SEC Form 4 · accession 0001127602-17-033104
Walmart Inc. · WMT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
S Robson Walton
Director · 10% Owner
Period of report
Nov 17, 2017
Accepted (ET)
Nov 21, 2017 · 8:20 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 | Nov 17, 2017 | S | 1,477,187 | $97.1711 | D | 95,212,752 | I | By Trust |
| Common StockF2 | Nov 17, 2017 | S | 735,910 | $98.0022 | D | 94,476,842 | I | By Trust |
| Common StockF3 | Nov 17, 2017 | S | 639,512 | $98.973 | D | 93,837,330 | I | By Trust |
| Common StockF4 | Nov 17, 2017 | S | 48,070 | $99.9137 | D | 93,789,260 | I | By Trust |
| Common StockF5 | Nov 20, 2017 | S | 983,710 | $96.222 | D | 92,805,550 | I | By Trust |
| Common StockF6,F7 | Nov 20, 2017 | S | 18,500 | $96.7897 | D | 92,787,050 | I | By Trust |
| Common StockF8 | holding | — | — | — | 1,415,891,131 | I | By Limited Liability Company | |
| Common StockF9 | holding | — | — | — | 3,345,065 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This sale from the Walton Family Holdings Trust (the "Trust") was executed in multiple trades at prices ranging from $96.58 to $97.575, 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.
- F2This sale from the Trust was executed in multiple trades at prices ranging from $97.58 to $98.57, 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.
- F3This sale from the Trust was executed in multiple trades at prices ranging from $98.58 to $99.57, 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 Trust was executed in multiple trades at prices ranging from $99.58 to $100.10, 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.
- F5This sale from the Trust was executed in multiple trades at prices ranging from $95.76 to $96.75, 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.
- F6This sale from the Trust was executed in multiple trades at prices ranging from $96.76 to $96.84, 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.
- F7The reporting person is a trustee of the Trust, the entity that owns 92,787,050 shares of Common Stock. The reporting person disclaims beneficial ownership of the reported securities held by the Trust except to the extent of his pecuniary interest therein.
- F8The 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 his pecuniary interest therein.
- F9Balance adjusted to reflect phantom shares acquired as dividend equivalents on deferred stock.