SEC Form 4 · accession 0001018724-17-000078
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
May 15, 2017
Accepted (ET)
May 17, 2017 · 4:49 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 | May 15, 2017 | M | 4,231 | $0.00 | A | 78,739 | D | |
| Common Stock, par value $.01 per share | May 15, 2017 | M | 494 | $0.00 | A | 79,233 | D | |
| Common Stock, par value $.01 per shareF2 | May 15, 2017 | S | 718 | $957.4206 | D | 78,515 | D | |
| Common Stock, par value $.01 per shareF3 | May 15, 2017 | S | 787 | $958.6733 | D | 77,728 | D | |
| Common Stock, par value $.01 per shareF4 | May 15, 2017 | S | 300 | $960.04 | D | 77,428 | D | |
| Common Stock, par value $.01 per shareF5 | May 15, 2017 | S | 180 | $962.5222 | D | 77,248 | D | |
| Common Stock, par value $.01 per share | holding | — | — | — | 487 | 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 AwardF6,F7 | $0.00 | May 15, 2017 | M | 4,231 | D | May 15, 2013 | Feb 15, 2018 | Common Stock, par value $.01 per share | 4,231 | 12,691 | D |
| Restricted Stock Unit AwardF6,F8 | $0.00 | May 15, 2017 | M | 494 | D | May 15, 2017 | Feb 15, 2022 | Common Stock, par value $.01 per share | 494 | 29,624 | 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 $957.88 and the lowest price at which shares were sold was $956.98.
- F3Represents the weighted average sale price. The highest price at which shares were sold was $959.28 and the lowest price at which shares were sold was $958.30.
- F4Represents the weighted average sale price. The highest price at which shares were sold was $960.30 and the lowest price at which shares were sold was $959.84.
- F5Represents the weighted average sale price. The highest price at which shares were sold was $962.55 and the lowest price at which shares were sold was $962.50.
- F6Converts into Common Stock on a one-for-one basis.
- F7This 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.
- 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: 494 shares on each of May 15, 2017, August 15, 2017, and November 15, 2017; 495 shares on February 15, 2018; 952 shares on each of May 15, 2018, August 15, 2018, November 15, 2018, and February 15, 2019; 1,138 shares on May 15, 2019; 1,139 shares on each of August 15, 2019, November 15, 2019, and February 15, 2020; 2,791 shares on each of May 15, 2020, August 15, 2020, and November 15, 2020; 2,792 shares on February 15, 2021; 2,153 shares on each of May 15, 2021, August 15, 2021, and November 15, 2021; and 2,154 shares on February 15, 2022.
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.