SEC Form 4 · accession 0001018724-17-000165
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, 2017
Accepted (ET)
Nov 17, 2017 · 4:39 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 | 4,230 | $0.00 | A | 84,218 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2017 | M | 494 | $0.00 | A | 84,712 | D | |
| Common Stock, par value $.01 per shareF2 | Nov 15, 2017 | S | 240 | $1,122.9233 | D | 84,472 | D | |
| Common Stock, par value $.01 per shareF3 | Nov 15, 2017 | S | 400 | $1,123.765 | D | 84,072 | D | |
| Common Stock, par value $.01 per shareF4 | Nov 15, 2017 | S | 345 | $1,125.1188 | D | 83,727 | D | |
| Common Stock, par value $.01 per shareF5 | Nov 15, 2017 | S | 600 | $1,125.9717 | D | 83,127 | D | |
| Common Stock, par value $.01 per shareF6 | Nov 15, 2017 | S | 200 | $1,126.645 | D | 82,927 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2017 | S | 100 | $1,127.82 | D | 82,827 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2017 | S | 100 | $1,130.05 | D | 82,727 | D | |
| Common Stock, par value $.01 per share | holding | — | — | — | 488 | 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 AwardF7,F8 | $0.00 | Nov 15, 2017 | M | 4,230 | D | May 15, 2013 | Feb 15, 2018 | Common Stock, par value $.01 per share | 4,230 | 4,230 | D |
| Restricted Stock Unit AwardF7,F9 | $0.00 | Nov 15, 2017 | M | 494 | D | May 15, 2017 | Feb 15, 2022 | Common Stock, par value $.01 per share | 494 | 28,636 | 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 $1,123.31 and the lowest price at which shares were sold was $1,122.39.
- F3Represents the weighted average sale price. The highest price at which shares were sold was $1,124.17 and the lowest price at which shares were sold was $1,123.44.
- F4Represents the weighted average sale price. The highest price at which shares were sold was $1,125.50 and the lowest price at which shares were sold was $1,124.56.
- F5Represents the weighted average sale price. The highest price at which shares were sold was $1,126.34 and the lowest price at which shares were sold was $1,125.60.
- F6Represents the weighted average sale price. The highest price at which shares were sold was $1,126.69 and the lowest price at which shares were sold was $1,126.60.
- F7Converts into Common Stock on a one-for-one basis.
- 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: 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.
- 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: 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.