds
Officer — Vice President
Period of report
Nov 15, 2016
Accepted (ET)
Nov 17, 2016 · 4:21 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, 2016 | M | 530 | $0.00 | A | 6,519 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2016 | M | 96 | $0.00 | A | 6,615 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2016 | S | 100 | $726.53 | D | 6,515 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2016 | S | 100 | $729.03 | D | 6,415 | D | |
| Common Stock, par value $.01 per shareF2 | Nov 15, 2016 | S | 122 | $736.8746 | D | 6,293 | D | |
| Common Stock, par value $.01 per shareF3 | Nov 15, 2016 | S | 204 | $738.4133 | D | 6,089 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2016 | S | 100 | $739.30 | D | 5,989 | D | |
| Common Stock, par value $.01 per share | holding | — | — | — | 133 | 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 AwardF4,F5 | $0.00 | Nov 15, 2016 | M | 530 | D | May 15, 2014 | Feb 15, 2017 | Common Stock, par value $.01 per share | 530 | 530 | D |
| Restricted Stock Unit AwardF4,F6 | $0.00 | Nov 15, 2016 | M | 96 | D | May 15, 2015 | Feb 15, 2020 | Common Stock, par value $.01 per share | 96 | 5,222 | 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 $736.88 and the lowest price at which shares were sold was $736.85.
- F3Represents the weighted average sale price. The highest price at which shares were sold was $738.55 and the lowest price at which shares were sold was $738.23.
- F4Converts into common stock on a one-for-one basis.
- F5This 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: 180 shares on May 15, 2014; 179 shares on each of August 15, 2014, November 15, 2014, and February 15, 2015; 162 shares on each of May 15, 2015, August 15, 2015, November 15, 2015, and February 15, 2016; 531 shares on May 15, 2016; and 530 shares on each of August 15, 2016, November 15, 2016, and February 15, 2017.
- 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: 15 shares on May 15, 2015; 16 shares on each of August 15, 2015, November 15, 2015, and February 15, 2016; 95 shares on each of May 15, 2016 and August 15, 2016; 96 shares on each of November 15, 2016 and February 15, 2017; 544 shares on each of May 15, 2017, August 15, 2017, November 15, 2017, and February 15, 2018; 419 shares on each of May 15, 2018 and August 15, 2018; 420 shares on each of November 15, 2018 and February 15, 2019; and 318 shares on each of May 15, 2019, August 15, 2019, November 15, 2019, and February 15, 2020.
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.