SEC Form 4 · accession 0001127602-16-068514
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 25, 2016
Accepted (ET)
Nov 28, 2016 · 5:44 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 Google Stock UnitF1 | Nov 25, 2016 | C | 2,625 | $0.00 | D | 52,289 | D | |
| Class A Common Stock | Nov 25, 2016 | C | 2,625 | $0.00 | A | 70,992 | D | |
| Class A Google Stock UnitF1 | Nov 25, 2016 | F | 2,866 | $779.00 | D | 49,423 | D | |
| Class C Google Stock UnitF4 | Nov 25, 2016 | C | 2,625 | $0.00 | D | 52,289 | D | |
| Class C Capital Stock | Nov 25, 2016 | C | 2,625 | $0.00 | A | 1,268,649 | D | |
| Class C Google Stock UnitF4 | Nov 25, 2016 | F | 2,866 | $760.99 | D | 49,423 | D | |
| Class C Capital Stock | holding | — | — | — | 148,588 | I | By Schmidt Investments LP | |
| Class C Capital Stock | holding | — | — | — | 617,648 | I | By Schmidt Investments LP Fund II | |
| Class C Capital Stock | holding | — | — | — | 2,393,958 | 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 StockF5,F6 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 1,194,309 | 1,194,309 | D |
| Class B Common StockF5,F6 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 148,182 | 148,182 | I |
| Class B Common StockF5,F6 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 615,836 | 615,836 | I |
| Class B Common StockF5,F6 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 2,387,199 | 2,387,199 | I |
| Option to Purchase Class C Capital StockF7 | $305.388 | holding | — | — | — | — | Feb 2, 2021 | Class C Capital Stock | 181,840 | 181,840 | D |
| Option To Purchase Class A Common StockF7 | $306.612 | holding | — | — | — | — | Feb 2, 2021 | Class A Common Stock | 181,840 | 181,840 | D |
Explanation of responses
- F1The 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.
- F2Vesting of GSUs grant of which was previously reported in Form 4.
- F3Shares withheld to satisfy tax obligations arising out of vesting of GSUs.
- F4This 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.
- F5All shares are exercisable as of the transaction date.
- F6There is no expiration date for the Issuer's Class B Common Stock.
- F7The option is fully vested.