SEC Form 4 · accession 0001127602-17-009875
Walmart Inc. · WMT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alice L Walton
10% Owner
Period of report
Feb 28, 2017
Accepted (ET)
Mar 2, 2017 · 7:09 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000104169
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 28, 2017 | S | 1,947,020 | $70.6485 | D | 138,516,319 | I | By Trust |
| Common StockF2 | Feb 28, 2017 | J | 1,715,000 | $0.00 | D | 136,801,319 | I | By Trust |
| Common StockF3 | Mar 1, 2017 | S | 2,023,992 | $70.443 | D | 134,777,327 | I | By Trust |
| Common StockF4,F5 | Mar 2, 2017 | S | 571,349 | $70.4987 | D | 134,205,978 | I | By Trust |
| Common Stock | holding | — | — | — | 6,748,580 | D | ||
| Common StockF6 | holding | — | — | — | 1,415,891,131 | I | By Limited Liability Company |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This sale from the Walton Family Holdings Trust was executed in multiple trades at prices ranging from $70.25 to $70.955, inclusive. The price reported above reflects the weighted average sale price. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares and prices at which the transaction was effected.
- F2The transaction is a disposition of 1,715,000 shares of common stock, for no consideration, by the Walton Family Holdings Trust (the "Trust") to certain beneficiaries of the Trust.
- F3This sale from the Walton Family Holdings Trust was executed in multiple trades at prices ranging from $70.15 to $71.01, inclusive. The price reported above reflects the weighted average sale price. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares and prices at which the transaction was effected.
- F4This sale from the Walton Family Holdings Trust was executed in multiple trades at prices ranging from $70.17 to $70.78, inclusive. The price reported above reflects the weighted average sale price. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares and prices at which the transaction was effected.
- F5The reporting person is a trustee of the Trust, the entity that owns 134,205,978 shares of Common Stock. The reporting person disclaims beneficial ownership of the reported securities held by the Trust except to the extent of her pecuniary interest therein.
- F6The reporting person is a member of Walton Enterprises, LLC, the entity that owns 1,415,891,131 shares of Common Stock. The reporting person disclaims beneficial ownership of the reported securities held by such LLC except to the extent of her pecuniary interest therein.