SEC Form 4 · accession 0001127602-15-034338
Alphabet Inc. · GOOGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David C Drummond
Officer — SVP, Corporate Development
Period of report
Dec 14, 2015
Accepted (ET)
Dec 16, 2015 · 7:48 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 A Common Stock | Dec 14, 2015 | M | 2,500 | $0.00 | A | 2,646 | D | |
| Class C Capital Stock | Dec 14, 2015 | M | 2,500 | $0.00 | A | 21,230 | D | |
| Class C Capital Stock | Dec 14, 2015 | S | 146 | $730.1753 | D | 21,084 | D | |
| Class C Capital Stock | Dec 14, 2015 | S | 2,500 | $741.79 | D | 18,584 | D | |
| Class A Common Stock | Dec 14, 2015 | S | 146 | $742.2948 | D | 2,500 | D | |
| Class A Common Stock | Dec 14, 2015 | S | 2,500 | $751.26 | D | 0 | D | |
| Class A Common Stock | holding | — | — | — | 2,090 | I | By Spouse | |
| Class C Capital Stock | holding | — | — | — | 2,095 | I | By Spouse | |
| Class C Restricted Stock UnitF1 | holding | — | — | — | 22,478 | D | ||
| Class C Restricted Stock UnitF2 | holding | — | — | — | 70,788 | D | ||
| Class A Restricted Stock UnitF1 | holding | — | — | — | 22,478 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option To Purchase Class A Common StockF3 | $154.5936 | Dec 14, 2015 | M | 2,500 | D | — | Mar 1, 2017 | Class A Common Stock | 2,500 | 17,500 | D |
| Option to Purchase Class C Capital StockF3 | $153.9765 | Dec 14, 2015 | M | 2,500 | D | — | Mar 1, 2017 | Class C Capital Stock | 2,500 | 17,500 | D |
| Class B Common StockF4,F5 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 21,332 | 21,332 | D |
| Option to Purchase Class C Capital Stock | $316.9399 | holding | — | — | — | Apr 25, 2016 | Apr 4, 2022 | Class C Capital Stock | 44,955 | 44,955 | D |
| Option to Purchase Class C Capital Stock | $316.9339 | holding | — | — | — | Apr 25, 2015 | Apr 4, 2022 | Class C Capital Stock | 8,646 | 8,646 | D |
| Option to Purchase Class C Capital StockF6 | $281.6107 | holding | — | — | — | — | Dec 1, 2020 | Class C Capital Stock | 9,998 | 9,998 | D |
| Option to Purchase Class C Capital StockF7 | $286.5159 | holding | — | — | — | — | Apr 6, 2021 | Class C Capital Stock | 29,288 | 29,288 | D |
| Option to Purchase Class C Capital StockF8 | $159.1411 | holding | — | — | — | — | Mar 4, 2019 | Class C Capital Stock | 34,138 | 34,138 | D |
| Option To Purchase Class A Common Stock | $318.2102 | holding | — | — | — | Apr 25, 2016 | Apr 4, 2022 | Class A Common Stock | 44,955 | 44,955 | D |
| Option To Purchase Class A Common Stock | $318.2102 | holding | — | — | — | Apr 25, 2015 | Apr 4, 2022 | Class A Common Stock | 8,646 | 8,646 | D |
| Option To Purchase Class A Common StockF9 | $159.779 | holding | — | — | — | — | Mar 4, 2019 | Class A Common Stock | 34,138 | 34,138 | D |
| Option To Purchase Class A Common StockF10 | $282.7394 | holding | — | — | — | — | Dec 1, 2020 | Class A Common Stock | 9,998 | 9,998 | D |
| Option To Purchase Class A Common StockF11 | $287.6642 | holding | — | — | — | — | Apr 6, 2021 | Class A Common Stock | 29,288 | 29,288 | D |
Explanation of responses
- F1100% of the grant will vest on April 25, 2016, subject to continued employment on such vesting date.
- F10The option vests as follows: 1/4th of the option vested on the one-year grant date anniversary and 1/48th of the grant vest each month thereafter, subject to the Reporting Person's continued employment on the applicable vesting dates.
- F11The option provided for vesting as follows: 1/48th of the option shall vest on the vesting start date (1/6/12) and 1/48th each month thereafter, subject to the Reporting Person's continued employment on the applicable vesting dates.
- F2100% of the grant will vest on April 25, 2018, subject to continued employment on such vesting date.
- F3The option is fully vested.
- F4All shares are exercisable as of the transaction date.
- F5There is no expiration date for Alphabet Inc.'s Class B Common Stock.
- F6The option vests as follows: 1/4th of the option vested on the one-year grant date anniversary and 1/48th of the grant vest each month thereafter, subject to the Reporting Person's continued employment on the applicable vesting dates.
- F7The option provided for vesting as follows: 1/48th of the option shall vest on the vesting start date (1/6/12) and 1/48th each month thereafter, subject to the Reporting Person's continued employment on the applicable vesting dates.
- F8The option vests as follows: 1/4th of the option vested on the one-year grant date anniversary and 1/48th of the grant vest each month thereafter, subject to the Reporting Person's continued employment on the applicable vesting dates.
- F9The option vests as follows: 1/4th of the option vested on the one-year grant date anniversary and 1/48th of the grant vest each month thereafter, subject to the Reporting Person's continued employment on the applicable vesting dates.
Remarks
All sale transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person.