SEC Form 4 · accession 0001018724-17-000163
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
Nov 15, 2017
Accepted (ET)
Nov 17, 2017 · 4:35 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, 2017 | M | 1,002 | $0.00 | A | 3,020 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2017 | M | 754 | $0.00 | A | 3,774 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2017 | M | 578 | $0.00 | A | 4,352 | D | |
| Common Stock, par value $.01 per shareF2 | Nov 15, 2017 | S | 200 | $1,122.88 | D | 4,152 | D | |
| Common Stock, par value $.01 per shareF3 | Nov 15, 2017 | S | 688 | $1,124.1056 | D | 3,464 | D | |
| Common Stock, par value $.01 per shareF4 | Nov 15, 2017 | S | 618 | $1,125.1968 | D | 2,846 | D | |
| Common Stock, par value $.01 per shareF5 | Nov 15, 2017 | S | 428 | $1,126.2102 | D | 2,418 | D | |
| Common Stock, par value $.01 per shareF6 | Nov 15, 2017 | S | 300 | $1,127.7033 | D | 2,118 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2017 | S | 100 | $1,129.90 | D | 2,018 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2017 | G | 442 | $0.00 | D | 1,576 | 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 AwardF8,F9 | $0.00 | Nov 15, 2017 | M | 1,002 | D | May 15, 2013 | Feb 15, 2018 | Common Stock, par value $.01 per share | 1,002 | 1,001 | D |
| Restricted Stock Unit AwardF8,F10 | $0.00 | Nov 15, 2017 | M | 754 | D | May 15, 2015 | Feb 15, 2020 | Common Stock, par value $.01 per share | 754 | 10,428 | D |
| Restricted Stock Unit AwardF8,F11 | $0.00 | Nov 15, 2017 | M | 578 | D | May 15, 2017 | Feb 15, 2022 | Common Stock, par value $.01 per share | 578 | 15,825 | 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: 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.
- 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: 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 $1,123.32 and the lowest price at which shares were sold was $1,122.44.
- F3Represents the weighted average sale price. The highest price at which shares were sold was $1,124.60 and the lowest price at which shares were sold was $1,123.65.
- F4Represents the weighted average sale price. The highest price at which shares were sold was $1,125.68 and the lowest price at which shares were sold was $1,124.80.
- F5Represents the weighted average sale price. The highest price at which shares were sold was $1,126.83 and the lowest price at which shares were sold was $1,126.04.
- F6Represents the weighted average sale price. The highest price at which shares were sold was $1,127.95 and the lowest price at which shares were sold was $1,127.48.
- F7Contribution to non-profit organization.
- F8Converts into Common Stock on a one-for-one basis.
- F9This 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.
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.