SEC Form 4 · accession 0001018724-17-000115
AMAZON COM INC · AMZN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Zapolsky
Officer — Senior Vice President
Period of report
Aug 15, 2017
Accepted (ET)
Aug 17, 2017 · 4:26 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 | Aug 15, 2017 | M | 1,002 | $0.00 | A | 3,020 | D | |
| Common Stock, par value $.01 per share | Aug 15, 2017 | M | 754 | $0.00 | A | 3,774 | D | |
| Common Stock, par value $.01 per share | Aug 15, 2017 | M | 578 | $0.00 | A | 4,352 | D | |
| Common Stock, par value $.01 per shareF2 | Aug 15, 2017 | S | 500 | $983.23 | D | 3,852 | D | |
| Common Stock, par value $.01 per shareF3 | Aug 15, 2017 | S | 302 | $984.5561 | D | 3,550 | D | |
| Common Stock, par value $.01 per shareF4 | Aug 15, 2017 | S | 568 | $985.4629 | D | 2,982 | D | |
| Common Stock, par value $.01 per shareF5 | Aug 15, 2017 | S | 200 | $986.59 | D | 2,782 | D | |
| Common Stock, par value $.01 per shareF6 | Aug 15, 2017 | S | 300 | $988.02 | D | 2,482 | D | |
| Common Stock, par value $.01 per shareF7 | Aug 15, 2017 | S | 264 | $989.1961 | D | 2,218 | D | |
| Common Stock, par value $.01 per shareF8 | Aug 15, 2017 | S | 200 | $990.335 | D | 2,018 | D |
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 | Aug 15, 2017 | M | 1,002 | D | May 15, 2013 | Feb 15, 2018 | Common Stock, par value $.01 per share | 1,002 | 2,003 | D |
| Restricted Stock Unit AwardF9,F11 | $0.00 | Aug 15, 2017 | M | 754 | D | May 15, 2015 | Feb 15, 2020 | Common Stock, par value $.01 per share | 754 | 11,182 | D |
| Restricted Stock Unit AwardF9,F12 | $0.00 | Aug 15, 2017 | M | 578 | D | May 15, 2017 | Feb 15, 2022 | Common Stock, par value $.01 per share | 578 | 16,403 | 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: 604 shares on each of May 15, 2013, August 15, 2013, and November 15, 2013; 603 shares on February 15, 2014; 866 shares on each of May 15, 2014, August 15, 2014, November 15, 2014, and February 15, 2015; 573 shares on each of May 15, 2015, August 15, 2015, November 15, 2015, and February 15, 2016; 451 shares on each of May 15, 2016, August 15, 2016, and November 15, 2016; 450 shares on February 15, 2017; 1,002 shares on each of May 15, 2017, August 15, 2017, and November 15, 2017; and 1,001 shares on February 15, 2018.
- F11This 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: 637 shares on each of May 15, 2015, August 15, 2015, November 15, 2015, and February 15, 2016; 710 shares on each of May 15, 2016 and August 15, 2016; 711 shares on each of November 15, 2016 and February 15, 2017; 753 shares on May 15, 2017; 754 shares on each of August 15, 2017, November 15, 2017, and February 15, 2018; 1,367 shares on each of May 15, 2018 and August 15, 2018; 1,368 shares on each of November 15, 2018 and February 15, 2019; and 1,051 shares on each of May 15, 2019, August 15, 2019, November 15, 2019, and February 15, 2020.
- 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: 578 shares on each of May 15, 2017, August 15, 2017, November 15, 2017, and February 15, 2018; 661 shares on each of May 15, 2018 and August 15, 2018; 662 shares on each of November 15, 2018 and February 15, 2019; 713 shares on each of May 15, 2019 and August 15, 2019; 714 shares on each of November 15, 2019 and February 15, 2020; 1,376 shares on May 15, 2020; 1,377 shares on each of August 15, 2020, November 15, 2020, and February 15, 2021; and 1,060 shares on each of May 15, 2021, August 15, 2021, November 15, 2021, and February 15, 2022.
- F2Represents the weighted average sale price. The highest price at which shares were sold was $983.64 and the lowest price at which shares were sold was $982.76.
- F3Represents the weighted average sale price. The highest price at which shares were sold was $984.92 and the lowest price at which shares were sold was $983.97.
- F4Represents the weighted average sale price. The highest price at which shares were sold was $985.80 and the lowest price at which shares were sold was $985.11.
- F5Represents the weighted average sale price. The highest price at which shares were sold was $986.68 and the lowest price at which shares were sold was $986.50.
- F6Represents the weighted average sale price. The highest price at which shares were sold was $988.50 and the lowest price at which shares were sold was $987.51.
- F7Represents the weighted average sale price. The highest price at which shares were sold was $989.74 and the lowest price at which shares were sold was $988.75.
- F8Represents the weighted average sale price. The highest price at which shares were sold was $990.62 and the lowest price at which shares were sold was $990.05.
- 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.