SEC Form 4 · accession 0001018724-16-000347
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
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 | 5,489 | $0.00 | A | 73,630 | D | |
| Common Stock, par value $.01 per shareF2 | Nov 15, 2016 | S | 200 | $727.82 | D | 73,430 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2016 | S | 100 | $728.63 | D | 73,330 | D | |
| Common Stock, par value $.01 per shareF3 | Nov 15, 2016 | S | 105 | $729.839 | D | 73,225 | D | |
| Common Stock, par value $.01 per shareF4 | Nov 15, 2016 | S | 200 | $732.91 | D | 73,025 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2016 | S | 100 | $734.57 | D | 72,925 | D | |
| Common Stock, par value $.01 per shareF5 | Nov 15, 2016 | S | 524 | $737.1912 | D | 72,401 | D | |
| Common Stock, par value $.01 per shareF6 | Nov 15, 2016 | S | 376 | $738.301 | D | 72,025 | D | |
| Common Stock, par value $.01 per shareF7 | Nov 15, 2016 | S | 300 | $739.6367 | D | 71,725 | D | |
| Common Stock, par value $.01 per shareF8 | Nov 15, 2016 | S | 400 | $740.6552 | D | 71,325 | 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 AwardF9,F10 | $0.00 | Nov 15, 2016 | M | 5,489 | D | May 15, 2013 | Feb 15, 2018 | Common Stock, par value $.01 per share | 5,489 | 22,411 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F10This 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.
- F2Represents the weighted average sale price. The highest price at which shares were sold was $728.10 and the lowest price at which shares were sold was $727.54.
- F3Represents the weighted average sale price. The highest price at which shares were sold was $729.84 and the lowest price at which shares were sold was $729.82.
- F4Represents the weighted average sale price. The highest price at which shares were sold was $732.95 and the lowest price at which shares were sold was $732.87.
- F5Represents the weighted average sale price. The highest price at which shares were sold was $737.43 and the lowest price at which shares were sold was $736.88.
- F6Represents the weighted average sale price. The highest price at which shares were sold was $738.63 and the lowest price at which shares were sold was $738.00.
- F7Represents the weighted average sale price. The highest price at which shares were sold was $739.72 and the lowest price at which shares were sold was $739.59.
- F8Represents the weighted average sale price. The highest price at which shares were sold was $740.80 and the lowest price at which shares were sold was $740.60.
- F9Converts into common stock on a one-for-one basis.
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.