SEC Form 4 · accession 0001127602-15-031573
Alphabet Inc. · GOOGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
L John Doerr
Director
Period of report
Nov 16, 2015
Accepted (ET)
Nov 16, 2015 · 9:12 pm EST
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 | Oct 26, 2015 | J | 12 | $0.00 | D | 101 | D | |
| Class C Capital Stock | Oct 26, 2015 | J | 12 | $0.00 | A | 3,474 | D | |
| Class A Restricted Stock UnitF1 | Oct 26, 2015 | J | 12 | $0.00 | D | 101 | D | |
| Class A Common Stock | Oct 26, 2015 | J | 12 | $0.00 | A | 3,210 | D | |
| Class A Restricted Stock UnitF3 | Oct 26, 2015 | J | 8 | $0.00 | D | 166 | D | |
| Class A Common Stock | Oct 26, 2015 | J | 8 | $0.00 | A | 3,218 | D | |
| Class C Restricted Stock UnitF4 | Oct 26, 2015 | J | 8 | $0.00 | D | 166 | D | |
| Class C Capital Stock | Oct 26, 2015 | J | 8 | $0.00 | A | 3,482 | D | |
| Class C Restricted Stock UnitF5 | Oct 26, 2015 | J | 13 | $0.00 | D | 416 | D | |
| Class C Capital Stock | Oct 26, 2015 | J | 13 | $0.00 | A | 3,495 | D | |
| Class C Restricted Stock UnitF6 | Oct 26, 2015 | J | 14 | $0.00 | D | 617 | D | |
| Class C Capital Stock | Oct 26, 2015 | J | 14 | $0.00 | A | 3,509 | D | |
| Class C Capital Stock | Nov 16, 2015 | S | 100 | $712.49 | D | 990,452 | I | Vallejo Ventures Trust |
| Class C Capital Stock | Nov 16, 2015 | S | 100 | $715.06 | D | 990,352 | I | Vallejo Ventures Trust |
| Class C Capital StockF7 | Nov 16, 2015 | S | 200 | $717.39 | D | 990,152 | I | Vallejo Ventures Trust |
| Class C Capital StockF8 | Nov 16, 2015 | S | 600 | $718.4804 | D | 989,552 | I | Vallejo Ventures Trust |
| Class C Capital StockF9 | Nov 16, 2015 | S | 1,239 | $719.646 | D | 988,313 | I | Vallejo Ventures Trust |
| Class C Capital StockF10 | Nov 16, 2015 | S | 505 | $721.0796 | D | 987,808 | I | Vallejo Ventures Trust |
| Class C Capital StockF11 | Nov 16, 2015 | S | 200 | $722.12 | D | 987,608 | I | Vallejo Ventures Trust |
| Class C Capital StockF12 | Nov 16, 2015 | S | 400 | $724.2825 | D | 987,208 | I | Vallejo Ventures Trust |
| Class C Capital StockF13 | Nov 16, 2015 | S | 500 | $725.222 | D | 986,708 | I | Vallejo Ventures Trust |
| Class C Capital StockF14 | Nov 16, 2015 | S | 775 | $727.2729 | D | 985,933 | I | Vallejo Ventures Trust |
| Class A Common Stock | holding | — | — | — | 118,653 | I | The Benificus Foundation | |
| Class C Capital Stock | holding | — | — | — | 109,615 | 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 StockF15,F16 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 1,117,447 | 1,117,447 | I |
Explanation of responses
- F11/48th 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.
- F10These shares were sold in multiple transactions at prices ranging from $720.59 to $721.58.
- F11These shares were sold in multiple transactions at prices ranging from $722.10 to $723.09.
- F12These shares were sold in multiple transactions at prices ranging from $723.70 to $724.69.
- F13These shares were sold in multiple transactions at prices ranging from $725.02 to $726.01.
- F14These shares were sold in multiple transactions at prices ranging from $727.16 to $728.15.
- F15There is no exercisable date for the Issuer's Class B Common Stock.
- F16There 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 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.
- 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 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.
- F61/48th 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.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $716.97 to $717.96, 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 (14) to this Form 4.
- F8These shares were sold in multiple transactions at prices ranging from $718.12 to $719.11.
- F9These shares were sold in multiple transactions at prices ranging from $719.28 to $720.27.
Remarks
All sale transactions were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person.