SEC Form 4 · accession 0001018724-18-000132
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, 2018
Accepted (ET)
Aug 17, 2018 · 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 | Aug 15, 2018 | M | 1,367 | $0.00 | A | 3,161 | D | |
| Common Stock, par value $.01 per share | Aug 15, 2018 | M | 661 | $0.00 | A | 3,822 | D | |
| Common Stock, par value $.01 per shareF2 | Aug 15, 2018 | S | 159 | $1,873.317 | D | 3,663 | D | |
| Common Stock, par value $.01 per share | Aug 15, 2018 | S | 100 | $1,887.58 | D | 3,563 | D | |
| Common Stock, par value $.01 per share | Aug 15, 2018 | S | 100 | $1,891.91 | D | 3,463 | D | |
| Common Stock, par value $.01 per shareF3 | Aug 15, 2018 | S | 155 | $1,893.0897 | D | 3,308 | D | |
| Common Stock, par value $.01 per share | Aug 15, 2018 | S | 100 | $1,894.15 | D | 3,208 | D | |
| Common Stock, par value $.01 per share | Aug 15, 2018 | S | 100 | $1,899.06 | D | 3,108 | D | |
| Common Stock, par value $.01 per shareF4 | Aug 15, 2018 | S | 200 | $1,901.78 | D | 2,908 | D | |
| Common Stock, par value $.01 per shareF5 | Aug 15, 2018 | S | 231 | $1,903.4492 | D | 2,677 | D | |
| Common Stock, par value $.01 per share | Aug 15, 2018 | S | 100 | $1,905.36 | D | 2,577 | D | |
| Common Stock, par value $.01 per shareF6 | Aug 15, 2018 | S | 182 | $1,907.2025 | D | 2,395 | D | |
| Common Stock, par value $.01 per shareF7 | Aug 15, 2018 | S | 200 | $1,908.16 | D | 2,195 | D | |
| Common Stock, par value $.01 per shareF8 | Aug 15, 2018 | S | 200 | $1,909.325 | D | 1,995 | D | |
| Common Stock, par value $.01 per share | Aug 15, 2018 | S | 100 | $1,914.71 | D | 1,895 | 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, 2018 | M | 1,367 | D | May 15, 2015 | Feb 15, 2020 | Common Stock, par value $.01 per share | 1,367 | 6,940 | D |
| Restricted Stock Unit AwardF9,F11 | $0.00 | Aug 15, 2018 | M | 661 | D | May 15, 2017 | Feb 15, 2022 | Common Stock, par value $.01 per share | 661 | 13,925 | 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 $1,873.51 and the lowest price at which shares were sold was $1,872.99.
- F3Represents the weighted average sale price. The highest price at which shares were sold was $1,893.15 and the lowest price at which shares were sold was $1,892.98.
- F4Represents the weighted average sale price. The highest price at which shares were sold was $1,902.14 and the lowest price at which shares were sold was $1,901.42.
- F5Represents the weighted average sale price. The highest price at which shares were sold was $1,903.74 and the lowest price at which shares were sold was $1,903.04.
- F6Represents the weighted average sale price. The highest price at which shares were sold was $1,907.59 and the lowest price at which shares were sold was $1,906.73.
- F7Represents the weighted average sale price. The highest price at which shares were sold was $1,908.27 and the lowest price at which shares were sold was $1,908.05.
- F8Represents the weighted average sale price. The highest price at which shares were sold was $1,909.55 and the lowest price at which shares were sold was $1,909.10.
- 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.