SEC Form 4 · accession 0001127602-16-043980
Alphabet Inc. · GOOGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric E Schmidt
Officer — Executive Chairman of Board · Director
Period of report
Feb 25, 2016
Accepted (ET)
Feb 29, 2016 · 6:32 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 Google Stock UnitF1 | Feb 25, 2016 | C | 2,789 | $0.00 | D | 68,599 | D | |
| Class C Capital Stock | Feb 25, 2016 | C | 2,789 | $0.00 | A | 1,260,773 | D | |
| Class C Google Stock UnitF1 | Feb 25, 2016 | F | 2,702 | $699.56 | D | 65,897 | D | |
| Class A Google Stock UnitF4 | Feb 25, 2016 | C | 2,625 | $0.00 | D | 68,763 | D | |
| Class A Common StockF5 | Feb 25, 2016 | C | 2,625 | $0.00 | A | 63,116 | D | |
| Class A Google Stock UnitF4 | Feb 25, 2016 | F | 2,866 | $720.90 | D | 65,897 | D | |
| Class C Capital Stock | holding | — | — | — | 148,588 | I | By Schmidt Investments LP | |
| Class C Capital Stock | holding | — | — | — | 641,628 | I | By Schmidt Investments LP Fund II | |
| Class C Capital Stock | holding | — | — | — | 2,438,866 | I | By The Schmidt Family Living Trust |
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 StockF6,F7 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 1,194,309 | 1,194,309 | D |
| Class B Common StockF6,F7 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 148,182 | 148,182 | I |
| Class B Common StockF6,F7 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 639,816 | 639,816 | I |
| Class B Common StockF6,F7 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 2,432,107 | 2,432,107 | I |
| Option to Purchase Class C Capital StockF8 | $305.388 | holding | — | — | — | — | Feb 2, 2021 | Class C Capital Stock | 181,840 | 181,840 | D |
| Option To Purchase Class A Common StockF8 | $306.612 | holding | — | — | — | — | Feb 2, 2021 | Class A Common Stock | 181,840 | 181,840 | D |
Explanation of responses
- F1This grant vests as follow: 1/16th of the grant will vest on May 25, 2015, and an additional 1/16th will vest quarterly on the 25th day of the month until GSUs are fully vested, subject to continued employment on such vesting dates.
- F2Vesting of GSUs grant of which was previously reported in Form 4.
- F3Shares withheld to satisfy tax obligations arising out of vesting of GSUs.
- F4The GSUs vest as follow: 1/16th of the GSUs will vest on May 25, 2015, and an additional 1/16th will vest quarterly on the 25th day of the month until GSUs are fully vested, subject to continued employment on such vesting dates.
- F5Each share of Class A Common Stock was issued upon the conversion of one share of Class B Common Stock at the election of Reporting Person.
- F6All shares are exercisable as of the transaction date.
- F7There is no expiration date for the Issuer's Class B Common Stock.
- F8The option provided for vesting as follows: 25% of the option shall vest 12 months after vesting commencement date and 1/48th of shares shall vest each month thereafter until the option is fully vested, subject to continued employment with Google on the applicable vesting dates.