SEC Form 4 · accession 0001127602-16-068416
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
Nov 23, 2016
Accepted (ET)
Nov 25, 2016 · 12:16 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 StockF1 | Nov 23, 2016 | C | 44,270 | $0.00 | A | 44,270 | I | By The Schmidt Family Living Trust |
| Class A Common StockF1 | Nov 23, 2016 | G | 44,270 | $0.00 | D | 0 | I | By The Schmidt Family Living Trust |
| Class C Capital Stock | Nov 23, 2016 | G | 44,270 | $0.00 | D | 2,393,958 | I | By The Schmidt Family Living Trust |
| Class A Common StockF1 | Nov 23, 2016 | C | 23,980 | $0.00 | A | 23,980 | I | By Schmidt Investments LP Fund II |
| Class A Common StockF1 | Nov 23, 2016 | G | 23,980 | $0.00 | D | 0 | I | By Schmidt Investments LP Fund II |
| Class C Capital Stock | Nov 23, 2016 | G | 23,980 | $0.00 | D | 617,648 | I | By Schmidt Investments LP Fund II |
| Class A Common StockF1 | holding | — | — | — | 68,367 | D | ||
| Class C Capital Stock | holding | — | — | — | 1,266,024 | D | ||
| Class C Capital Stock | holding | — | — | — | 148,588 | I | By Schmidt Investments LP | |
| Class C Google Stock UnitF2 | holding | — | — | — | 54,914 | D | ||
| Class A Google Stock UnitF3 | holding | — | — | — | 54,914 | 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 StockF4,F5 | $0.00 | Nov 23, 2016 | C | 44,270 | D | — | — | Class A Common Stock | 44,270 | 2,387,199 | I |
| Class B Common StockF4,F5 | $0.00 | Nov 23, 2016 | C | 23,980 | D | — | — | Class A Common Stock | 23,980 | 615,836 | I |
| Class B Common StockF4,F5 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 1,194,309 | 1,194,309 | D |
| Class B Common StockF4,F5 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 148,182 | 148,182 | I |
| Option to Purchase Class C Capital StockF6 | $305.388 | holding | — | — | — | — | Feb 2, 2021 | Class C Capital Stock | 181,840 | 181,840 | D |
| Option To Purchase Class A Common StockF6 | $306.612 | holding | — | — | — | — | Feb 2, 2021 | Class A Common Stock | 181,840 | 181,840 | 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 Reporting Person.
- F2This 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.
- F3The 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.
- F4All shares are exercisable as of the transaction date.
- F5There is no expiration date for the Issuer's Class B Common Stock.
- F6The option is fully vested.