SEC Form 4 · accession 0001127602-16-067355
Alphabet Inc. · GOOGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
L John Doerr
Director
Period of report
Sep 20, 2016
Accepted (ET)
Nov 16, 2016 · 1:23 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 Capital Stock | Sep 20, 2016 | G | 1,310 | $0.00 | D | 108,471 | I | The Benificus Foundation |
| Class C Capital Stock | Nov 3, 2016 | G | 6,400 | $0.00 | D | 923,969 | I | Vallejo Ventures Trust |
| Class C Capital StockF1 | Nov 15, 2016 | S | 200 | $748.44 | D | 923,769 | I | Vallejo Ventures Trust |
| Class C Capital StockF2 | Nov 15, 2016 | S | 200 | $750.43 | D | 923,569 | I | Vallejo Ventures Trust |
| Class C Capital StockF3 | Nov 15, 2016 | S | 146 | $752.1547 | D | 923,423 | I | Vallejo Ventures Trust |
| Class C Capital StockF4 | Nov 15, 2016 | S | 400 | $754.655 | D | 923,023 | I | Vallejo Ventures Trust |
| Class C Capital StockF5 | Nov 15, 2016 | S | 401 | $755.2677 | D | 922,622 | I | Vallejo Ventures Trust |
| Class C Capital StockF6 | Nov 15, 2016 | S | 2,447 | $756.2677 | D | 920,175 | I | Vallejo Ventures Trust |
| Class C Capital StockF7 | Nov 15, 2016 | S | 2,626 | $757.9077 | D | 917,549 | I | Vallejo Ventures Trust |
| Class C Capital StockF8 | Nov 15, 2016 | S | 2,764 | $758.9205 | D | 914,785 | I | Vallejo Ventures Trust |
| Class C Capital StockF9 | Nov 15, 2016 | S | 2,030 | $759.9238 | D | 912,755 | I | Vallejo Ventures Trust |
| Class C Capital StockF10 | Nov 15, 2016 | S | 1,500 | $761.0215 | D | 911,255 | I | Vallejo Ventures Trust |
| Class C Capital StockF11 | Nov 15, 2016 | S | 536 | $761.9423 | D | 910,719 | I | Vallejo Ventures Trust |
| Class C Capital StockF12 | Nov 15, 2016 | S | 1,578 | $762.9967 | D | 909,141 | I | Vallejo Ventures Trust |
| Class C Capital Stock | holding | — | — | — | 4,079 | D | ||
| Class A Common Stock | holding | — | — | — | 118,653 | I | The Benificus Foundation | |
| Class C Google Stock UnitF13 | holding | — | — | — | 255 | D | ||
| Class C Google Stock UnitF14 | holding | — | — | — | 67 | D | ||
| Class C Google Stock UnitF15 | holding | — | — | — | 449 | D | ||
| Class C Google Stock UnitF16 | holding | — | — | — | 463 | D | ||
| Class A Google Stock UnitF17 | holding | — | — | — | 67 | 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 StockF18,F19 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 1,117,447 | 1,117,447 | I |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $748.44 to $749.43, 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 (10) through (14) to this Form 4.
- F10These shares were sold in multiple transactions at prices ranging from $760.52 to $761.51.
- F11These shares were sold in multiple transactions at prices ranging from $761.71 to $762.70.
- F12These shares were sold in multiple transactions at prices ranging from $762.85 to $763.84.
- F131/48th 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.
- F141/48th of the grant vested 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.
- F151/48th 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.
- F161/48th of Restricted Stock Units (GSUs) will vest on July 25, 2016 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.
- F171/48th 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.
- F18There is no exercisable date for the Issuer's Class B Common Stock.
- F19There is no expiration date for the Issuer's Class B Common Stock.
- F2These shares were sold in multiple transactions at prices ranging from $750.43 to $751.42.
- F3These shares were sold in multiple transactions at prices ranging from $751.43 to $752.42.
- F4These shares were sold in multiple transactions at prices ranging from $754.00 to $755.99.
- F5These shares were sold in multiple transactions at prices ranging from $755.08 to $756.07.
- F6These shares were sold in multiple transactions at prices ranging from $756.36 to $757.35.
- F7These shares were sold in multiple transactions at prices ranging from $757.39 to $758.38.
- F8These shares were sold in multiple transactions at prices ranging from $758.44 to $759.43.
- F9These shares were sold in multiple transactions at prices ranging from $759.48 to $760.47.
Remarks
All of the transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.