SEC Form 4 · accession 0001018724-18-000189
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, 2018
Accepted (ET)
Nov 19, 2018 · 5:14 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, 2018 | M | 1,368 | $0.00 | A | 3,263 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2018 | M | 662 | $0.00 | A | 3,925 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2018 | S | 100 | $1,548.74 | D | 3,825 | D | |
| Common Stock, par value $.01 per shareF2 | Nov 15, 2018 | S | 104 | $1,550.1877 | D | 3,721 | D | |
| Common Stock, par value $.01 per shareF3 | Nov 15, 2018 | S | 210 | $1,554.489 | D | 3,511 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2018 | S | 100 | $1,555.37 | D | 3,411 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2018 | S | 100 | $1,558.53 | D | 3,311 | D | |
| Common Stock, par value $.01 per shareF4 | Nov 15, 2018 | S | 200 | $1,562.30 | D | 3,111 | D | |
| Common Stock, par value $.01 per shareF5 | Nov 15, 2018 | S | 169 | $1,563.432 | D | 2,942 | D | |
| Common Stock, par value $.01 per shareF6 | Nov 15, 2018 | S | 200 | $1,568.94 | D | 2,742 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2018 | S | 46 | $1,570.95 | D | 2,696 | D | |
| Common Stock, par value $.01 per shareF7 | Nov 15, 2018 | S | 200 | $1,572.71 | D | 2,496 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2018 | S | 100 | $1,575.91 | D | 2,396 | D | |
| Common Stock, par value $.01 per shareF8 | Nov 15, 2018 | S | 200 | $1,577.45 | D | 2,196 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2018 | S | 100 | $1,579.30 | D | 2,096 | D | |
| Common Stock, par value $.01 per share | Nov 15, 2018 | S | 100 | $1,587.72 | D | 1,996 | 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 | Nov 15, 2018 | M | 1,368 | D | May 15, 2015 | Feb 15, 2020 | Common Stock, par value $.01 per share | 1,368 | 5,572 | D |
| Restricted Stock Unit AwardF9,F11 | $0.00 | Nov 15, 2018 | M | 662 | D | May 15, 2017 | Feb 15, 2022 | Common Stock, par value $.01 per share | 662 | 13,263 | 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 $1,551.13 and the lowest price at which shares were sold was $1,550.15.
- F3Represents the weighted average sale price. The highest price at which shares were sold was $1,554.87 and the lowest price at which shares were sold was $1,554.12.
- F4Represents the weighted average sale price. The highest price at which shares were sold was $1,562.61 and the lowest price at which shares were sold was $1,561.99.
- F5Represents the weighted average sale price. The highest price at which shares were sold was $1,563.73 and the lowest price at which shares were sold was $1,563.00.
- F6Represents the weighted average sale price. The highest price at which shares were sold was $1,568.98 and the lowest price at which shares were sold was $1,568.90.
- F7Represents the weighted average sale price. The highest price at which shares were sold was $1,573.16 and the lowest price at which shares were sold was $1,572.26.
- F8Represents the weighted average sale price. The highest price at which shares were sold was $1,577.89 and the lowest price at which shares were sold was $1,577.01.
- 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.