SEC Form 4 · accession 0001127602-16-065943

Alphabet Inc. · GOOGL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Sergey Brin

Officer — President · Director · 10% Owner

Period of report

Nov 1, 2016

Accepted (ET)

Nov 2, 2016 · 9:22 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
Class A Common Stock^F1	Nov 1, 2016	C	16,666	$0.00	A	16,666	D
Class A Common Stock^F1,F2	Nov 1, 2016	S	600	$799.32	D	16,066	D
Class A Common Stock^F1,F3	Nov 1, 2016	S	345	$801.2193	D	15,721	D
Class A Common Stock^F1,F4	Nov 1, 2016	S	2,264	$802.127	D	13,457	D
Class A Common Stock^F1,F5	Nov 1, 2016	S	801	$803.16	D	12,656	D
Class A Common Stock^F1,F6	Nov 1, 2016	S	1,670	$804.31	D	10,986	D
Class A Common Stock^F1,F7	Nov 1, 2016	S	2,156	$805.3316	D	8,830	D
Class A Common Stock^F1,F8	Nov 1, 2016	S	300	$805.8067	D	8,530	D
Class A Common Stock^F1,F9	Nov 1, 2016	S	1,750	$807.5734	D	6,780	D
Class A Common Stock^F1,F10	Nov 1, 2016	S	1,680	$808.3743	D	5,100	D
Class A Common Stock^F1,F11	Nov 1, 2016	S	1,601	$809.5503	D	3,499	D
Class A Common Stock^F1,F12	Nov 1, 2016	S	1,497	$810.456	D	2,002	D
Class A Common Stock^F1,F13	Nov 1, 2016	S	1,102	$811.5622	D	900	D
Class A Common Stock^F1,F14	Nov 1, 2016	S	800	$812.6788	D	100	D
Class A Common Stock^F1,F15	Nov 1, 2016	S	100	$813.38	D	0	D
Class C Capital Stock^F16	Nov 1, 2016	S	295	$776.3647	D	19,806,910	D
Class C Capital Stock^F17	Nov 1, 2016	S	342	$777.5015	D	19,806,568	D
Class C Capital Stock^F18	Nov 1, 2016	S	1,700	$779.0941	D	19,804,868	D
Class C Capital Stock^F19	Nov 1, 2016	S	1,560	$779.8362	D	19,803,308	D
Class C Capital Stock^F20	Nov 1, 2016	S	700	$781.0043	D	19,802,608	D
Class C Capital Stock^F21	Nov 1, 2016	S	1,623	$782.1309	D	19,800,985	D
Class C Capital Stock^F22	Nov 1, 2016	S	2,630	$783.1776	D	19,798,355	D
Class C Capital Stock^F23	Nov 1, 2016	S	3,038	$784.0135	D	19,795,317	D
Class C Capital Stock^F24	Nov 1, 2016	S	1,924	$785.6033	D	19,793,393	D
Class C Capital Stock^F25	Nov 1, 2016	S	746	$786.1933	D	19,792,647	D
Class C Capital Stock^F26	Nov 1, 2016	S	1,100	$787.5745	D	19,791,547	D
Class C Capital Stock^F27	Nov 1, 2016	S	808	$788.368	D	19,790,739	D
Class C Capital Stock^F28	Nov 1, 2016	S	200	$789.17	D	19,790,539	D

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 Stock^F29,F30	$0.00	Nov 1, 2016	C	16,666	D	—	—	Class A Common Stock	16,666	19,730,470	D

Explanation of responses

F1Each share of Class A Common Stock was issued upon the conversion of one share of Class B Common Stock at the election of the Reporting Person.
F10The shares were sold in multiple transactions at prices ranging from $807.94 to $808.93, inclusive.
F11The shares were sold in multiple transactions at prices ranging from $809.06 to $810.05, inclusive.
F12The shares were sold in multiple transactions at prices ranging from $810.06 to $811.05, inclusive.
F13The shares were sold in multiple transactions at prices ranging from $811.22 to $812.21, inclusive.
F14The shares were sold in multiple transactions at prices ranging from $812.38 to $813.37, inclusive.
F15The shares were sold in multiple transactions at prices ranging from $813.38 to $814.37, inclusive.
F16The shares were sold in multiple transactions at prices ranging from $776.05 to $777.04, inclusive.
F17The shares were sold in multiple transactions at prices ranging from $777.23 to $778.22, inclusive.
F18The shares were sold in multiple transactions at prices ranging from $778.36 to $779.35, inclusive.
F19The shares were sold in multiple transactions at prices ranging from $779.38 to $780.37, inclusive.
F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $799.16 to $800.15, inclusive. The Reporting Person undertakes to provide to any security holder of Alphabet 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 (2) through (28) to this Form 4.
F20The shares were sold in multiple transactions at prices ranging from $780.46 to $781.45, inclusive.
F21The shares were sold in multiple transactions at prices ranging from $781.55 to $782.54, inclusive.
F22The shares were sold in multiple transactions at prices ranging from $782.59 to $783.58, inclusive.
F23The shares were sold in multiple transactions at prices ranging from $783.59 to $784.58, inclusive.
F24The shares were sold in multiple transactions at prices ranging from $784.60 to $785.59, inclusive.
F25The shares were sold in multiple transactions at prices ranging from $785.72 to $786.71, inclusive.
F26The shares were sold in multiple transactions at prices ranging from $786.97 to $787.96, inclusive.
F27The shares were sold in multiple transactions at prices ranging from $787.97 to $788.96, inclusive.
F28The shares were sold in multiple transactions at prices ranging from $789.04 to $790.03, inclusive.
F29All shares are exercisable as of the transaction date.
F3The shares were sold in multiple transactions at prices ranging from $800.61 to $801.60, inclusive.
F30There is no expiration date for the Issuer's Class B Common Stock.
F4The shares were sold in multiple transactions at prices ranging from $801.71 to $802.70, inclusive.
F5The shares were sold in multiple transactions at prices ranging from $802.75 to $803.74, inclusive.
F6The shares were sold in multiple transactions at prices ranging from $803.76 to $804.75, inclusive.
F7The shares were sold in multiple transactions at prices ranging from $804.79 to $805.78, inclusive.
F8The shares were sold in multiple transactions at prices ranging from $805.79 to $806.78, inclusive.
F9The shares were sold in multiple transactions at prices ranging from $806.92 to $807.91, inclusive.

Remarks

All transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person.