SEC Form 4 · accession 0001018724-16-000346
AMAZON COM INC · AMZN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey M Blackburn
Officer — Senior Vice President
Period of report
Nov 15, 2016
Accepted (ET)
Nov 17, 2016 · 4:23 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 | 4,787 | $0.00 | A | 51,874 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2016 | S | 200 | $726.64 | D | 51,674 | D | |
| Common Stock, par value $.01 per shareF2 | Nov 15, 2016 | S | 275 | $728.2009 | D | 51,399 | D | |
| Common Stock, par value $.01 per shareF3 | Nov 15, 2016 | S | 200 | $729.42 | D | 51,199 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2016 | S | 100 | $730.05 | D | 51,099 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2016 | S | 65 | $731.54 | D | 51,034 | D | |
| Common Stock, par value $.01 per shareF4 | Nov 15, 2016 | S | 300 | $733.3133 | D | 50,734 | D | |
| Common Stock, par value $.01 per shareF5 | Nov 15, 2016 | S | 405 | $734.502 | D | 50,329 | D | |
| Common Stock, par value $.01 per shareF6 | Nov 15, 2016 | S | 305 | $736.5618 | D | 50,024 | D | |
| Common Stock, par value $.01 per shareF7 | Nov 15, 2016 | S | 891 | $737.5487 | D | 49,133 | D | |
| Common Stock, par value $.01 per shareF8 | Nov 15, 2016 | S | 300 | $738.51 | D | 48,833 | D | |
| Common Stock, par value $.01 per shareF9 | Nov 15, 2016 | S | 706 | $739.7873 | D | 48,127 | D | |
| Common Stock, par value $.01 per shareF10 | Nov 15, 2016 | S | 1,000 | $740.7435 | D | 47,127 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2016 | S | 40 | $741.90 | D | 47,087 | D | |
| Common Stock, par value $.01 per share | holding | — | — | — | 20,000 | I | In trust | |
| Common Stock, par value $.01 per share | holding | — | — | — | 473 | 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 AwardF11,F12 | $0.00 | Nov 15, 2016 | M | 4,787 | D | May 15, 2013 | Feb 15, 2018 | Common Stock, par value $.01 per share | 4,787 | 19,540 | 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 $741.42 and the lowest price at which shares were sold was $740.54.
- F11Converts into common stock on a one-for-one basis.
- F12This 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: 361 shares on each of May 15, 2013, August 15, 2013, and November 15, 2013; 360 shares on February 15, 2014; 1,428 shares on each of May 15, 2014, August 15, 2014, November 15, 2014, and February 15, 2015; 508 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.
- F2Represents the weighted average sale price. The highest price at which shares were sold was $728.67 and the lowest price at which shares were sold was $728.00.
- F3Represents the weighted average sale price. The highest price at which shares were sold was $729.81 and the lowest price at which shares were sold was $729.03.
- F4Represents the weighted average sale price. The highest price at which shares were sold was $733.82 and the lowest price at which shares were sold was $733.03.
- F5Represents the weighted average sale price. The highest price at which shares were sold was $734.95 and the lowest price at which shares were sold was $734.04.
- F6Represents 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 $736.01.
- F7Represents 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 $737.10.
- F8Represents the weighted average sale price. The highest price at which shares were sold was $738.91 and the lowest price at which shares were sold was $738.31.
- F9Represents the weighted average sale price. The highest price at which shares were sold was $740.35 and the lowest price at which shares were sold was $739.48.
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.