SEC Form 4 · accession 0001018724-17-000164
AMAZON COM INC · AMZN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian T Olsavsky
Officer — Senior Vice President and CFO
Period of report
Nov 15, 2017
Accepted (ET)
Nov 17, 2017 · 4:37 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 | 748 | $0.00 | A | 1,748 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2017 | M | 1,363 | $0.00 | A | 3,111 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2017 | M | 73 | $0.00 | A | 3,184 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2017 | M | 150 | $0.00 | A | 3,334 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2017 | S | 2,334 | $1,127.01 | D | 1,000 | D | |
| Common Stock, par value $.01 per share | holding | — | — | — | 66 | 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 AwardF2,F3 | $0.00 | Nov 15, 2017 | M | 748 | D | May 15, 2016 | Feb 15, 2021 | Common Stock, par value $.01 per share | 748 | 14,344 | D |
| Restricted Stock Unit AwardF2,F4 | $0.00 | Nov 15, 2017 | M | 1,363 | D | May 15, 2017 | Feb 15, 2018 | Common Stock, par value $.01 per share | 1,363 | 1,361 | D |
| Restricted Stock Unit AwardF2,F5 | $0.00 | Nov 15, 2017 | M | 73 | D | May 15, 2017 | Feb 15, 2019 | Common Stock, par value $.01 per share | 73 | 4,541 | D |
| Restricted Stock Unit AwardF2,F6 | $0.00 | Nov 15, 2017 | M | 150 | D | May 15, 2017 | Feb 15, 2022 | Common Stock, par value $.01 per share | 150 | 7,008 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2Converts into Common Stock on a one-for-one basis.
- F3This 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: 296 shares on each of May 15, 2016 and August 15, 2016; 297 shares on each of November 15, 2016 and February 15, 2017; 747 shares on May 15, 2017; 748 shares on each of August 15, 2017, November 15, 2017, and February 15, 2018; 781 shares on each of May 15, 2018 and August 15, 2018; 782 shares on each of November 15, 2018 and February 15, 2019; 1,479 shares on May 15, 2019; 1,480 shares on each of August 15, 2019, November 15, 2019, and February 15, 2020; 1,137 shares on May 15, 2020; and 1,138 shares on each of August 15, 2020, November 15, 2020, and February 15, 2021.
- F4This award vests at the rate of: 1,363 shares on each of May 15, 2017, August 15, 2017, and November 15, 2017; and 1,361 shares on February 15, 2018.
- F5This award vests at the rate of: 73 shares on each of May 15, 2017, August 15, 2017, November 15, 2017, and February 15, 2018; and 1,117 shares on each of May 15, 2018, August 15, 2018, November 15 2018, and February 15, 2019.
- F6This 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: 150 shares on each of May 15, 2017, August 15, 2017, and November 15, 2017; 151 shares on February 15, 2018; 130 shares on each of May 15, 2018 and August 15, 2018; 131 shares on each of November 15, 2018 and February 15, 2019; 284 shares on May 15, 2019; 285 shares on each of August 15, 2019, November 15, 2019, and February 15, 2020; 239 shares on each of May 15, 2020, 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.