SEC Form 4 · accession 0001127602-15-029105
Alphabet Inc. · GOOGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
L John Doerr
Director
Period of report
Oct 15, 2015
Accepted (ET)
Oct 15, 2015 · 6:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001652044
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class C Restricted Stock UnitF1 | Sep 25, 2015 | J | 14 | $0.00 | D | 631 | D | |
| Class C Capital Stock | Sep 25, 2015 | J | 14 | $0.00 | A | 3,427 | D | |
| Class C Restricted Stock UnitF3 | Sep 25, 2015 | J | 14 | $0.00 | D | 429 | D | |
| Class C Capital Stock | Sep 25, 2015 | J | 14 | $0.00 | A | 3,441 | D | |
| Class C Restricted Stock UnitF4 | Sep 25, 2015 | J | 8 | $0.00 | D | 174 | D | |
| Class C Capital Stock | Sep 25, 2015 | J | 8 | $0.00 | A | 3,449 | D | |
| Class A Restricted Stock UnitF5 | Sep 25, 2015 | J | 8 | $0.00 | D | 174 | D | |
| Class A Common Stock | Sep 25, 2015 | J | 8 | $0.00 | A | 3,185 | D | |
| Class C Restricted Stock UnitF6 | Sep 25, 2015 | J | 13 | $0.00 | D | 113 | D | |
| Class C Capital Stock | Sep 25, 2015 | J | 13 | $0.00 | A | 3,462 | D | |
| Class A Restricted Stock UnitF6 | Sep 25, 2015 | J | 13 | $0.00 | D | 113 | D | |
| Class A Common Stock | Sep 25, 2015 | J | 13 | $0.00 | A | 3,198 | D | |
| Class C Capital StockF7 | Oct 15, 2015 | S | 301 | $655.526 | D | 995,307 | I | Vallejo Ventures Trust |
| Class C Capital StockF8 | Oct 15, 2015 | S | 1,105 | $656.9914 | D | 994,202 | I | Vallejo Ventures Trust |
| Class C Capital StockF9 | Oct 15, 2015 | S | 406 | $657.7948 | D | 993,796 | I | Vallejo Ventures Trust |
| Class C Capital StockF10 | Oct 15, 2015 | S | 913 | $659.0573 | D | 992,883 | I | Vallejo Ventures Trust |
| Class C Capital StockF11 | Oct 15, 2015 | S | 317 | $660.0029 | D | 992,566 | I | Vallejo Ventures Trust |
| Class C Capital StockF12 | Oct 15, 2015 | S | 1,004 | $661.1423 | D | 991,562 | I | Vallejo Ventures Trust |
| Class C Capital StockF13 | Oct 15, 2015 | S | 910 | $662.0737 | D | 990,652 | I | Vallejo Ventures Trust |
| Class C Capital Stock | Oct 15, 2015 | S | 100 | $662.98 | D | 990,552 | I | Vallejo Ventures Trust |
| Class C Capital Stock | holding | — | — | — | 109,615 | I | The Benificus Foundation | |
| Class A Common Stock | holding | — | — | — | 118,653 | I | The Benificus Foundation |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF14,F15 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 1,117,447 | 1,117,447 | I |
Explanation of responses
- F11/48th of Restricted Stock Units (GSUs) will vest on July 25, 2015 and an additional 1/48th of GSUs will vest monthly thereafter until the GSUs are fully vested, subject to continued service on such vesting dates.
- F10These shares were sold in multiple transactions at prices ranging from $658.61 to $659.60, inclusive.
- F11These shares were sold in multiple transactions at prices ranging from $659.63 to $660.52, inclusive.
- F12These shares were sold in multiple transactions at prices ranging from $660.74 to $661.73, inclusive.
- F13These shares were sold in multiple transactions at prices ranging from $661.74 to $662.73, inclusive.
- F14There is no exercisable date for the Issuer's Class B Common Stock.
- F15There is no expiration date for the Issuer's Class B Common Stock.
- F2Vesting of GSUs grant of which was previously reported in Form 4.
- F31/48th of the grant will vest on June 25, 2014 and an additional 1/48th will vest on the 25th day of each month thereafter, subject to continued service on the Board on the applicable vesting dates.
- F41/48th of the grant will vest on July 25, 2013 and an additional 1/48th will vest monthly on the 25th day of each month thereafter, subject to continued service on the Board on the applicable vesting dates.
- F51/48th of the grant will vest on July 25, 2013 and an additional 1/48th will vest monthly on the 25th day of the month thereafter, subject to continued employment on such vesting dates.
- F61/48th of the grant vested on July 25, 2012 and an additional 1/48th will vest monthly on the 25th day of each month thereafter, subject to continued service on such dates.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $655.05 to $656.04, inclusive. The Reporting Person undertakes to provide to any security holder of Google Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (7) through (13) to this Form 4.
- F8These shares were sold in multiple transactions at prices ranging from $657.58 to $658.57, inclusive.
- F9These shares were sold in multiple transactions at prices ranging from $657.58 to $658.57, inclusive.
Remarks
As of October 2, 2015, Alphabet Inc. became the successor issuer to, and parent holding company of, Google Inc. pursuant to a holding company reorganization in which all of Google Inc.'s outstanding shares were automatically converted into equivalent corresponding shares of Alphabet Inc. All sale transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person.