SEC Form 4 · accession 0001018724-16-000344
AMAZON COM INC · AMZN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian T Olsavsky
Officer — Senior Vice President and CFO
Period of report
Nov 15, 2016
Accepted (ET)
Nov 17, 2016 · 4:22 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 | 297 | $0.00 | A | 1,297 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2016 | M | 1,214 | $0.00 | A | 2,511 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2016 | S | 100 | $726.52 | D | 2,411 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2016 | S | 100 | $728.60 | D | 2,311 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2016 | S | 100 | $729.79 | D | 2,211 | D | |
| Common Stock, par value $.01 per shareF2 | Nov 15, 2016 | S | 300 | $735.01 | D | 1,911 | D | |
| Common Stock, par value $.01 per shareF3 | Nov 15, 2016 | S | 301 | $737.0282 | D | 1,610 | D | |
| Common Stock, par value $.01 per shareF4 | Nov 15, 2016 | S | 110 | $738.0009 | D | 1,500 | D | |
| Common Stock, par value $.01 per shareF5 | Nov 15, 2016 | S | 200 | $739.315 | D | 1,300 | D | |
| Common Stock, par value $.01 per shareF6 | Nov 15, 2016 | S | 300 | $740.719 | D | 1,000 | D | |
| Common Stock, par value $.01 per share | holding | — | — | — | 62 | 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 AwardF7,F8 | $0.00 | Nov 15, 2016 | M | 297 | D | May 15, 2016 | Feb 15, 2021 | Common Stock, par value $.01 per share | 297 | 16,884 | D |
| Restricted Stock Unit AwardF7,F9 | $0.00 | Nov 15, 2016 | M | 1,214 | D | May 15, 2013 | Feb 15, 2017 | Common Stock, par value $.01 per share | 1,214 | 1,215 | 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 $735.43 and the lowest price at which shares were sold was $734.55.
- F3Represents the weighted average sale price. The highest price at which shares were sold was $737.48 and the lowest price at which shares were sold was $736.77.
- F4Represents the weighted average sale price. The highest price at which shares were sold was $738.01 and the lowest price at which shares were sold was $738.00.
- F5Represents the weighted average sale price. The highest price at which shares were sold was $739.43 and the lowest price at which shares were sold was $739.20.
- F6Represents the weighted average sale price. The highest price at which shares were sold was $740.87 and the lowest price at which shares were sold was $740.60.
- F7Converts into common stock on a one-for-one basis.
- 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: 296 shares on each of May 15, 2016 and August 15, 2016; 297 shares on each of November 15, 2016 and February 15, 2017; 747 shares on May 15, 2017; 748 shares on each of August 15, 2017, November 15, 2017, and February 15, 2018; 781 shares on each of May 15, 2018 and August 15, 2018; 782 shares on each of November 15, 2018 and February 15, 2019; 1,479 shares on May 15, 2019; 1,480 shares on each of August 15, 2019, November 15, 2019, and February 15, 2020; 1,137 shares on May 15, 2020; and 1,138 shares on each of August 15, 2020, November 15, 2020, and February 15, 2021.
- F9This award vests at the rate of: 1,151 shares on each of May 15, 2013, August 15, 2013, and November 15, 2013; 1,149 shares on February 15, 2014; 971 shares on each of May 15, 2014, August 15, 2014, and November 15, 2014; 970 shares on February 15, 2015; 1,129 shares on each of May 15, 2015, August 15, 2015, November 15, 2015, and February 15, 2016; 1,214 shares on each of May 15, 2016, August 15, 2016, and November 15, 2016; and 1,215 shares on February 15, 2017.
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.